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Copyright © 2012 Holland & Knight LLP. All Rights Reserved
Federal Funding 101
Rail-Volution
Minneapolis, Minnesota
Septem...
Annual Budget Process - Authority
• Congress is granted the “power of the purse,” or the ability to tax and
spend public d...
Annual Budget Process - Terminology
• Authorization: authorizes the appropriation of funds for agencies, programs, and
gov...
Annual Budget Process - Cycle
President Submits Budget Request to Congress
House and Senate Pass Budget Resolutions
House ...
Annual Budget Process - President’s Budget
5
• Required by law to submit annual budget for upcoming fiscal
year no later t...
Annual Budget Process - Budget Resolution
6
• Congressional Budget and Impoundment Control Act of 1974
requires Congress t...
Annual Budget Process - Committee Activity
7
• There are 12 subcommittees under the House and Senate Committees on
Appropr...
Annual Budget Process - Reconciliation
• After passing each appropriations bill, the House and Senate will go to
conferenc...
Annual Budget Process - Timeline
February
• President submits budget proposal to Congress
April 15
• Congress adopts a bud...
Annual Budget Process - Outlook
10
• Congress has repeatedly failed to progress through a
typical appropriations process f...
Surface Transportation Authorization
• Congress must adopt legislation that authorizes funding for highways,
transit and t...
Federal Highway Programs
12
Availability of Highway Flex Monies
• MAP-21 retains provisions to flex monies to transit from STP and
CMAQ
– Expanded eli...
National Highway Performance Program
14
• Allocated by formula to States
• Construction, reconstruction, resurfacing,
reha...
Surface Transportation Program
• 50% of monies apportioned to States obligated in urbanized areas,
other 50% used in any a...
Congestion Mitigation and Air Quality
16
• Formula program with set aside for
Transportation Alternatives
• Must contribut...
Performance Measures Structure
• Measures are intended to increase the accountability and transparency of the
Federal-aid ...
Planning and Performance
• Performance measures must be incorporated into long-range planning
and short-term programming p...
TIFIA
• Transportation Infrastructure Finance and Innovation Act (TIFIA)
– Provides credit assistance to eligible surface ...
TIFIA (Cont.)
• Transportation Infrastructure Finance and Innovation Act (TIFIA)
– Repayment of a loan may begin five year...
Accelerating Project Delivery
• States can assume FHWA’s role in NEPA process (excluding Clean Air
Act, Clean Water Act an...
Accelerating Project Delivery
• Demonstration project for lump sum payments for purchase of ROW
– State has authority to a...
Highlight of Transit Program Changes
23
Key Transit Terms
• Designated Grant Recipient
– Entity designated, in accordance with the planning process, by
Governor, ...
Key Transit Terms
• Grantee – Circular 5010.1D
– Entity to which a grant is awarded directly by FTA to support a
specific ...
Capital Investment Grants
• New Starts
– Projects exceeding $250 million in total cost
– Federal share usually 50 percent ...
Bus Rapid Transit
Small Starts New Starts
Right of Way Operates in a defined corridor but
majority of which does not opera...
Urbanized Area Formula Programs
• Urbanized Area Formula
– Prior eligibility is retained but expanded to include jobs acce...
Enhanced Mobility for Seniors/Persons with Disabilities
• Consolidates New Freedom and Elderly and Disabled Program
• Elig...
Other Formula Programs
• Rural Area Formula
– Incorporates rural transit, tribal discretionary grant programs, Rural Trans...
Transit Planning Program
• Performance-Based Planning Process
– MPOs and States to develop transportation plans through pe...
Pilot Program for TOD Planning
• Applies to New Starts and Core Capacity Projects
• States and local governmental entities...
State of Good Repair Program
• High Intensity Fixed Guideway Program – 97.15%
– Must be fixed guideway to receive funding
...
State of Good Repair Program
• Transit Asset Management
– FTA will introduce a regulation defining “state of good repair”
...
Fixed Guideway BRT - Proposed Definition in SGR Circular
• Over 50 percent of route operates in a separated right-of-way
d...
Fixed Guideway BRT - Proposed Definition in SGR Circular
• Provide faster passenger travel times through congested interse...
Program of Interrelated Projects
• Available only for New Starts/Core Capacity projects
– Project is in the Engineering ph...
Private Sector Participation
• Secretary is directed to promote better coordination between public
and private sector prov...
Private Sector Participation
• Develop guidance to provide transparency and public access to PPP
agreements
– Any conflict...
Pilot Project for Innovative Project Delivery
• Available for any New Start, Small Start or Core Capacity Project
• Demons...
TIGER
• $600 million for FY 14 – up to $35 M for Planning
– No less than $10 million per project and greater than $200 M i...
TIGER
• Planning Grants
– Planning, preparation and design of a project, or planning related to
interdisciplinary factors ...
TIGER
• Key considerations for funding
– Readiness – NEPA schedule, local match, status in terms of design
and engineering...
Accelerated Innovation Deployment (AID) Program
44
• Component of FHWA’s Technology and Innovation Deployment
Program (TID...
Federal Railroad Administration –
FY14 Grant Application Solicitation
45
• Solicitation for intercity passenger rail grade...
