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FY2021FTA Region VGrantmakingReference GuideMNWIMIILINOHLast Updated: February 9, 2021The contents of this document do not have the force and effect of law and are not meant to bind the public in any way.This document is intended only to provide clarity to the public regarding existing requirements under the law or agencypolicies. Grantees and subgrantees should refer to FTA’s statutes and regulations for applicable [subject matter (i.e. BuyAmerica, ER, Joint Development)] requirements.
Table of ContentsOVERVIEW1NEW GRANT VS. GRANT AMENDMENT1“SUPER” GRANTS2GRANT STRUCTURE – FUNDING SOURCES2GRANT STRUCTURE – PROJECTS3TITLING YOUR GRANT APPLICATION3EXECUTIVE SUMMARY (ES)4PROJECTS7BUDGET ACTIVITY LINE ITEM (ALI)8BUDGET ACTIVITY LINE ITEM EXTENDED BUDGET DESCRIPTIONS (EBD)8BUDGET ACTIVITY LINE ITEM MILESTONES10ENVIRONMENTAL FINDINGS (EF)10ATTACHMENTS11SECTION 5307 URBANIZED AREA FORMULA PROGRAM14SECTION 5310 ENHANCED MOBILITY OF SENIORS AND INDIVIDUALS WITHDISABILITIES PROGRAM16SECTION 5311 RURAL AREA FORMULA PROGRAM19SECTION 5329 STATE SAFETY OVERSIGHT PROGRAM (SSOP)22SECTION 5337 STATE OF GOOD REPAIR PROGRAM24SECTION 5339 – BUS AND BUS FACILITY FORMULA PROGRAM26APPENDIX 1: SAMPLE EXTENDED BUDGET DESCRIPTIONS FOR COMMON ALIS28APPENDIX 2: COMMON ACRONYMS31APPENDIX 3: GRANT CHECKLIST34
OverviewThis document serves as a reference guide to grantmaking in the Federal Transit Administration’s (FTA)Transit Award Management System (TrAMS). Grantees are strongly encouraged to contact their assignedFTA Region V Grant Representative prior to creating a new TrAMS grant application. The current FTARegion V Staff Organization List is accessible here.You should reference the following tools for more detailed information related to FTA’s programs andTrAMS: FTA’s annual Apportionments, Allocations, and Program Information Federal Register onments. FTA Program circulars for information about FTA’s grant nd-guidance/fta-circulars/fta-circulars. Guidance and training tools on TrAMS can be found ms.New Grant vs. Grant AmendmentBefore entering a grant in TrAMS, it is important to have a discussion with your Grant Representative sothat you can both agree on the best approach; either creating a new grant or amending an existing grant.Keep in mind the following when creating a grant amendment: TrAMS does not allow you to add new funding programs. For example, if the original grant onlycontained Section 5307 funds, you cannot amend the grant to add Section 5339 funds.o There are instances where a funding program (such as Section 5339) is distributed throughformula and competitive/discretionary selection (for example Low or No Emissions andBus and Bus Facilities). Although the funds are awarded from the same program, theformula and discretionary funds should be treated as two different funding programswhen developing a grant in TrAMS. No more than three fiscal years of funding for operating assistance and preventive maintenancecan be contained in a grant and corresponding amendments. For example, if you apply for anannual operating assistance grant (that contains full year apportionments), you should onlyamend the original grant twice to add another two years of funding for those specific activities.o Note that there is no limit on the number of times a grant containing operating assistanceand preventative maintenance can be amended, as long as the grant and correspondingamendments have no more than three fiscal years of funding. For example, if you applyfor half of your annual year apportionment in a grant and corresponding amendments forfiscal year 2019, 2020, and 2021, you can amend the grant five times (the original grantplus one amendment with FY 2019 funds, and two amendments each with FY 2020 and2021 funds.FTA Region V FY2021 Grantmaking Reference GuidePage 1
Amendments are treated as if you are creating a new grant, including a new Executive Summary,Project Description, and Extended Budget Description, etc. The sections below provide samplesfor how to handle amendment language.“Super” GrantsTrAMS allows grantees to combine funding from different FTA programs into a single grant. This is adeparture from how our previous grant award system, the Transportation Electronic Award ManagementSystem (TEAM) functioned. If you plan on creating a grant with multiple funding sources, also known asa “Super” Grant, please consult with your Grant Representative on how to best set up the grant.Super Grants should be used if any of the following conditions apply: Multiple funding programs are being used to fund related activities such as a capital improvementproject, a construction project or system-wide improvement project. Multiple funding programs are being used for the same budget scope and activity line item. Transferring funds from the Federal Highway Administration (FHWA) (i.e., Surface TransportationBlock Grant (STBG) and/or the Congestion Mitigation and Air Quality (CMAQ) Programs) for