Frequently Asked Questions from FTA Grantees Regarding Coronavirus Disease 2019 (COVID-19)

These FAQs provide clarity regarding how COVID-19 preparations impact certain FTA requirements. They also contain recommendations from the Centers for Disease Control and Prevention (CDC) to help grantees and subgrantees prepare for COVID-19. (Updated 12/03/2020)

These FAQs 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 agency policies. Grantees and subgrantees should refer to FTA’s statutes and regulations for applicable requirements.

Coronavirus Disease 2019 (COVID-19) FAQs

Coronavirus Aid, Relief, and Economic Security (CARES) Act

CA1: Are all expenses normally eligible under the Urbanized Area Formula Program (49 USC 5307) and the Formula Grants for Rural Area Program (49 USC 5311) eligible under the CARES Act?

A: Yes, the CARES Act provides funds to prevent, prepare for, and respond to COVID-19. Although the priority for the funding is operational expenses, FTA will generally consider all expenses normally eligible under the Section 5307 and 5311 programs that are incurred on or after January 20, 2020 to be in response to economic or other conditions caused by COVID-19and thus eligible under the CARES Act.

In addition, CARES Act funds are available for operating expenses for all FTA Section 5307 and 5311 recipients, including those in large urban areas, and including administrative leave for transit workers.

CA2: What is eligible as an operating expense?

A: Funds available under the CARES Act are available for all operating activities (net fare revenues) that occur on or after January 20, 2020 are eligible.

In general, operating expenses are those costs necessary to operate, maintain, and manage a public transportation system. Operating expenses usually include such costs as driver salaries, fuel, and items having a useful life of less than one year, including personal protective equipment and cleaning supplies. See Chapter IV of the Urbanized Area Formula Program circular or Chapter III of the Formula Grants for Rural Areas circular for more information on eligible operating expenses.

The CARES Act funding can be used for administrative leave, such as leave for employees due to reductions in service or leave required for a quarantined worker.

CA3: Is there a limit for how much funding can be used for operating expenses?

A: No. All funds made available under the CARES Act may be used for operating expenses.

CA4: Does the limit on using up to 10 or 20 percent of a recipient’s apportionment of 5307 and 5311 funds for paratransit service in accordance with the Americans with Disabilities Act apply?

A: No. Funds provided under the CARES Act are available at a 100-percent federal share to maintain operations. As such, there is no limit on the amount of funds made available under the CARES Act that may be used to pay for paratransit service provided on or after January 20, 2020, which is typically an operating expense.

CA5: Are operating costs incurred under operations or maintenance service contracts with third parties, and administrative leave for third-party contractors, including intercity bus providers, eligible for FTA reimbursement under the CARES Act?

A: It depends. Title XII of Division B of the CARES Act provides that administrative leave for public transportation operations personnel is an eligible expense. Expenses under third-party contracts for operations or maintenance services incurred on or after January 20, 2020, including third-party contract employees providing such service who are placed on administrative leave due to reduced service, are eligible for federal reimbursement. Whether an FTA recipient is responsible for such administrative leave will depend on the terms of its third-party contract.

CA6: Are FTA funds available for public transit agencies to reimburse third-party operations and maintenance contractors for the amounts provided in the contracts, even if the levels of service provided by the third-party contractors are reduced because of COVID-19?

A: No. Federal funds can only be used to reimburse FTA recipients for actual operating or maintenance costs. However, an FTA recipient may use federal funds to reimburse a contracted operations or maintenance provider for employees placed on administrative leave if service levels are reduced, if the FTA recipient is responsible for salaries and benefits under the terms of its contract.

CA7: Are states and designated recipients required to adhere to existing FTA-approved State Management Plans for allocation of CARES Act funding within the State or service area?

A: No. States and designated recipients have flexibility to allocate CARES Act funding through a different process than the one described in a previously approved State Management Plan, without prior FTA approval. States should document any deviations in an attachment to the CARES Act funding application. Requirements for fair and equitable distribution and intercity bus consultation under 49 U.S.C. 5311(f) apply to CARES Act funds.

CA8: Is a state required to use its existing State Management Plan to develop a program of projects for CARES Act funds administered under the Formula Grants for Rural Areas Program (Section 5311)?

A: No. A State may develop a program of projects consistent with its documented State Management Plan that has been updated to accommodate CARES Act funds.

CA9: Are CARES Act funds administered under the Urbanized Area Formula Grants (Section 5307) program subject to Program of Projects (49 U.S.C. 5307(b)) requirements?

A: In part. Projects funded with CARES Act funds that are administered under the Urbanized Area Formula Program that involve substantial changes to the function, location, or capacity of transit system assets are subject to all Program of Projects requirements. See 23 CFR 450.218(g)(5) and 23 CFR 450.326(e)(5). Consistent with the emergency exemptions from the Transportation Improvement Program (TIP) or the Statewide Transportation Improvement Program (STIP) requirements, all other projects funded by CARES Act funds, including operating assistance projects and capital projects that do not involve a substantial change to the function, location, or capacity of an asset, are subject only to the requirements associated with making the amount of funding available to the recipient public (49 U.S.C. 5307(b)(1)) and making the final program of projects available to the public (49 U.S.C. 5307(b)(7)). Recipients must document the process used to comply with these requirements.