Bus and Bus Facilities, Ladders of Opportunity
• One-time opportunity through FTA
• Approximately $100 million available t...
FAA Airport Improvement Program (AIP)
• Planning & development grants for public-use airports
• Eligible projects include ...
Passenger Ferry Grant Program
• Federal Transit Administration (FTA) competitive program
• Funding to support existing ser...
Railway-Highway Crossings Program
49
• $220 million available for the program in 2014, funded from the
Highway Account of ...
Projects of National and Regional Significance (PNRS)
50
• Section 1301 of SAFETEA-LU provided grants to States for PNRS t...
Tribal High Priority Projects Program
51
• Provides funding to tribes whose “annual allocation of funding received
under t...
EPA Brownfields
52
• Brownfield Economic Redevelopment Initiative aims to “prevent,
asses, safely clean up, and sustainabl...
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Founded in 1968, Holland & Knight is a global law firm with more than 1,000
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Holland & Knight Offices
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Holland & Knight - Local Government Advocacy Practice
Holland & Knight’s Local Government Advocacy Team has an extensive h...
Holland & Knight - Transit Practice
Holland & Knight has more than 30 years’ experience and knowledge of federal
surface t...
59
Holland & Knight
Team Members
Lisa Ann Barkovic
Senior Policy Advisor
Ms. Barkovic has extensive experience in the area...
Holland & Knight
Team Members (Cont.)
60
Jim Davis
Partner
Mr. Davis served in the U.S. House of Representatives for 10 ye...
Holland & Knight
Team Members (Cont.)
61
Ronald J. Klein
Partner
Mr. Klein has worked in the private sector as a business ...
Holland & Knight
Team Members (Cont.)
62
Leslie Pollner
Senior Policy Advisor
Ms. Pollner focuses on several key industrie...
Holland & Knight
Team Members (Cont.)
63
David Whitestone
Partner
David Whitestone is a lawyer in the Public Policy & Regu...
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RV 2014: Show Me the Money- Federal Funding in a Non-Earmark World (Federal Funding 101) by Jeff Boothe

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Show Me the Money: Federal Funding in a Non-Earmark World AICP CM 1.5

Earmarks are gone. Time to explore new options. Hear about the federal highway and transit formula and financing programs currently available for transit, bicycle and pedestrian projects. Discover the many competitive discretionary federal programs still available to fund surface transportation projects and sustainability activities. You'll walk away with a complete list of programs, eligibility requirements, funding levels for FY 2014, status and links for submitting applications.

Jeffrey F Boothe, Chair, New Starts Working Group; Partner, Holland & Knight, Washington, DC

Published in: Economy & Finance
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RV 2014: Show Me the Money- Federal Funding in a Non-Earmark World (Federal Funding 101) by Jeff Boothe

  1. 1. Copyright © 2012 Holland & Knight LLP. All Rights Reserved Federal Funding 101 Rail-Volution Minneapolis, Minnesota September 22, 2014 Jeffrey F. Boothe 202.828.1896/jeff.boothe@hklaw.com
  2. 2. Annual Budget Process - Authority • Congress is granted the “power of the purse,” or the ability to tax and spend public dollars for the federal government under the Constitution. – “All bills for raising Revenue shall originate in the House of Representatives; but the Senate may propose or concur with amendments as on other Bills.” • Constitution also requires an appropriations process to take place before money can be spent. – “No money shall be drawn from the Treasury, but in Consequence of Appropriations made by Law; and a regular Statement and Account of the Receipts and Expenditures of all public Money shall be published from time to time.” • House and Senate have adopted rules prescribing a two-step authorization-appropriation process. 2
  3. 3. Annual Budget Process - Terminology • Authorization: authorizes the appropriation of funds for agencies, programs, and government functions. Purpose is to set parameters for spending. • Appropriation: confers actual authority to incur obligations. • Budget Resolution: sets spending ceilings for the upcoming fiscal year. • Types of Appropriations Measures: – Regular Appropriations: must be enacted before the new fiscal year on October 1; provides funding for fiscal year during typical process. – Continuing Resolution: extends previous fiscal year funding in the absence of regular appropriations, generally until regular bills are enacted. – Supplemental Appropriations: provides additional appropriations during a fiscal year, outside of the normal process. – Omnibus Appropriations: a combined package of regular appropriations bills used to consider a number of separate measures all at once. • Types of Outlays: – Direct (Mandatory): spending controlled by permanent laws, outside of the normal appropriations process. Examples: Medicare, Medicaid, unemployment insurance. – Discretionary: spending controlled through annual appropriations bills. 3
  4. 4. Annual Budget Process - Cycle President Submits Budget Request to Congress House and Senate Pass Budget Resolutions House and Senate Appropriations Subcommittees and Committees Markup Appropriations Bills House and Senate Vote on Bills and Reconcile Differences President Signs Appropriations Bills Into Law 4
  5. 5. Annual Budget Process - President’s Budget 5 • Required by law to submit annual budget for upcoming fiscal year no later than the first Monday in February of each year – Congress may grant extensions on this deadline. • The president’s submission to Congress initiates the annual budget process. • Budget is prepared by the Office of Management and Budget (OMB). • The President’s budget is a request and has no binding authority on Congress. • The President’s budget is used to detail administration policies and priorities, while creating, modifying, or removing certain programs and funding for agencies. • DOT announces budget and FTA release project recommendations
  6. 6. Annual Budget Process - Budget Resolution 6 • Congressional Budget and Impoundment Control Act of 1974 requires Congress to adopt an annual budget resolution. • Purpose is to establish the total level of discretionary funding for the fiscal year, which must cover at least five fiscal years. • Also allocates federal spending among 20 major functional categories of the federal budget, such as transportation. • The Congressional Budget Act establishes April 15 as a target for adoption of a budget resolution. • After Congress adopts a budget resolution, all mandatory and discretionary spending levels are allocated to the appropriate Committees, in what are known as a “302(a) allocation.”