thesame or related projects which also use FTA program funds. An applicant is applying for funding apportioned under different formula programs (such asSection 5307, 5337, and 5339) within the same urbanized area(s).Super Grants may not be optimal if the following conditions are present: Timelines/Periods of Performance for different projects are not efficiently synchronized. An application contains funding programs with different requirements e.g., Department of Labor(DOL) review or Reporting Frequency, etc. Funds containing discretionary awards cannot be included in a super grant.When developing a Super Grant, different funding sources can be incorporated into the same project, butnot into the same scope. Please see the section below for more details.Grant Structure – Funding SourcesEach grant program has a unique account classification code (ACC) that is used to reserve funds. In manyinstances, a grant program (such as 5310, 5311, and 5339) has multiple ACC codes. This is important tonote when setting up your budget in TrAMS because only one ACC type can be used under each scopecode. But you can combine different fiscal years of funding under the same scope.For example, the 5310 program has multiple ACC codes (one each for funds designated to the rural, smallurban, and larger urban programs). If your grant will include funding for rural and small urban areas, thenyou should use separate scopes for the rural and small urban funds. In many instances, an additionalFTA Region V FY2021 Grantmaking Reference GuidePage 2
project in TrAMS will need to be created to ensure that rural and small urban funds are not included inthe same scope.Financial purpose codes (FPC) are assigned to each funding type. TrAMS only allows one FPC type perscope. For example, an operating assistance Activity Line Item (ALI) (FPC 04) and a capital activity ALI (FPC00) will need to be under separate scopes. There are a couple of exceptions to this rule (mainly involvingthe 5311 Program) that will be noted in this document. The following are the FPC codes for the followingtype of projects:FPCDescription00Capital01Research & Training02Planning03Job Access and Reverse Commute (JARC)/New Freedom and Resiliency/Emergency04Operating Assistance06State & Program Administration07RTAP08ADA Paratransit09Multiple TypesGrant Structure – ProjectsTrAMS allows for grant activities to be grouped by Projects, which is a departure from how TEAMfunctioned. Some grants may only contain one Project while other grants contain several Projects. Grantswith multiple Projects are often separated by funding sources or by function (operating assistance,planning, vehicle purchase, facility renovation, etc.). Even if your grant only has one source of funding,there may be times when it makes sense to have multiple projects in the grant as opposed to placing allactivity line items under a single project. Again, it is important to have a discussion with your GrantRepresentative so that you can both agree on the best approach.Titling Your Grant ApplicationWhen titling your grant application (under Application Name) please note the following: The Application/Award Name will exist throughout the life of the Award and cannot be editedonce the grant has been awarded, even when amending. Do not include the fiscal year(s). You will include the fiscal year(s) of funds in the Project Title.See the “Projects” Section for more information. The Application/Award Name should be something searchable in USAspending.gov. The Application/Award Name should reflect the Scope of Work to be completed and somethingthe public can understand. The Application/Award Name should include the Section number(s) of funding (Section 5307,5309, etc.). The Application/Award Name is published in USAspending.gov.FTA Region V FY2021 Grantmaking Reference GuidePage 3
Executive Summary (ES)The Executive Summary (ES) should provide a high-level explanation of the type of projects that you areapplying for. The ES should include the following information: Total amount of each Federal fiscal year of funding that will be used. The type of funds that will be used (Section 5307, 5311, 5339, etc.). The projects/activities that are included in the grant application (purchasing replacement buses,operating assistance, preventive maintenance, renovation of a bus garage, etc.). The source(s) of matching funds. The supporting documents that are attached in the grant application (STIP approval letter, STIPproject listings, etc). If using 5337 program funds, recipients must add the following statement in their grantapplication’s executive summary: “By executing this grant, we certify that projects funded in thisgrant are included in the [20XX] Transit Asset Management (TAM) Plan investment prioritizationsection.” For projects that include vehicles, please include the following two statements:o “In executing this grant, the [Name of Agency] agrees to abide by Section 3011 of the FASTAct (49 U.S.C. 5323(j)(2)(C) regarding the phased