CA10: Are there any restrictions on establishing period of performance end dates for CARES Act grants for operating assistance or preventive maintenance?

A: No. Grants for operating assistance and preventive maintenance using CARES Act funds may cover a period of time that corresponds to the expected spend-down rate of the funds, and the agency may establish the end of the period of performance of the grant accordingly.

CA11: May a transit agency use CARES Act funds to pay intercity bus service providers that it usually pays with State/local funds?

A: Yes. A transit agency may use funding from the CARES Act apportioned through the Formula Grants for Rural Areas (Section 5311) program for any purpose normally allowed through that program, including intercity bus services eligible under 49 U.S.C. 5311(f).

CA12: Does the requirement that grant recipients use one percent of funds apportioned via the Urbanized Area Formula program for public transportation security projects apply to CARES Act funds?

A: Yes. Similar to grants made with annually apportioned Urbanized Area Formula funds, at least one percent of CARES Act funds apportioned via the Urbanized Area Formula program must be used for public transportation security projects, or the recipient must certify that the expenditures are unnecessary (pursuant to 49 U.S.C. 5307(c)(1)(J)).

CA13: If a transit system waives fares for riders, can the transit system use CARES Act funding for operations that those fares would have covered?

A: Funding under the CARES Act can be used to reimburse operating costs associated with providing fare-free service. FTA funds net operating costs, or those costs that cannot reasonably be financed by fare revenues (as defined in 49 U.S.C. 5302(12)). In the case of fare-free service, FTA would fund the total operating costs, as there are no fare revenues to deduct to get to net operating cost.

CA14: Can a public transportation system that has not previously received FTA formula funding receive CARES Act funding as a recipient or a subrecipient, including to pay for administrative leave of operations personnel?

A: Yes. Operators that meet the definition of public transportation service and that are otherwise eligible to be a recipient or subrecipient under the Urbanized Area Formula Program (Section 5307) or the Rural Areas Formula Program (Section 5311) may receive CARES Act funding if allocated funds by the designated recipient. To receive funding as a recipient or subrecipient, the public transportation operations must meet all eligibility and program requirements of either Section 5307 or Section 5311. As a subrecipient, the operator must receive CARES Act funding through an existing designated or direct recipient of Urbanized Area or Rural Area formula funding. 49 USC 5302(4), 5307(c), 5311(a)(2).

CA15: How will FTA reimburse grantees for lost revenue, which is eligible under the CARES Act?

A: FTA will reimburse any eligible expenses incurred on or after January 20, 2020, including eligible expenses that would have otherwise been paid for by the lost revenue. This includes all the expenses normally eligible under Urbanized Area Formula Grants (Section 5307) or the Formula Grants for Rural Areas Program (Section 5311) that occurred on or after January 20, 2020, at a 100% federal share. It also includes reimbursement of any net operating expenses for all Urbanized Area and Rural recipients. Operating costs are those costs necessary to operate, maintain, and manage a public transportation system. Operating expenses usually include such costs as driver salaries, fuel, and items having a useful life of less than one year, including personal protective equipment and cleaning supplies. See Chapter IV and the Appendix C of the Urbanized Area Formula Program Circular or Chapter III of the Formula Grants for Rural Areas Circular for more information on eligible operating expenses and how to calculate them. CARES Act funding also can be used for administrative leave, such as leave for employees due to reductions in service or leave required for a quarantined worker. The type of lost revenue does not matter and the applicant does not need to identify the amount of lost revenue in the grant application.

CA16: May a recipient modify a third-party contract to require the payment of administrative leave of operations or maintenance personnel or for other operations or maintenance expenses, including expenses to retain readiness for operations and maintenance activities, and fixed expenses such as rent?

A: Yes. Administrative leave is an eligible expense for operations and maintenance personnel whether those personnel are in-house or employed by contractors. Recipients may also modify contracts to pay for eligible operating/maintenance expenses required to retain readiness or eligible fixed operations/maintenance expenses such as rent, even if service is reduced.

CA17: If a transit worker must be put on administrative leave because of a presumptive or confirmed case of COVID-19, is the employee’s pay during this time an eligible expense?

A: Yes. This may be categorized as an emergency protective measure taken to protect public health and safety. The employee must be in pay status to be an eligible expense. 2 CFR 200.305.

CA18: Can a transit provider temporarily suspend charging fares?

A: Yes. If a recipient operates fixed route service that is now fare-free, complementary ADA paratransit service also must be fare-free. 49 CFR 37.131(c).

CA19: What is the period of availability to obligate or spend CARES Act funding?