  7. 7. Annual Budget Process - Committee Activity 7 • There are 12 subcommittees under the House and Senate Committees on Appropriations: • Appropriations Committees further divide 302(a) allocations among each subcommittee, known as 302(b) allocations, which further limit the total spending on each bill. Subcommittee Consideration and Markup Report to Full Appropriations Committee Full Committee Consideration and Markup Floor Action Agriculture, Rural Development Financial Services and General Government Legislative Branch Commerce, Justice and Science Homeland Security Military Construction and Veterans Affairs Defense Interior and Environment State and Foreign Operations Energy and Water Development Labor, Health and Human Services, and Education Transportation, Housing and Urban Development
  8. 8. Annual Budget Process - Reconciliation • After passing each appropriations bill, the House and Senate will go to conference to reconcile any differences. • Differences are negotiated by conferees or managers. • Conferees or managers generally consist of members from the respective House and Senate appropriations subcommittees, and the chair and ranking minority Members of the full committees. • Must remain within scope during negotiations: House and Senate rules prevent conferees from (1) altering identical text in each bill, or (2) adding new matter that was not included in either bill. However, these rules can sometimes be waived. • Once reconciled, bill is sent to the President for signature. – President has 10 days to sign or veto the measure. If no action taken, bill automatically becomes law at the end of a 10-day period that Congress is in session. – President may veto bill, which can only be overruled by Congress by a two- thirds vote in both chambers. 8
  9. 9. Annual Budget Process - Timeline February • President submits budget proposal to Congress April 15 • Congress adopts a budget resolution May/June • Appropriations Committees Begin Reporting Bills Late July • House and Senate finish considering appropriations bills Fall/ Winter • House and Senate reconcile, send bills to President October 1 • New Fiscal Year Begins 9
  10. 10. Annual Budget Process - Outlook 10 • Congress has repeatedly failed to progress through a typical appropriations process for years. • Instead, Congress has adopted continuing resolutions and omnibus appropriations measures in order to keep the government funded. – Still, partisan differences resulted in a government shutdown in October 2013 that lasted 16 days. • Another continuing resolution was adopted this past week for fiscal year 2015 with expectation of Omnibus Bill in December. • It is unclear when Congress may once again return to a normal process and enact appropriations measures in a timely and bipartisan fashion.
  11. 11. Surface Transportation Authorization • Congress must adopt legislation that authorizes funding for highways, transit and the safety programs – Moving Ahead for Progress in the 21st Century (MAP-21) signed into law in July 2012 – MAP-21 was a two year bill recently extended by Congress until May 2015 by the transfer of General Funds (GF) to the Highway Trust Fund (HTF) • HTF relies on 18.4 cent gasoline tax of which 2.86 cents are deposited into the Mass Transit Account (MTA) – Starting in 2008, Congress has been required to transfer monies from GF to the HTF that have been offset by changes in tax law • Highway programs funded entirely from HTF • Mass Transit funded by a combination of funds from MTA and the GF – Formula programs funded from MTA – Capital Investment Grants, FTA Administration and Research programs funded from GF 11
  12. 12. Federal Highway Programs 12
  13. 13. Availability of Highway Flex Monies • MAP-21 retains provisions to flex monies to transit from STP and CMAQ – Expanded eligibility under STP for congestion pricing, ferry boats and terminals, off system bridges, border infrastructure, and congestion pricing – Enhancements eliminated and replaced by “Transportation Alternatives” that expands eligibility to cover Safe Routes to Schools, Recreational Trails and roadways within ROW of former Interstate or other divided highways • 50% within local control while 50% can be transferred by States to other programs – Operating Assistance – FHWA issued guidance in July 2014 • Start-up of new transit service or incremental costs of expanding services • Three years of CMAQ may be spread over a period of five years but must be tapered over that period • End of five years, non-CMAQ monies must be found 13
  14. 14. National Highway Performance Program 14 • Allocated by formula to States • Construction, reconstruction, resurfacing, rehabilitation, preservation and operational improvements to the National Highway System (NHS), NHS system bridges and tunnels • Construction, rehabilitation or replacement of ferry boats and facilities that connect road segments of the NHS • Construction of transit projects if project is in HNS corridor and in proximity to NHS corridor, if more cost-effective than NHS improvement • Bicycle and Pedestrian projects • Infrastructure-based ITS capital projects
  15. 15. Surface Transportation Program • 50% of monies apportioned to States obligated in urbanized areas, other 50% used in any area of the State • Construction, reconstruction, resurfacing, rehabilitation, preservation and operational improvements on any federal aid highway • Construction of tunnels and bridges on federal aid highways • Transit capital projects • Carpool projects, fringe and corridor parking facilities • Transportation Alternatives – Enhancements plus following: • Safe Routes to Schools • Recreational Trails • Roads within ROW of former Interstates or other divided highways • Surface transportation planning 15
  16. 16. Congestion Mitigation and Air Quality 16 • Formula program with set aside for Transportation Alternatives • Must contribute to attainment or maintenance of air quality standard or effectiveness in reducing air pollution • Eligible Projects: – Traffic monitoring or control facilities – Transit capital projects – Transit operating assistance for initial operations or expansion of operations for three years – Bicycle/Pedestrian projects – Projects that shift demand to off-peak hours – Facilities serving electric or natural gas- fueled vehicles
