Federal Transit Capital Investment Grants

The Capital Investment Grant Program is the Federal Government?s primary financial resource for supporting transit capital projects that are locally planned, implemented, and operated.

The majority of the projects are fixed-guideway transit projects, meaning they use or occupy a separate right-of-way

credit: SokoText Official Website
such as rails, catenaries, or exclusive bus lanes.

This includes rapid rail, light rail, streetcar, commuter rail, and bus rapid transit (BRT).

However, ferry projects and corridor-based BRT projects that do not use an exclusive bus lane but have other characteristics similar to rail transit service are also eligible.

Note: Under prior authorizations, this section also included eligibility for the Bus and Bus Facilities and Fixed Guideway Modernization programs.

Although these programs are no longer under this section (repealed), a residual amount of funding allocated under previous authorizations may be obligated in grants using that authority.
Related Programs

Examples of Funded Projects

Fiscal Year 2016: In FY 2016, three examples are provided of Small Starts projects that received construction grant agreements.

A Small Starts construction grant was awarded in December 2015 for the Jacksonville, FL, Bus Rapid Transit Southeast project, which is expected to serve 4,800 daily trips when it opens in 2017.

A second Small Starts construction grant was awarded in April 2015 for the Denver Southeast Rail Extension light rail project, which is expected to serve 4,400 daily trips when it opens in 2019.

A third Small Starts construction grant was awarded in May 2016 for the Charlotte, NC, City LYNX Gold Line Phase 2 streetcar project, which is expected to serve 4,100 daily trips when it opens in 2020.

Fiscal Year 2017: In FY 2017, two examples are provided of New Starts projects that received Full Funding Grant Agreements (FFGA).

In Los Angeles, CA, the Westside Purple Line Extension Section 2, expected to serve 21,600 daily trips when it opens in 2026, was awarded an FFGA in December 2016.

In Fort Worth, TX, the TEX Rail Project, expected to serve 8,300 daily trips when it opens in 2020, was awarded an FFGA in December 2016.

Fiscal Year 2018: In FY 2018, the President?s Budget request limits funding for the Capital Investment Grant Program to projects with existing Full Funding Grant Agreements (FFGA).

Future investments in new transit projects would be funded by the localities that use and benefit from these localized projects.


Agency - Department of Transportation

The Department of Transportation's mission is to ensure fast, safe, efficient, accessible and convenient transportation that meets vital national interests and enhances the quality of life of the American people, today and into the future.

Office - See Regional Agency Offices.

See Appendix IV: Agency Regional and Local Office Addresses of the Catalog for a listing of the Federal Transit regional offices.
Website Address

http://www.fta.dot.gov


Relevant Nonprofit Program Categories





Selected Recipients for this Program


RecipientAmount Start DateEnd Date
Los Angeles County Metropolitan Transportation Authority $ 300,000,000   1999-10-012037-06-01
Los Angeles County Metropolitan Transportation Authority $ 300,000,000   2028-12-31
Chicago Transit Authority $ 381,131,641   2027-10-22
San Diego Association Of Governments $ 250,000,000   1999-10-012026-12-31
Los Angeles County Metropolitan Transportation Authority $ 100,000,000   2010-11-012026-10-31
Los Angeles County Metropolitan Transportation Authority $ 300,000,000   1999-10-012023-12-31
Transportation, Maryland Department Of $ 325,000,000   2023-03-31
Regional Transportation Authority $ 695,426   2018-09-042023-03-30
San Francisco, City & County Of $ 323,018,101   1999-10-012022-12-31
Massachusetts Bay Transportation Authority $ 0   2012-01-012022-12-31