increase in domestic content under the BuyAmerica statute for rolling stock.”o “As Grant Agreement includes an FTA-funded transit vehicle purchase, Recipient agrees tocomply with the related requirements set forth in 49 CFR § 26.49(a). Specifically, Recipientmust ensure as a condition of being authorized to bid or propose on FTA-assisted transit vehicleprocurements, that each transit vehicle manufacturer certified that it complied with DOTrequirements for submitting a DBE program and goal to FTA prior to bidding. Recipient is alsorequired to submit the name of the successful bidder and the total dollar value of the contractwithin 30 days of making an FTA- assisted transit vehicle award using the required FTAreporting tool. Recipient understands that failure to comply with these requirements mayresult in formal enforcement action or appropriate sanction as determined by FTA, includingreimbursement of FTA funds used for the vehicle procurement.”Sample #1This grant provides 1,000,000 of FY 2021 Section 5307 operating assistance to the City of Oshkosh'stransit system (GO Transit) for the period of January 1, 2021– December 31, 2021. The local share foroperating will be 500,000 provided through local tax levies (city and county), and 500,000 from theState of Wisconsin. Attachments to this application include the TIP Table referencing 2021 operatingexpenses, DOL Information, FTA STIP Approval Letter dated 1/20/20, and FY 2021 Wisconsin State 5307Allocation Letter.Sample #2This application requests funding for multiple projects, including bus purchases, design/engineeringand construction for garage projects, Communication system enhancements, Rail vehicle overhaul,fare collection upgrade, track and rail facilities, capital cost of contracting, and facility energyconservation and enhancement. This grant application is for a total of 83,322,313, with 68,217,994federal and 15,104,319 local match. The Federal funds are from the following programs:FTA Region V FY2021 Grantmaking Reference GuidePage 4
o Section 5307 funds in the amount of 2,615,027 is FFY 2020; 37,762,967 is FFY 2021.o Section 5337 (Bus) funds in the amount of 2,383,413 is FFY 2020; 3,776,587 is FFY 2021.o Section 5337 (Rail) funds in the amount of is 6,301,560 is FFY 2020; 4,978,440 is FFY 2021.o Section 5339 funds in the amount of 1,631,911 is FFY 2019; 4,579,942 is FFY 2020; and 4,188,147 is FFY 2021.By executing this grant, we certify that projects funded in this grant are included in the 2020 TAM planinvestment prioritization section.Of the local match, all is funding from Regional Transit Capital except for 750,000 of Motor VehicleSales Tax for Capital Cost of Contracting. Documents attached include the FTA/FHWA STIP approvalletter of 10/20/20, relevant STIP pages for the various projects, our Federal Indirect Rates letter, andproject descriptions and NEPA documents as appropriate for larger projects.TrAMS will keep the information for the original grant, and previous amendments. DO NOT delete theinformation carried over from the grant/grant amendment. Be sure that the descriptions for theamendment are included above the descriptions of the previous grant/amendment.Grant Amendment SampleAmendment 1: This grant provides 2,000,000 of FY 2021 Section 5307 operating assistance to theCity of Oshkosh's transit system (GO Transit) for the period of January 1, 2021 – December 31, 2021.The local share for operating will be 1,000,000 provided through local tax levies (city and county),and 1,000,000 from the State of Wisconsin. Attachments to this application include the TIP Tablereferencing 2021 operating expenses, DOL Information, FTA STIP Approval Letter dated 1/20/21 andFY 2021 Wisconsin State 5307 Allocation Letter.Original Grant: This grant provides 1,000,000 of FY 2020 Section 5307 operating assistance to theCity of Oshkosh's transit system (GO Transit) for the period of January 1, 2020 – December 31, 2020.The local share for operating will be 500,000 provided through local tax levies (city and county), and 500,000 from the State of Wisconsin. Attachments to this application include the TIP Tablereferencing 2020 operating expenses, DOL Information, FTA STIP Approval Letter dated 1/20/20, andFY 2020 Wisconsin State 5307 Allocation Letter.After entering the ES, TrAMS requires information related to the period of performance, fundingallocations, and direct/indirect cost information. TrAMS will prompt you with questions related to thesetopic areas as you develop your grant. Please note the following: Research and Development – Provide one of the following responses; 1) “Yes, this applicationincludes funds for research and/or development activities”; or 2) “No, this application does NOTinclude funds for research and/or development activities.” Period of Performance (Start/End Dates) - The Start Date will always be the date of grant award.TrAMS requires you to enter an End Date. The End Date should be no less than 2 years after thelast milestone date listed in the application to allow for closeout activities and any potentialFTA Region V FY2021 Grantmaking Reference GuidePage 5