  17. 17. Performance Measures Structure • Measures are intended to increase the accountability and transparency of the Federal-aid highway program and improve project decision making through performance based planning and programming. • Seven national goal areas: • DOT will establish measures in consultation with State DOTs, MPOs and other stakeholders. • States are required to establish performance targets that reflect performance measures established by DOT. • MPOs and transit operators, will set targets for each measure, incorporate in plans and programs and report progress. • NPRM issued on June 2, 2014 (79 Fed. Reg. 31784) to implement measures – comments are due October 2, 2014 17 Safety Infrastructure Condition Congestion System Reliability Freight Movement and Economic Vitality Environmental Sustainability Reduced Project Delays
  18. 18. Planning and Performance • Performance measures must be incorporated into long-range planning and short-term programming processes • LRTPs, TIPs and STIPs must show the progress that is expected to be achieved by planned decisions and investments • DOT will evaluate the appropriateness of State targets and the progress that the State is making in achieving performance targets • States and MPO plans will include performance reports that described the progress made toward achieving performance targets. • Scenario Planning • MPOs can develop multiple scenarios for LRTPs, but scenarios must be evaluated against performance measures – Used to assess pros and cons, as well as effects of each scenario • FHWA is to conduct a study on costs and benefits associated with scenario planning in developing the metropolitan transportation plan • Analysis will also look at technical and financial capacity of MPOs to develop planning scenarios 18
  19. 19. TIFIA • Transportation Infrastructure Finance and Innovation Act (TIFIA) – Provides credit assistance to eligible surface transportation projects, including highways and transit • Secured Loans – direct loans with flexible repayment terms and providing combined construction and permanent financing – up to 49% of project cost • Loan Guarantees – full-faith and credit loan guarantees by Federal government to institutional investors – up to 49% of project cost • Lines of Credit – contingent sources of funding in form of loans that may be drawn down during first ten years of construction – up to 33% of project cost • Master Credit Agreements – contingent commitment of future TIFIA assistance for a program of projects secured by a common revenue pledge – Program expanded from $250 M per year to $750 M in FY 13 and $1 B in FY 14 – Must be repaid through dedicated funding sources that secure the obligation, such as tolls, user fees or payments 19
  20. 20. TIFIA (Cont.) • Transportation Infrastructure Finance and Innovation Act (TIFIA) – Repayment of a loan may begin five years after substantial completion or project, and must be fully repaid within 35 years – Application Process – • First submit letters of interest (LOI) using the form available on TIFIA's website – Describe project location, purpose and cost – Outline of Project financial plan, including requested assistance and proposed obligor – Provide status of environmental review – Provide information regarding satisfaction of TIFIA eligibility requirements • DOT will review LOIs and request further information as necessary • Upon completion of the review and a determination of eligibility, DOT will invite an application for credit assistance 20
  21. 21. Accelerating Project Delivery • States can assume FHWA’s role in NEPA process (excluding Clean Air Act, Clean Water Act and Endangered Species Act), including direct coordination with Federal environmental agencies (i.e. EPA, DOI, FWS) • Use of construction manager/general contractor (CMGC) method of contracting • Accelerated completion of complex projects within four years when State and other project sponsors request technical assistance – States and other project sponsors can request use of authority for projects that have been under development for at least two years • Up to 100% Federal share for some innovative techniques – Limited to 10% of available highway funding for States – Projects that contain innovative project delivery techniques, contain innovative technologies (ITS, recycling technology), or accelerates project delivery (incentives for early completion of the project, program or activity) 21
  22. 22. Accelerating Project Delivery • Demonstration project for lump sum payments for purchase of ROW – State has authority to acquire the real property interest under State law – Will not cause any significant adverse environmental impact • Will not limit the choice of reasonable alternatives for the project or otherwise influence the decision of the Secretary on any required approval • Does not prevent the lead agency from making an impartial decision as to whether to accept an alternative that is being considered • Consistent with the State transportation planning processes • Acquired through negotiation, without the threat of condemnation and consistent with STURRA and Civil Rights Act – Secretary shall complete the review process under NEPA – Property interest shall have independent utility for purposes of NEPA and limit consideration of alternatives for future transportation improvements with respect to the real property interest. – Acquisition may consist of the acquisition of a specific parcel, a portion of a transportation corridor, or an entire transportation corridor. – May not be developed in anticipation all required environmental reviews completed. 22
  23. 23. Highlight of Transit Program Changes 23
  24. 24. Key Transit Terms • Designated Grant Recipient – Entity designated, in accordance with the planning process, by Governor, local officials and transit operators to receive and apportion federal transit monies, or – State or regional authority • Direct Recipient/Eligible Recipient – Entity that operates fixed route bus service and authorized by designated grant recipient to receive formula funds, or any entity that receives funds under section 5309 • Subrecipient – Receives monies through pass-through agreement with direct recipient or designated grant recipient whereby original recipient remains responsible for compliance 24