A: Funds are available until expended. There is no lapse date to obligate funds available under the CARES Act. Transit systems are encouraged to spend funds expeditiously to respond to local needs.

CA20: Is there a deadline by which funds must be used?

A: No, however grants for operating expenses may not be used for operating expenses incurred prior to January 20, 2020.

CA21: Does the requirement apply that states must use at least 15 percent of the Formula Grants for Rural Area Program (49 USC 5311) funding for intercity bus transportation, unless the Governor certifies, after consultation with affected intercity bus service providers, that the intercity bus service needs of the State are being met adequately?

A: Yes. All requirements for the Section 5311 program apply unless otherwise noted.

CA22: Do projects have to be in the Transportation Improvement Program (TIP) or the Statewide Transportation Improvement Program (STIP)?

A: It depends. CARES Act funds used to pay for operating expenses do not need to be included in the Transportation Improvement Program (TIP) or Statewide Transportation Improvement Program (STIP). CARES Act funds used to pay for capital expenses for emergency relief do not need to be included in the TIP/STIP unless the projects are for substantial functional, locational, or capacity changes. 23 CFR §§ 450.326(e)(5), 450.218(g)(5). Accordingly, capital projects to prevent, prepare for, and respond to COVID-19 that involve substantial functional, locational, or capacity changes must be included in the TIP/STIP.

CA23: Do CARES Act grants have to be sent to the Department of Labor (DOL) for certification?

A: Yes. The CARES Act requires that grants using funds made available under the CARES Act receive DOL certification consistent with current Section 5307 and 5311 procedures.

CA24: Does a new split letter need to be submitted by designated recipients of CARES Act funding?

A: Yes. Split and/or sub allocation letters must be updated to include funds made available under the CARES Act. Once suballocation letters for FY 2020 funding are finalized, they should be uploaded as part of the application into TrAMS. Recipients are encouraged to work expeditiously to agree upon the sub allocation of CARES Act funds.

CA25: Can I seek a waiver from requirements under the Emergency Relief docket for CARES Act funds?

A: Yes. The Emergency Relief docket remains open and available for requests for relief from FTA statutory and administrative requirements of Section 5307 and 5311 funding in states that have declared an emergency or the President has declared a disaster.

CA26: What supporting documentation does FTA need from operators to support a reimbursement request under the CARES Act?

A: No special documentation is required for CARES Act funding apart from the documentation that is normally required for expenses under the Urbanized Area Formula Grants (49 U.S.C. § 5307) and Formula Grants for Rural Areas (49 U.S.C. § 5311) programs. Grant recipients who have not been eligible for operating assistance in the past may ask their FTA Regional Office about required documentation, or refer to FTA Circular 9030.1E (Urbanized Area Formula Program: Program Guidance and Application Instructions) Appendix C (Operating Assistance) for information about calculating and documenting operating costs.

CA27: Can CARES Act funds be used to match other federal funds?

A: It depends. CARES Act funds generally may not be used to meet the local match requirement for other FTA or DOT grants (49 U.S.C. § 5307(d)(3)). However, if a federal program explicitly allows other federal funds to be used as match and the project meets all requirements of the participating federal agencies, then CARES Act funds may be eligible as match for such a program.

CA28: Does a state need to conduct a new consultation process for CARES Act funds if the state has previously held a consultation process and certified that the state’s intercity bus service needs are met and less than 15 percent of their Formula Grants for Rural Areas (49 U.S.C. § 5311) funds will be allocated to intercity bus expenses?

A: Yes, a state that intends to allocate less than 15 percent of CARES Act funds for intercity bus expenses must undergo a new consultation process under federal public transportation law (49 U.S.C. § 5311(f)(2)) if the previous consultation process concluded prior to April 2, 2020, when FTA apportioned CARES Act funds. A state’s intercity bus needs may have changed since the last consultation.

CA29: Does the CARES Act provide additional Rural Transportation Assistance Program (RTAP) funding?

A: No, the CARES Act does not provide additional funding for RTAP. Previously apportioned RTAP funds can be used to provide training and information related to the CARES Act.

Formula Funding Under Emergency Relief Program

ER1: Is funding available under FTA’s Emergency Relief Program for public transportation expenses related to COVID-19?

A: Capital and operating activities undertaken in response to COVID-19 are eligible for reimbursement under the Urbanized Area Formula Program (49 U.S.C. 5307) and Formula Grants for Rural Areas Program (49 U.S.C. 5311). FTA Acting Administrator K. Jane Williams has issued a Notice of Concurrence with declarations of emergency issued by Governors that relate to COVID-19. Accordingly, for recipients in states in which the Governor has declared such an emergency (49 U.S.C. 5324), FTA will permit Urbanized Area Formula Program or Formula Grants for Rural Areas Program funding to be used for COVID-19-related public transportation capital or operating expenses at an 100-percent federal share, regardless of whether operating expenses generally are an eligible expense for a recipient.