Program Accomplishments

Fiscal Year 2016: FTA signed one full funding grant agreement (FFGA) during FY 2016 and four Small Starts construction grant agreements. New Starts projects: ? San Diego, CA, Mid-Coast Corridor, expected to serve 24,600 daily trips. This FFGA was signed in September 2016. Small Starts projects: ? Denver, CO, Southeast Rail Extension Project, expected to serve 4,400 daily trips. This construction grant was signed in April 2016. ? Jacksonville, FL, BRT Southeast Corridor, expected to serve 4,800 daily trips. This construction grant was signed in December 2015. ? Charlotte, NC, City LYNX Gold Line Phase 2, expected to serve 4,100 daily trips. This construction grant was signed in May 2016. ? Columbus, OH, Cleveland Avenue Bus Rapid Transit Project, expected to serve 5,700 daily trips. This construction grant was signed in May 2016. Fiscal Year 2017: FTA has signed four full funding grant agreements (FFGAs) and three Small Starts construction grant agreements. New Starts projects: ? Los Angeles, CA, Westside Purple Line Extension Section 2, expected to serve 21,600 daily trips. This FFGA was signed in December 2016. ? Fort Worth, TX, TEX Rail Project, expected to serve 8,300 daily trips. This FFGA was signed in December 2016. Core Capacity projects: ? Chicago, IL, Red and Purple Modernization Phase One Project, expected to increase capacity in the corridor by 15 percent. This FFGA was signed in January 2017. ? San Carlos, CA, Peninsula Corridor Electrification Project, expected to increase capacity in the corridor by 10 percent. This FFGA was signed in May 2017. Small Starts projects: ? San Francisco, CA, Van Ness Bus Rapid Transit Project, expected to serve 52,400 daily trips. This construction grant was signed in December 2016. ? Reno, NV, 4th Street/Prater Way Bus Rapid Transit Project, expected to serve 6,200 daily trips. This construction grant was signed in December 2016. ? Utah County, UT, Provo-Orem Bus Rapid Transit Project, expected to serve 11,300 daily trips. This construction grant was signed in December 2016. Fiscal Year 2018: In FY 2018, the President?s Budget proposal would limit funding for the CIG Program to projects with existing full funding grant agreements. Future investments in new transit projects would be funded by the localities that use and benefit from these localized projects.

Uses and Use Restrictions

FAST includes three categories of eligible projects under the Capital Investment Grant Program, referred to as New Starts, Core Capacity, and Small Starts projects.

New Starts projects are those whose sponsors request $100 million or more in Capital Investment Grant Program funds or have an anticipated total capital cost of $300 million or more.

Core Capacity projects are substantial investments in an existing fixed-guideway corridor that is at capacity today or will be in five years, where the proposed project will increase capacity by not less than 10 percent.

Small Starts projects are defined as those whose sponsors request less than $100 million in Capital Investment Grant Program funds and have an anticipated total capital cost of less than $300 million. The Pilot Program for Transit-Oriented Development (TOD) Planning, authorized under Section 20005(b) of the Moving Ahead for Progress in the 21st Century Act (MAP-21), Public Law 112-141, July 6, 2012, with funding provided under 49 U.S.C.

5338(a)(2)(B), as amended by the FAST Act, provides grants for corridor-level comprehensive planning activities conducted in conjunction with the development of Section 5309 Capital Investment Grant program (Core Capacity, New Starts and fixed-guideway Small Starts) projects.

The comprehensive planning work must help to enhance economic development, ridership, and other goals established during the project development and engineering processes; facilitate multimodal connectivity and accessibility; increase access to transit hubs for pedestrian and bicycle traffic; enable mixed-use development; identify infrastructure needs associated with the eligible project; and include private sector participation.

In FY 2017, a total of $15.79 million was available to be allocated to eligible projects.

Eligibility Requirements

Applicant Eligibility

Public agencies, including States; municipalities and other subdivisions of States; public agencies and instrumentalities of one or more States; and public corporations, boards, and commissions established under State law.

Applicant must have legal, financial, and technical capacity to carry out proposed project, including safety and security aspects, and maintain facilities and equipment purchased with Federal assistance.

Private non-profit organizations are not eligible direct recipients.

Beneficiary Eligibility

Public agencies, including States; municipalities and other subdivisions of States; public agencies and instrumentalities of one or more States; and public corporations, boards, and commissions established under State law. Applicant must have legal, financial, and technical capacity to carry out proposed project, including safety and security aspects, and maintain facilities and equipment purchased with Federal assistance. Private non-profit organizations are not eligible direct recipients.

Credentials/Documentation

Resolution by an authorized public body approving the filing for an application; projects must be included in an urbanized area's Transportation Improvement Program (TIP), in the State transportation improvement program (STIP) and approved by FTA and FHWA; information must be provided on labor and relocation; environmental impact statement; legal opinion; coordinated regional planning documentation; maintenance certification; and compliance with certifications and assurances as compiled in FTA's Annual List of Certifications and Assurances. Cost will be in accordance with OMB Super Circular 2 CFR 200 for State and local governments. Federal Register Notice FTA Fiscal Year Apportionments, Allocations, and Program Information, published annually contain the capital investment apportionments. The Federal Register notice with the full year's apportionment was published in February 2016. For other fiscal years, contact the FTA Regional Office to obtain the publication dates or the FTA website: www.transit.dot.gov/. 2 CFR 200, Subpart E - Cost Principles applies to this program.

Aplication and Award Process

Preapplication Coordination

An environmental impact determination is required for this program.

The determination will lead to the requirement of an environmental impact statement, environmental assessment, or categorical exclusion.

An environmental impact statement is required for this program.