  25. 25. Key Transit Terms • Grantee – Circular 5010.1D – Entity to which a grant is awarded directly by FTA to support a specific project in which FTA does not take an active role or retain substantial control • Project Sponsor – Entity responsible for providing legal, technical and financial capacity to managr a New Starts, Small Starts or Core Capacity project 25
  26. 26. Capital Investment Grants • New Starts – Projects exceeding $250 million in total cost – Federal share usually 50 percent as project exceed $1 billion in total cost FTA is providing less than 50 percent • Small Starts – Projects less than $250 million in total cost – Federal share is capped at $75 million • Core Capacity – Projects that add ten percent capacity – No State of Good Repair projects 26
  27. 27. Bus Rapid Transit Small Starts New Starts Right of Way Operates in a defined corridor but majority of which does not operate in a separated ROW dedicated to transit use during peak periods Majority of project operates in a separated ROW dedicated to transit use during peak hour Features of Project Substantial investment in a defined corridor by features that emulate rail fixed guideway services, including: • Defined stations; • Traffic signal priority; • Short headway bidirectional services for a substantial part of weekday and weekend days; and • Any other features Secretary determines support long-term investment Substantial investment in a single route in a defined corridor or subarea Includes features the emulate services provided by rail fixed guideway systems, including: • Defined stations; • Traffic signal priority • Short headway bidirectional services for a substantial part of weekday and weekend days; and • Any other features Secretary determines are necessary to produce high quality transit that emulates rail fixed guideway systems 27
  28. 28. Urbanized Area Formula Programs • Urbanized Area Formula – Prior eligibility is retained but expanded to include jobs access and reverse commute – Provides funding for State Safety Oversight – Retains operating assistance for areas below 200,000 – Limited operating assistance for areas above 200,000 which operate up to 100 buses in fixed route service during peak hours – 1% mandatory set aside for transportation security projects • Growing States and High Intensity State Formula – Retains formula program first included in SAFETEA-LU 28
  29. 29. Enhanced Mobility for Seniors/Persons with Disabilities • Consolidates New Freedom and Elderly and Disabled Program • Eligible Activities – 55% for capital projects to meet needs of seniors – 45% for transit projects to provide access to service or exceed ADA • Funding – 60% to designated recipients in urbanized areas (above 200,000) – 20% each to states for small urbanized area and for rural areas – Monies can be used for operating assistance – 50% federal share – Capital projects match – 80% federal share 29
  30. 30. Other Formula Programs • Rural Area Formula – Incorporates rural transit, tribal discretionary grant programs, Rural Transit Assistance Program and Appalachian Development Public Transportation Assistance – Federal share is 80% for capital and 50% for operating assistance – Includes planning, capital, operating, JARC and acquisition of public transportation services • Bus and Bus Facilities – Shift from a discretionary to formula program – Overall funding reduced by 50% – First $65.5 million allocated with each state receiving $1.25 M with remaining $356.6 M allocated based on population, vehicle revenue miles and passenger miles 30
  31. 31. Transit Planning Program • Performance-Based Planning Process – MPOs and States to develop transportation plans through performance- based planning – Transit performance-based planning focus is on asset management and State of Good Repair • Regional Transportation Planning Organizations may be created for nonmetropolitan areas • MPOs in urbanized areas designated as TMAs must include transit officials on policy boards – Guidance published on June 2, 2014 (79 Fed. Reg. 31214) – Representative should be either a board member (elected or appointed) or officer of a provider of public transportation – Should not be a person serving on MPO in another capacity – Have equal voting rights with other MPO Board members 31
  32. 32. Pilot Program for TOD Planning • Applies to New Starts and Core Capacity Projects • States and local governmental entities are eligible for funding • $10 M annually is awarded competitively • Competitive grants would seek to: – Enhance economic development, ridership and other goals established during the project development and engineering processes; – Facilitate multi-modal connectivity and accessibility; – Increase access to transit hubs for bicycle and pedestrian activity; – Enable mixed-use development; – Identify infrastructure needs associated with the eligible project; and – Include private sector participation. 32
  33. 33. State of Good Repair Program • High Intensity Fixed Guideway Program – 97.15% – Must be fixed guideway to receive funding – Alignment and operations contain each of the features set forth in State of Good Repair Circular • High Intensity Motorbus Program – 2.85% – Systems not operating in dedicated ROW – May share lane with other High Occupancy Vehicles – May share a “HOT lane” if transit and other HOVs ride for free – Monies may not be used to maintain or rehabilitate HOV lanes 33
  34. 34. State of Good Repair Program • Transit Asset Management – FTA will introduce a regulation defining “state of good repair” – Regulation will set standards for measuring condition of capital assets – Will establish performance standards for state of good repair with each transit agency required to set targets – Transit agencies will be required to report condition of assets to the National Transit Database (NTD) • Condition of their system and any change in the condition • Targets set and progress towards meeting those targets 34
  35. 35. Fixed Guideway BRT - Proposed Definition in SGR Circular • Over 50 percent of route operates in a separated right-of-way dedicated for transit use during peak periods – Other traffic can make turning movements through the separated right-of- way. • Defined stations – Accessible for persons with disabilities – Offer shelter from the weather – Provide information on schedules and routes.