Pursuant to FTA’s Emergency Relief rule at 49 CFR part 602, eligible activities include emergency protective measures to eliminate or lessen threats to public health and safety, such as performing enhanced cleaning/sanitizing of rolling stock, stations, bus shelters, etc.; placing hand sanitizer dispensers in high-traffic areas; and providing personal protective equipment as appropriate.

ER2: How can FTA funding support transit agency response measures?

A: FTA grantees may use their Urbanized Area Formula Grants (Section 5307) and Formula Grants for Rural Areas (Section 5311) funds to take protective measures to protect health and safety, such as cleaning of rolling stock, which is considered preventive maintenance (a capital expense) and is eligible for an 100-percent federal match. Personal protective equipment (PPE) and other measures are eligible as either a maintenance or operating expense, whichever is appropriate.

ER3: Can Section 5311 Rural Transportation Assistance Program (RTAP) funds reimburse recipients for cancelled training?

A: Yes, if the training costs are explicit in the award document and the recipient cannot renegotiate or obtain a refund of the costs, Section 5311 RTAP funds may be used to pay the fees.

ER4: When will this emergency relief program eligibility be effective and for how long?

A: Recipients have pre-award authority effective on the date that the Governor or appropriate state official declared a state of emergency, or an earlier incident date if the declaration specifies one. If the President has also made a major disaster declaration for the state, pre-award authority is effective from the start of the earliest incident period. As of April 17, 2020, the President has declared a major disaster with an incident period start date of January 20, 2020 for all states and territories. The flexibility will remain in place for eligible expenses incurred for the duration of the relevant state of emergency. Given the compelling need, operating expenses are eligible through January 20, 2022. Recipients may use any currently apportioned Section 5307 or 5311 funding for these expenses including funds that may be currently obligated for other purposes but not expended.

ER5: What is the start date for Section 5311 subrecipients to incur expenses at a 100-percent federal share?

ER6: Does the flexibility for formula funding include Section 5310?

A: No. By law, only the Urbanized Area Formula Program and the Rural Formula Program funds can be used under the provisions of FTA’s Emergency Relief Program.

ER7: If a tribal government declared a State of Emergency before the state in which it is located, may the tribal transit provider use that earlier date?

A: Yes, a transit provider affiliated with the tribal government may use the earlier date.

ER8: Are all operating expenses eligible under the additional flexibilities for existing formula funds?

A: No. Only those expenses directly related to responding to COVID-19 are considered emergency relief and eligible for Section 5307 or Section 5311 funds under the FTA’s Emergency Relief Program. See the Emergency Relief Manual (49 U.S.C. 5324). Examples of such expenses include:

Removal of health and safety hazards, such as cleaning of vehicles and facilities
Costs associated with shutting down or restarting service
Materials such as hand sanitizer, gloves, soap, and cleaners
Emergency protective gear relevant to the emergency
Temporary service, that is not part of regular service, provided in response to the emergency

Section 5307 and section 5311 funds may be used to reimburse operating expenses not directly related to responding to COVID-19, including maintaining regular or reduced service, at the standard Federal share for those recipients that are normally eligible for operating assistance.

ER9: Do agencies have to amend the Statewide Transportation Improvement Program (STIP) and the Metropolitan Transportation Improvement Program (MTIP)) before applying for grants using this eligibility?

A: No. FTA planning regulations at 23 CFR 450.218(g)(5) and 450.326(e)(5) provide that emergency relief projects, such as those eligible under the expanded COVID-19 eligibility, are not required to be in the STIP or MTIP if they do not involve substantial changes to the function, location, or capacity of the asset(s) involved. Expenses related to cleaning vehicles, purchasing cleaning materials or personal protective equipment, and shutting down or restarting service do not need to be included in the STIP/MTIP.

ER10: Will the increased flexibilities have an impact on how Section 5307 formula funds are programmed in the grant application?

A: Yes, please work with your FTA Regional Office to determine the proper Transit Award Management System (TrAMS) code to use for COVID-19 related emergency response activities.

ER11: Does a State DOT need to amend all active operating grants in TrAMS and grant agreements with sub-recipients?

A: Yes, for grants in which the State DOT and/or its subrecipients will use the expanded flexibilities. Active grant award recipients, under programs Section 5307 and 5311, that would like the increased flexibility offered will need to complete an award amendment or submit a new application. Award recipients will need to realign funds provided to sub-recipients specifically for COVID-19 Response Activities to the “ER” Account Classification Code (ACC), which was set up by the recipient for the increased flexibility.

ER12: Will FTA waive the local match requirement of the Urbanized Area Formula Grants (Section 5307) and the Formula Grants for Rural Areas Program (Section 5311) funds under the flexibilities of FTA’s Emergency Relief program to be consistent with the CARES Act?

A: Yes, FTA has waived the remaining local share requirement for the Section 5307 and Section 5311 programs used under the provisions of FTA’s Emergency Relief program to respond to the COVID-19 public health emergency (49 CFR 602.9(c)). Note, this is only for expenses related to response to COVID-19, and not all uses of previously appropriated 5307/5311 funds.