This program is eligible for coverage under E.O.

12372, 'Intergovernmental Review of Federal Programs.' An applicant should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review.

Application Procedures

This program is excluded from coverage under 2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards. This program is subject to the provisions of OMB Super Circular 2 CFR 200 and FTA Circular 9300.1B, 'Capital Program: Grant Application Instructions,' November 1, 2008. Applications are made to the regional offices of the Federal Transit Administration listed in Appendix IV of the Catalog.

Award Procedures

An FTA grant award obligating Federal funds is reflected in a construction grant agreement. Grants are awarded electronically using FTA's electronic grant award system,. In order to access this system, a user name and password are needed and can be obtained by contacting the regional offices. Once the funds are reserved in FTA?s electronic grant award system and the project information has been reviewed and approved by Headquarters, the recipient must execute the grant agreement to access the funds.

Deadlines

Contact the headquarters or regional office, as appropriate, for application deadlines.

Authorization

Fixing America?s Surface Transportation Act (FAST), Public Law 114-94, 49 U.S.C 5309.

Range of Approval/Disapproval Time

From 30 to 60 days.

Appeals

Not Applicable.

Renewals

Funding is made available annually through the appropriation process. Grants may be amended to add newly available funds for a continuing project.

Assistance Considerations

Formula and Matching Requirements

Statutory Formula: Title 49 , Part 5309. Matching Requirements: Funds for the Capital Investment Grant program are allocated on a discretionary basis. By law, a grant may be made up to 80 percent of net project cost. MOE requirements are not applicable to this program.

Length and Time Phasing of Assistance

Terms and conditions are contractually agreed on between FTA and the applicant. See the following for information on how assistance is awarded/released: The grants may be awarded in one lump sum or in smaller increments as specified by the grantee.

Post Assistance Requirements

Reports

(1) Progress reports; (2) Financial status reports; (Submitted quarterly for recipients in urbanized areas over 200,000 population, annually for other recipients and states); (3) construction reports where applicable.

(1) Progress reports; (2) Financial status reports; (Submitted quarterly for recipients in urbanized areas over 200,000 population, annually for other recipients and states); (3) construction reports where applicable.

(1) Progress reports; (2) Federal Financial reports; (Submitted quarterly for recipients in urbanized areas over 200,000 population, annually for other recipients and states); (3) construction reports where applicable.

(1) Progress reports; (2) Federal Financial status reports; (Submitted quarterly for recipients in urbanized areas over 200,000 population, annually for other recipients and states); (3) construction reports where applicable.

No performance monitoring is required.

Audits

In accordance with the provisions of 2 CFR 200, Subpart F - Audit Requirements, non-Federal entities that expend financial assistance of $750,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Non-Federal entities that expend less than $750,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in 2 CFR 200.503.

Records

Recipient is required to retain intact, for three years following submission of final expenditure report, pending resolution of audit findings, all project contract documents, financial records, and supporting documents.

Financial Information

Account Identification

69-1133-0-1-401; 69-1134-0-1-401; 69-1102-0-1-401; 69-8350-0-7-401.

Obigations

(Project Grants) FY 16 $2,177,000,000; FY 17 est $2,301,785,760; and FY 18 est $1,232,000,000 - Major Capital Investment Grants FY 16 2,177,000,000 FY 17 2,301,785,760 FY 18 1,232, 000,000.

Range and Average of Financial Assistance

No Data Available.

Regulations, Guidelines, and Literature

Contact the FTA Regional Offices. See FTA Circular 9300.1B , 'Capital Investment Program: Guidance and Application Instructions,' November 1, 2008 , located at https://www.transit.dot.gov/regulations-and-guidance/fta-circulars/capital-investment-program-guidance-and-application.

Information Contacts

Regional or Local Office

See Regional Agency Offices. See Appendix IV: Agency Regional and Local Office Addresses of the Catalog for a listing of the Federal Transit regional offices.

Headquarters Office

Elizabeth Day 1200 New Jersey Avenue, S.E., , Washington, District of Columbia 20590 Phone: (202) 366-5159

Criteria for Selecting Proposals

Projects must meet the project justification, local financial commitment, and process criteria established in Section 5309, and should be consistent with Executive Order 12893, Principles for Federal Infrastructure Investments, issued January 26, 1994. Firm funding commitments, embodied in FFGAs or SSGAs, will not be made until the project sponsor has demonstrated that its project is ready for such an agreement, i.e., the project?s development and design have progressed to the point where its scope, costs, benefits, and impacts are considered firm and final. FTA encourages project sponsors to provide an overmatch as a means of funding more projects and leveraging State and local financial resources as well as other Federal financial resources.



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