  36. 36. Fixed Guideway BRT - Proposed Definition in SGR Circular • Provide faster passenger travel times through congested intersections by using active signal priority in separated guideway, and either queue-jump lanes or active signal priority in non-separated guideway • The route must provide: – short headway, bi-directional service for at least a 14-hour span of service on weekdays and a 10-hour span of service on weekends – Short headway service on weekdays consists of either 15 minutes or less maximum headways throughout the day, or 10 minutes or less maximum headways during peak periods and 20 minutes or less maximum headways at all other times – Short headway service on weekends consists of 30 minutes or less maximum headways for at least 10 hours a day • The provider must apply a separate and consistent brand identity to stations and vehicles”
  37. 37. Program of Interrelated Projects • Available only for New Starts/Core Capacity projects – Project is in the Engineering phase – Program of projects • has logical connectivity • when evaluated as a whole, meets the requirements for project justification capacity • supported by a logical implementation plan and by an acceptable degree of financial commitment – Monies must be repaid if sponsor does not complete program within a reasonable period of time – Government share of each project within program may not exceed 80% – Including a project not financed by Federal Government in a program does not impose Federal governments otherwise applicable 37
  38. 38. Private Sector Participation • Secretary is directed to promote better coordination between public and private sector providers by providing technical assistance • If requested by sponsor of New Start, Small Start or Core Capacity project – – Identify best practices for PPP models in USA and elsewhere – Develop standard PPP transaction models – Perform financial assessments that include calculation of public and private benefits of PPPs • Secretary to identify provisions that impede use of PPPS • Develop guidance to provide transparency and public access to PPP agreements 38
  39. 39. Private Sector Participation • Develop guidance to provide transparency and public access to PPP agreements – Any conflicts of interest for parties involved in PPPs; – Tax and financing aspects related to PPPs; – Changes in workforce and wages, benefits, or rules as a result of PPPs; – Estimates of the revenue or savings the PPP will produce for the public entity and private entity; – Any impacts on other developments and transportation modes as a result of non-compete clauses contained in PPPS; and, – Any other issue. • Project sponsors are encouraged to conduct assessments to determine whether a PPP represents a better public and financial benefits 39
  40. 40. Pilot Project for Innovative Project Delivery • Available for any New Start, Small Start or Core Capacity Project • Demonstrate whether innovative project development and delivery methods or innovative finance arrangements can expedite project delivery • FTA select three projects to participate – At least one shall be requesting more than $100 million – At least one a project seeking less than $100 million • Government share limited to 50% • Recipient shall submit an application that identifies (a) project, (b) project schedule, (c) finance plan, and, (d) an analysis of efficiencies of proposed P3 • Certify system is in a state of good repair, project completed NEPA and demonstrate legal, technical and financial capacity 40
  41. 41. TIGER • $600 million for FY 14 – up to $35 M for Planning – No less than $10 million per project and greater than $200 M in urban areas • Major focus on “ladders of opportunity” – Connect to centers of employment, education and services – Stimulate long-term growth, especially in economically depressed areas • Total of five primary criteria and two secondary criteria used to evaluate projects 41
  42. 42. TIGER • Planning Grants – Planning, preparation and design of a project, or planning related to interdisciplinary factors such as housing, economic development, stormwater and other infrastructure investments – Applicant must discuss how the project resulting from the planning efforts will lead to the fulfillment of the criteria • Benefit/Cost Analysis (BCA) – Key is identifying and quantifying project benefits – Must receive a positive BCA in order to be considered • Selection Process – About 15 percent of projects are highly recommended – Only about three percent of the projects are funded 42
  43. 43. TIGER • Key considerations for funding – Readiness – NEPA schedule, local match, status in terms of design and engineering and schedule – TIGER funds are the “last dollar” necessary to advance the project – Complete project with independent utility – Political and community support • Expect and prepare for TIGER funding in FY 15 43
  44. 44. Accelerated Innovation Deployment (AID) Program 44 • Component of FHWA’s Technology and Innovation Deployment Program (TIDP) • State DOTs, local governments, MPOs, tribal governments and Federal Land Management Agencies are eligible • Projects may be in any aspect of highway transportation, including: planning, financing, operation, structures, materials, pavements, environment, and construction – e.g. lateral slide, high friction surface treatment • Project must be ready to initiate within 6 months of applying • $15 million available for FY 2014 – Up to $14 million for State DOTs – Up to $1 million to tribal governments and Federal Land Management Agencies
  45. 45. Federal Railroad Administration – FY14 Grant Application Solicitation 45 • Solicitation for intercity passenger rail grade crossing improvement projects, positive train control (PTC) implementation projects, and Passenger Rail Corridor Investment Plan (PRCIP) projects • At least $36.3 million in funding available – FY14 Omnibus Authority: $19.8 million – FY08/08 Remaining HSIPR: $11.3 million – FY10 Remaining HSIPR: $5.2 million