ER13: Is administrative leave also eligible as an operating expense for the Urbanized Area Formula Grants Program (Section 5307) and the Formula Grants for Rural Areas Program (Section 5311) funds under the flexibilities of FTA’s Emergency Relief program to be consistent with the CARES Act?

A: Yes.

ER14: If a recipient wants to make use of the added flexibility and increased Federal share for existing Urbanized Area Formula Grants (Section 5307) and the Formula Grants for Rural Areas Program (Section 5311) formula funds, must the recipient amend its grants in TrAMS prior to incurring costs?

A: No. Recipients have pre-award authority back to the date their Governors declared a state of emergency or, if in a State with a major disaster declaration, January 20, 2020. Recipients do not need to amend their grants in TrAMS prior to incurring costs related to COVID-19 response. 49 CFR 602.11.

ER15: Are the additional eligibilities and increased Federal share for existing Urbanized Area Formula Grants (Section 5307) and the Formula Grants for Rural Areas Program (Section 5311) funds used to respond to COVID-19 applicable to ferry service?

A: Yes. Operators of ferry service may use existing Section 5307 or Section 5311 formula funds with the same increased flexibilities as other Section 5307 or Section 5311 recipients. However, funds awarded competitively through the Passenger Ferry Grant Program (49 U.S.C. 5307(h)) are for specific capital projects, and the flexibilities for formula funding do not apply.

ER16: Does the increased Federal share and expanded eligibilities apply to all available Urbanized Area Formula Grants (Section 5307) and the Formula Grants for Rural Areas Program (Section 5311) funds?

A: Yes. Any Section 5307 and Section 5311 funding that has not already been disbursed by the recipient or passed its period of availability may be used for COVID-19 response at the increased Federal share of 100%. Recipients that have open Section 5307 or Section 5311 awards that are within their period of availability, and otherwise would be available to be amended or have the budget revised, may use those funds at the increased federal share for COVID-19 response. Grantees may also apply for new awards using the increased federal share, regardless of the funding account year.

ER17: How does the Formula Grants for Rural Areas Program (Section 5311) Federal share sliding scale apply to the increased Federal share for existing Section 5311 funds for COVID-19 related expenses?

A: Recipients previously approved to use a federal share sliding scale may use the larger Federal share.

CARES & ER Funding Requirements

CE1: What is meant by administrative leave?

A: Administrative leave is an administratively authorized absence from duty without loss of pay or reduction in an employee’s available leave. In the context of the COVID-19 public health emergency, administrative leave could include, but is not limited to, leave for an employee who is not required to work due to a reduction in service or leave for a worker who is quarantined after potential exposure to an individual infected with COVID-19.

CE2: May CARES Act funds or Urbanized Area Formula Grants (Section 5307) and the Formula Grants for Rural Areas Program (Section 5311) funds administered under FTA’s Emergency Relief program (49 USC 5324) be used to pay otherwise eligible operations or maintenance expenses for contracts entered into prior to January 20, 2020, regardless of whether those contracts met federal requirements when awarded?

A. Yes. Under the authority of the Emergency Relief program to set the necessary terms and conditions of a grant (49 USC 5324 (d)(1), FTA will permit funds to be used for operations and maintenance expenses incurred after January 20, 2020, even if the original contract did not meet all Federal requirements. Any new contracts would need to follow all federal requirements.

CE3: May recipients use FTA funds to pay employees who are isolating in stand-by status in order to work if another employee gets sick?

A: Yes. Stand-by status is an eligible operating expense.

CE4: Can CARES Act funds or Urbanized Area Formula Grants (Section 5307) and the Formula Grants for Rural Areas Program (Section 5311) funds administered under the provisions of the Emergency Relief program (49 USC 5324) be used for the operating costs of essential services such as meal delivery? (The period during which these operating expenses are eligible for reimbursement has been extended to January 20, 2022 pursuant to 49 U.S.C. § 5324(b)(2)(B).)

A: Yes. The use of transit vehicles is eligible as an incidental use if the delivery services do not conflict with the provision of transit services or result in a reduction of service to transit passengers. As part of Emergency Relief efforts authorized by 49 U.S.C. § 5324, FTA also will permit recipients to use Section 5307/5311 funds administered under the provisions of the Emergency Relief program or CARES Act funds until January 20, 2022, to pay for the operational costs of such services. In addition, these services may be eligible for FEMA’s Public Assistance program, and to maximize the funding available to them to respond to the COVID-19 public health emergency, FTA recommends that recipients check with their State Office of Emergency Services to determine whether those resources are available, or to seek reimbursement from the entity requesting the service. A recipient may charge only costs not covered by other entities to an FTA grant. During the COVID-19 public health emergency, prior approval for the incidental use of vehicles or equipment for the provision of essential services is not required, although recipients should notify their FTA Regional Office.

CE5: Is the operating portion of the capital cost of contracting eligible for reimbursement at the increased federal share?