delays. This 2-year window is in place to accommodate project schedule contingencies, a 90-daycloseout period, and tracking purposes.o The End Date 1 should be set to the next March 30 after the 2-year minimum outlined above. Example #1: If the last milestone in the grant is 2/15/2021, add two years(2/15/2023). This date should be extended to 3/30/2023. Example #2: If the last milestone in the grant is 05/25/2021, add two years(5/25/2023). Since this date falls after March 30, the end date should be set to3/30/2024.o The End Date represents the last day in which FTA funds can be expended. An FTA action(budget revision, or grant amendment) will be required to extend the period ofperformance after grant award.o Certain special funding programs such as TIGER or FTA 5339 Discretionary have specificrequirements related to the Period of Performance End Date and take precedence overthe guidance outlined above.Pre-award Authority – Check “yes” or “no” as to whether the grant will utilize pre-award authority.Suballocation Funds - If your application includes sub-allocated funds please indicate if you are aDirect Recipient or a Designated Recipient. 2 TrAMS requires you to upload the appropriatesuballocation letter(s) if you are a direct recipient of suballocated funds.Indirect Cost Rate - TrAMS will direct you to choose whether indirect costs will be used in the grantapplication. Include one of the following statements if Indirect Costs WILL be applied; 1) “Thecognizant agency [enter agency name] approved [enters applicant’s name on [date] and a copy ofthe organization’s approved rate is on file with FTA (in the EAMS). The approved rate(s) of [providepercentage(s)] will be applied to the applicable activity line descriptions”; or 2) “[Applicant’sName] has submitted FTA’s certification and elected to use the de minimis indirect cost rate of 10%; the agency certification and FTA’s response noting acceptance of the election of this rate isattached in the recipient profile in the EAMS.”Delinquent federal Debt – Check “yes” or “no”. TrAMS requires you to provide details if you check“yes”.State E.O. 12372 Review - Check “yes” or “no”. TrAMS requires you to provide a State ApplicationID and date submitted for State review if you check “yes”.Grantees are still required to follow award closeout procedures as outlined in Circular C 5010.1E AwardManagement Requirements, which requires that grant applications be closed within 90 days of the completion ofthe approved activities and/or the applicable federal assistance have been expended.2A Designated Recipient is: (i) an entity designated, in accordance with the planning process under Sections 5303and 5304, by the governor of a state, responsible local officials, and publicly owned operators of publictransportation, to receive and apportion amounts under Section 5336 to urbanized areas of 200,000 or more inpopulation; or (ii) a state or regional authority, if the authority is responsible under the laws of a state for a capitalproject and for financing and directly providing public transportation. A Direct Recipient is an eligible entityauthorized by a designated recipient or state to receive Urbanized Area Formula Program funds directly from FTA.1FTA Region V FY2021 Grantmaking Reference GuidePage 6
ProjectsYour Project Title should include the following information: Federal fiscal year of the funding that will be used. The type of funds that will be used (Section 5307, 5311, 5339, etc.). A description of the major activities within the project. Project Title Sample – “FY2021 Section 5307 Vehicles, Facility Rehabilitation and MiscellaneousEquipment.”The Project Description (PD) section should include a high-level summary of the project activities withfurther details on each of the Activity Line Items included in their respective Extended BudgetDescriptions.Project Description (PD) Samples Funding is to support the acquisition of both replacement and expansion vehicles, reconstructionof the Downtown Transit Terminal, acquisition/installation of security cameras and fareboxes forthe buses, and a vehicle wheel alignment apparatus. Funding for a new bus operation and maintenance garage, which will support 186 buses. The newgarage will be located at 100 1st Street in Chicago, IL. The purpose of the garage is to provideadditional bus storage, operations and support functions, and maintenance space to supportcontinued growth in ridership demand.The Project Benefits section should include specific details on the purpose, need and qualitative andquantitative benefits of the underlying projects to the public. For e
This grant provides 1,000,000 of FY 2021Section 5307 operating assistance to the City of Oshkosh's transit system (GO Transit) for the period of January 1, 2021– December 31, 2021. The local share for operating will be 500,000 provided through local tax levies (ci