  46. 46. Bus and Bus Facilities, Ladders of Opportunity • One-time opportunity through FTA • Approximately $100 million available through recoveries from Section 5309 Bus and Bus Facilities Program authorized by SAFETEA-LU • Financing for capital projects to replace, rehabilitate, and purchase busses and to construct bus-related facilities – Operating expenses, preventive maintenance, and previous project expenses are ineligible • Eligible applicants included Urbanized Area Formula Program direct recipients, States, or Indian Tribes; Rural areas must submit as part of consolidated application • Opportunity closed on August 4, 2014 46
  47. 47. FAA Airport Improvement Program (AIP) • Planning & development grants for public-use airports • Eligible projects include improvements related to airport security, capacity, and environmental concerns – e.g. Runway rehabilitation, airfield signage and lighting, planning or environmental studies, land acquisition, and others • FAA makes case-by-case determination for funding under the Passenger Facility Charge (PFC) program of airport ground access transportation projects – PFCs can be used for ground transportation projects, such as LRT, streetcar, BRT that provide access to airports – Project on airport property – Project can only provide access to the airport 47
  48. 48. Passenger Ferry Grant Program • Federal Transit Administration (FTA) competitive program • Funding to support existing service, establish new service, and modernize boats and facilities for public ferry systems in urbanized areas - June 2014, FTA announced $60 million for 26 projects in 13 states • State and local government entities, public transportation providers, and private or non-profit organizations are eligible - Must be direct recipients of Section 5307 Urbanized Area Program 48
  49. 49. Railway-Highway Crossings Program 49 • $220 million available for the program in 2014, funded from the Highway Account of the Highway Trust Fund • Funds safety improvements to reduce fatalities, injuries, and crashes at public grade crossings • Eligible projects include all public crossings at roadways, bike trails, and pedestrian paths • State funding levels determined by two factors: – 50% on formula factors for the Surface Transportation Program (STP) – 50% based on the number of public railway-highway crossings • Each state guaranteed to receive a minimum of 1/2% of program funds • 90% federal funding share
  50. 50. Projects of National and Regional Significance (PNRS) 50 • Section 1301 of SAFETEA-LU provided grants to States for PNRS to improve movement of goods and people • MAP-21 authorized $500 million in fiscal year 2013 for PNRS, however no funds appropriated in FY13 • Section 1120 of MAP-21 requires DOT to develop a report to Congress containing a list of projects of national and regional significance, used to develop recommendations on financing • PNRS Survey – Compiled through surveys of State departments of transportation, transit agencies, tribal governments, and multi-state/multi-jurisdictional groups – Survey closed June 30, 2014
  51. 51. Tribal High Priority Projects Program 51 • Provides funding to tribes whose “annual allocation of funding received under the Tribal Transportation Program (TTP) is insufficient to complete the highest priority project of the Tribe,” or to provide emergency funding for inoperative facilities due to disaster • $30 million appropriated from the General Fund • Modeled after former Indian Reservation Roads High Priority Projects Program • Projects limited to $1 million per application; 100% federal share • Indian Tribes or tribal government subdivisions are eligible
  52. 52. EPA Brownfields 52 • Brownfield Economic Redevelopment Initiative aims to “prevent, asses, safely clean up, and sustainably reuse brownfields” – Definition: a site, or portion thereof, that has actual or perceived contamination and an active potential for redevelopment or reuse • Administered by Environmental Protection Agency (EPA), Office of Brownfields and Land Revitalization (OBLR) • FY 2015 Brownfields area-wide planning grant proposals due September 22, 2014 – Funding to conduct research, technical assistance, and/or training activities to develop brownfields area-wide plan • $4 million available for FY 2015, with maximum of $200,000 for each proposal • Urban brownfields can be preferable locations for transportation facilities
  53. 53. Questions? www.hklaw.com
  54. 54. Thank You! www.hklaw.com
  55. 55. Holland & Knight - Overview Founded in 1968, Holland & Knight is a global law firm with more than 1,000 lawyers and other professionals in 20 U.S. offices, as well as Bogotá and Mexico City. Among the nation's largest law firms, Holland & Knight provides representation in litigation, business, real estate and governmental law. Interdisciplinary practice groups and industry-based teams provide clients with access to attorneys throughout the firm, regardless of location. Holland & Knight has dedicated Local Government Advocacy and Transit practices to identify key funding opportunities and guide clients through the intricate federal funding process. 55
  56. 56. Holland & Knight Offices 56 Portland Los Angeles San Francisco Dallas Chicago Boston New York Washington, D.C. Northern Virginia Atlanta Lakeland Miami Fort Lauderdale West Palm Beach Orlando Jacksonville Tampa Tallahassee Anchorage Bogotá, Colombia Mexico City, Mexico Austin
  57. 57. Holland & Knight - Local Government Advocacy Practice Holland & Knight’s Local Government Advocacy Team has an extensive history of representing cities, counties, transportation agencies, education districts, housing authorities, public utilities, and other municipal entities across the United States. The firm assists clients in a broad range of areas, including transportation, water, energy and environment, public safety and homeland security to housing, community/economic development, education, workforce development, human services, public health, tax and pension matters – touching every local government issue. Holland & Knight’s bipartisan team maintains strong working relationships to Congress, the White House, virtually every federal department and agency, national stakeholders, think tanks, and thought leaders. In addition to the firm’s policy focus, Holland & Knight is equally matched in knowledge and expertise in the federal funding process and the ways to successfully maneuver funding outcomes in the current earmark-free environment. 57