A: Yes. For CARES Act funding, the operating portion of the capital cost of contracting would be eligible at a 100 percent Federal share for all expenses after January 20, 2020. For non-CARES Act Urbanized Area Formula Grants (Section 5307) and the Formula Grants for Rural Areas Program (Section 5311) funds with the increased emergency response flexibilities, the increased Federal share applies only for operating costs incurred for activities performed in response to COVID-19.

CE6: Are costs associated with shifting transit system administrative workers to work-from-home arrangements eligible for federal funding?

A: Yes. Purchases necessary to continue operations in the present emergency are allowed. Items such as laptops, remote secure access (RSA) keys, monitors, printers, etc. are eligible regardless of their relation to COVID-19 response when purchased using CARES Act funds for eligible transit purposes. When purchased using previously apportioned Urbanized Area Formula program (Section 5307) or Rural Areas Formula program (Section 5311) funds using expanded eligibilities under FTA’s Emergency Relief program, the recipient must document the relationship of such purchases to COVID-19 response. (49 USC 5324(b)(2)).

CE7: Do the normal Urbanized Area Formula Program (49 USC 5307) and the Formula Grants for Rural Area Program (49 USC 5311) requirements apply to these funds?

A: Yes, all the normal Section 5307 and 5311 requirements apply to funds made available under the CARES Act, with the following exception:

Transportation Improvement Program (TIP) or the Statewide Transportation Improvement Program (STIP): CARES Act funds used to pay for operating expenses do not need to be included in the TIP/STIP.
CARES Act funds used to pay for capital expenses for emergency relief do not need to be included in the TIP/STIP unless the projects are for substantial functional, locational, or capacity changes. 23 CFR §§ 450.326(e)(5), 450.218(g)(5).

Note: The Emergency Relief docket remains open and available for requests for relief from FTA statutory and administrative requirements of Section 5307 and 5311 funding in states that have declared an emergency or the President has declared a major disaster under Section 401 of the Stafford Act.

CE8: What is the federal share of a CARES Act grant?

A: The federal share for all grants awarded under the CARES Act is up to 100 percent, at the discretion of the recipient.

CE9: Has FTA waived any federal requirements?

A: FTA has established an Emergency Relief docket that allows recipients in states in which the Governor has declared an emergency related to COVID-19 to request temporary relief from federal requirements under 49 U.S.C. Chapter 53 as well as the provisions of any non-statutory FTA requirements. The ER docket should only be used to request a waiver of federal requirements. All other questions regarding COVID-19 should be directed to FTAresponse@dot.gov.

Some federal requirements include specific provisions related to emergencies, and therefore, no FTA waiver is necessary. For example, federal procurement standards established in 2 CFR part 220.317-326 permit the use of a noncompetitive (sole source) procurement when the circumstances of an emergency (or public exigency) would not permit a delay resulting from competitive solicitation.

CE10: Can public transportation assets, such as vehicles and facilities, acquired with FTA funds be used for non-transit activities in response to COVID-19?

A: Yes. FTA Circular 5010.1E provides that such use must not conflict with the approved purposes of the asset and must not interfere with the intended transit uses of the project property. An acceptable incidental use, such as meal or grocery delivery, does not affect a property's transit capacity. In cases where a recipient has reduced service levels in response to COVID-19, the recipient may utilize FTA funded assets for other emergency response activities as long as such use does not interfere with its remaining limited service.

CE11: May recipients add new routes to take schoolchildren to school or other sites for meals?

A: Yes. Recipients may establish new routes that serve critical community needs at any time. FTA’s charter rule at 49 CFR 604.3(c)(1) defines charter service as the exclusive use of a bus or van for a negotiated price. If a recipient provides exclusive transportation for schoolchildren to meal sites, and the service is funded by a third-party, such service would be categorized as a charter service. Although normally prohibited under FTA formula funding, charter service is eligible for COVID-19 response for up to 45 days from the beginning of each state of emergency incident period. For charter services lasting longer than 45 days, the recipient should submit a request to the Emergency Relief Docket.

CE12: Can Urbanized Area Formula Grant (Section 5307) recipients program operating funding above what is stated in Table 3a of the FY2020 apportionment? Is it simply a shift in COVID-19 operating expenses to eligible capital line items?

A: Yes. Under FTA’s emergency relief authority (49 U.S.C. 5324), recipients of Urbanized Area Formula Grants (5307) may use any of the Section 5307 funding currently allocated to the agency, including unexpended funds in obligated grants, for operations activities in response to COVID-19. Recipients may use as much of that for operating expenses as needed, beyond the maximum specified in the apportionment tables, as long as those expenses are in response to COVID-19. The project sponsor should first contact the FTA Regional Office to discuss the request.

CE13: If a grant recipient has already drawn down funds from an obligated grant, can the recipient return that funding and create a new grant using CARES Act or previously apportioned Urbanized Area Formula Grants (Section 5307) and Formula Grants for Rural Areas (Section 5311) funding?

A: No. Previous amounts that have been drawn down may not be returned and exchanged for funds from a different source.

CE14: May agencies pay a temporary bonus to operators who continue to work?

A: It depends. Under the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, a federal award may be used for bonus or incentive compensation when the overall compensation is reasonable and paid or accrued based on an agreement entered into before the services were rendered (2 CFR § 200.430(f)). If a grant recipient does not have such an agreement in place, it may create one that would allow payment of bonus or incentive pay from that point forward, but it would not be able to pay a bonus for work performed prior to the agreement.

CE15: Will FTA waive National Environmental Policy Act (NEPA) requirements for projects implemented in response to the COVID-19 public health emergency?

A: NEPA continues to apply during the COVID-19 public health emergency. FTA anticipates that most projects completed in response to the COVID-19 public health emergency, such as operations and purchasing personal protective equipment, would fall within FTA’s C-list NEPA categorical exclusions (CE), found at 23 CFR § 771.118(c). C-list CEs require the lowest level of NEPA review and typically can be approved by FTA within TrAMS, FTA’s grant management system. If a project does not fall under a C-list CE, FTA recommends the grant recipient contact their FTA Regional Office to discuss NEPA compliance further.

CE16: Can our organization get reimbursed for costs incurred due to cancelled travel because of COVID-19?

A: Yes, consistent with OMB Memorandum M-20-17, FTA will allow nonrefundable travel expenses incurred for travel approved in the award to be charged to active awards. Documentation must be retained to substantiate the charging of any cancellation or other fees related to interruption of operations or services.

CE17: Are planning projects proposed to be funded with the CARES Act program funds required to be programmed in a Metropolitan Planning Organization (MPO) Unified Planning Work Program (UPWP)?

A: Yes. CARES Act funds used for planning activities are required to be listed in the UPWP. See 23 CFR § 450.308. There is no emergency relief exemption from this requirement.

Civil Rights

CR1: May a transit agency restrict Americans with Disabilities Act (ADA) complementary paratransit trips to essential medical trips?

A: No. The DOT ADA regulations at 49 CFR 37.131(d) expressly prohibit paratransit providers from imposing restrictions or priorities based on the trip purpose. Further, medical trips are not the only trips that may be essential to a passenger. An agency may send a request and encouragement to its paratransit customers asking them to cancel all nonessential trips. Transit agencies often use this approach, for example, in impending weather events. If a paratransit rider, however, wants to take a trip, the agency cannot deny the request due to the purpose of the trip.

The establishment of trip purpose restrictions or priorities is permitted under 49 CFR 37.133(c) only for subscription service. Further, because DOT ADA regulations do not require subscription service, it may also be suspended or cancelled.

CR2: Are Title VI equity analyses required for emergency service cuts and changes during COVID-19?

A: It depends. Under FTA’s Title VI Circular 4702.1B, transit providers that operate 50-or-more fixed route vehicles in peak service and are located in an urbanized area (UZA) with a population of 200,000 or more, must perform a service equity analysis whenever they make a major service change. The service equity analysis evaluates the impacts of the proposed service changes on Title VI-protected populations and low-income populations. Temporary service changes in response to an emergency do not rise to the level of a major service change, so a service equity analysis is not required. Similarly, FTA exempts all temporary fare changes enacted as a result of an emergency from the fare equity analysis requirement. However, if a transit agency chooses to make permanent any changes made during an emergency, or if changes last longer than 12 months (service) or 6 months (fare), then the transit agency must perform a service or fare equity analysis.

FTA does expect that all transit agencies take reasonable measures to implement temporary service or fare changes equitably to prevent unintentional discrimination. FTA does not require a transit agency to document this process, get board approval prior to implementing changes, or share documentation on the changes with FTA, but FTA recommends that transit agencies document the rationale for specific service reductions, as well as steps taken to ensure equitable reductions in service, in the event someone files a complaint.

Changes directly or indirectly related to an emergency, including ridership and budget reductions, that continue longer than 12 months (service) or 6 months (fare), or are planned in advance as permanent require an equity analysis. As outlined in the Title VI Circular Chapter IV, Section 7, any major service change that lasts longer than 12 months is considered permanent and requires a service equity analysis. This timeframe applies to major service changes initially enacted in response to the COVID-19 public health emergency. Similarly, any fare change—even if initially enacted in response to an emergency—that lasts longer than 6 months is considered permanent and requires a fare equity analysis. Further, transit agencies must prepare an equity analysis during the planning process for planned major service changes or fare changes consistent with the Circular.

CR3: May a transit agency deny service to a transit rider with a disability who is exhibiting symptoms of COVID-19?

A: A transit agency should contact local and State public health officials, who generally coordinate information with the Centers for Disease Control and Prevention (CDC), to determine under what circumstances service may be denied to any transit rider, regardless of whether they have a disability. The Americans with Disabilities Act (ADA) does not require an agency to exempt riders with disabilities from this local determination. The DOT ADA regulations at 49 CFR 37.5(h) provide that an agency may deny service to a person with a disability who “represents a direct threat to the health or safety of others.” A “direct threat” is defined, in part, by 49 CFR 37.3, as “a significant risk to the health or safety of others.”