  58. 58. Holland & Knight - Transit Practice Holland & Knight has more than 30 years’ experience and knowledge of federal surface transportation programs, with a significant emphasis on public transit, and extensive experience working with transit agencies across the United States. Using our close bipartisan relationships, we have secured billions of dollars in federal resources to support small and large-scale transportation initiatives across the country, covering transit, light rail, bus and bus facilities, highway, road and bridge and pedestrian improvement. Holland & Knight also has an in-depth knowledge of the legislative, regulatory and statutory provisions affecting public transit agencies. We have a strong record of success assisting local governments, transit agencies, and transportation authorities in securing annual appropriations, program grants, loan, and bond financing. 58
  59. 59. 59 Holland & Knight Team Members Lisa Ann Barkovic Senior Policy Advisor Ms. Barkovic has extensive experience in the areas of federal appropriations, transportation, environment, energy, and homeland security. Prior to joining Holland & Knight, Ms. Barkovic served five years in the office of former Congressman Mark Foley (FL-16) as a Legislative Assistant. Paul S. Bock Partner Mr. Bock has more than 20 years of experience working with key decision-makers in the U.S. Senate and House of Representatives, including lawmakers, senior staff members and interest groups involved in public policy. He has extensive experience and knowledge in financial services, transportation and energy. Jeffrey F. Boothe Partner Mr. Boothe is nationally recognized on matters relating to transportation policy, transit project planning, strategy and implementation, procurement and transit- oriented development. Mr. Boothe is experienced in representing public transit properties and helping clients advance projects through the federal approval process for discretionary grants, transit procurement and Buy America provisions.
  60. 60. Holland & Knight Team Members (Cont.) 60 Jim Davis Partner Mr. Davis served in the U.S. House of Representatives for 10 years, from 1997 to 2007. While in Congress, Mr. Davis served on the Energy and Commerce Committee where he was focused on energy, telecommunications and electronic commerce, healthcare, the environment and consumer protection issues. Rich Gold Partner Mr. Gold is the leader of Holland & Knight's Public Policy & Regulation Practice Group. Mr. Gold joined Holland & Knight in 1994 after eight years of government service, culminating in stints with Senator Lloyd Bentsen and EPA Administrator Carol Browner. Lauri A. Hettinger Senior Policy Advisor Ms. Hettinger advocates for local government municipalities' and industry's infrastructure needs, including surface transportation, water resources, economic development and Army Corps of Engineers.
  61. 61. Holland & Knight Team Members (Cont.) 61 Ronald J. Klein Partner Mr. Klein has worked in the private sector as a business and transactional attorney for over 25 years, as well as the public sector as an elected official in both Tallahassee and Washington, D.C. Mr. Klein's experience gives clients an added edge in having their advocate understand their issues and concerns. Kathryn Lehman Partner A 15-year veteran of the Hill, Ms. Lehman has significant and wide-ranging experience, having worked closely with the White House, administrative agencies, House and Senate leadership and committees, political committees and other key members of government. Dan Maldonado Senior Policy Advisor Mr. Maldonado has over 30 years of federal appropriations, legislative and budget experience. He has extensive expertise in Federal financing of a range of critical public policy areas, including economic development, redevelopment and transportation projects; energy, water and environmental programs.
  62. 62. Holland & Knight Team Members (Cont.) 62 Leslie Pollner Senior Policy Advisor Ms. Pollner focuses on several key industries, including transportation, economic development and housing. Prior to joining the firm, Ms. Pollner was the deputy mayor for federal affairs in Los Angeles under Mayor Antonio Villaraigosa. Eve M. O’Toole Senior Policy Advisor Ms. O'Toole brings more than 20 years of federal lobbying experience, with substantial background in local government/public sector advocacy, regulatory, appropriations and policy development, and in establishing and executing local public-private partnerships and successful grassroots campaigns and coalitions. Justin A. Maturo Legislative Assistant Mr. Maturo has over 4 years of combined experience working in the U.S. House of Representatives. Prior to joining Holland & Knight, Mr. Maturo served as legislative assistant for Congresswoman Eddie Bernice Johnson.
  63. 63. Holland & Knight Team Members (Cont.) 63 David Whitestone Partner David Whitestone is a lawyer in the Public Policy & Regulation Practice Group and oversees the provision of legal and legislative counsel services. Prior to joining private practice, Mr. Whitestone worked in the U.S. House of Representatives and was an associate staff member on the House Appropriations Committee. Shawna Watley Senior Policy Advisor Ms. Watley has cultivated strong relationships on the federal, state and local levels of government. Prior to joining Holland & Knight, Ms. Watley served as manager of federal relations for the Dallas Area Rapid Transit and was founder and president of the Francis Group LLC, which specialized in consulting on transportation issues.

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