CR4: If a transit agency suspends fares temporarily on its fixed route service to limit interactions between operators and passengers or to limit public contact with fare equipment due to the COVID-19 public health emergency, does it also need to provide free fare on its complementary paratransit service?

A: Yes. Under the DOT ADA regulations at 49 CFR 37.131(c), the fare for an ADA paratransit trip may not exceed more than twice the fare for a similar trip made using the fixed route system, without regard to discounts. FTA has regarded promotional, occasional fare-free days on fixed route service as a form of a discount, and has not also required paratransit service to be free during the limited time of the promotion. In this case, however, if the fixed route system is fare-free to limit interactions between the passenger and the operator, it would not be a discount, and the transit agency must do the same for the paratransit system per 49 CFR 37.131(c).

CR5: If a transit agency closes the front door of its buses to boarding to support social distancing, may the agency refuse service to wheelchair users and other people with disabilities who would otherwise need to use the front door where the ramp is located?

A: No. Transit systems should have procedures in place such as rear-door entry to ensure that social distancing is being observed by the system and transit riders to protect transit operators and the public. See FTA Safety Advisory 20-01. Some exceptions to rear-door-only boarding policies, however, are necessary for ADA compliance. Under DOT ADA regulations at 49 CFR 37.5(a), no entity may discriminate against an individual with a disability in connection with the provision of transportation service; per 49 CFR 37.165(b), individuals using wheelchairs must be transported in the agency’s vehicles.

Wheelchair users are not the only persons with disabilities who may require the use of the front door of the vehicle. Per 49 CFR 37.165(g), ambulatory persons with disabilities also must be permitted to use the lift or ramp on request, and persons who are blind, for example, may require the use of the route identification mechanism required under 49 CFR 37.167(c) to identify the correct bus to board. Not all waiting passengers with disabilities who need to enter at the front will have a visible disability or be using mobility aids such as canes or walkers; per the regulation, the agency must accommodate such individuals at the front door as well.

When implementing a rear-door-only boarding policy, a transit agency should take steps to minimize confusion for riders and personnel. This effort could include conducting outreach to the disability community through local media channels and social media, informing riders of the policy and what to do if they require the use of the ramp or lift, and development of procedures and instructions for personnel.

CR6: May a transit agency suspend its mandatory wheelchair securement policy to reduce the need for its operators to be in close proximity to a rider to lessen the potential for exposure to COVID-19?

A: Yes. The DOT ADA regulations do not explicitly require the use of the securement system; under 49 CFR 37.165(c)(3), an agency may determine for itself whether or not securement will be mandatory for its system. Agencies, therefore, are free to suspend any mandatory securement policy that they may have in place. However, even if an agency suspends a mandatory securement policy, 49 CFR 37.165(f) still requires that the operator assist with the use of the securement system should an individual passenger make a request.

CR7: To comply with stay-at-home directives designed to mitigate the spread of COVID-19, may a transit agency change its service from fixed route to demand-responsive for essential transportation only?

A: Yes. Local transit agencies determine the type of service they offer. While there are no Title VI or ADA concerns with a proposal to move from a fixed route to a demand-responsive service (FTA does not require a service or fare equity analysis for a temporary service or fare change as a result of an emergency), note that under DOT ADA regulations at 49 CFR 37.77, all vehicles used in demand-responsive service must be accessible to and usable by persons with disabilities, including wheelchair users, or equivalent service must be provided according to the specific criteria contained in 49 CFR 37.77(c). In addition, once the system completes its move to demand-responsive service, the obligation to provide ADA complementary paratransit no longer is applicable. For more information on ADA requirements for demand-responsive service, see Chapter 7 of FTA Circular 4710.1.

CR8: May a transit agency shut down its ADA paratransit operations while still operating fixed route services due to COVID-19 concerns?

A: No. So long as the fixed route system is operating, the DOT ADA regulations at 49 CFR 37.121 obligate the agency to continue operating complementary paratransit according to the service criteria contained in 49 CFR 37.131. If a transit agency makes adjustments to the fixed route system’s routes or schedules to accommodate the COVID-19 public health emergency, or shuts down the fixed route service entirely, the agency may make similar adjustments to the paratransit system. Where an agency’s ADA paratransit contractor is contemplating shutting down service when fixed route service continues, the agency should consult with its contracting office to determine appropriate steps to ensure that ADA paratransit service continues comparable to the fixed route service being provided.

CR9: May an agency suspend in-person assessments for ADA paratransit eligibility for the duration of the COVID-19 public health emergency? May an agency process applications remotely, or by paper only, or suspend eligibility determinations entirely during this time?

A: Transit systems are free to suspend in-person assessments and use a remote or paper process for eligibility determinations. The DOT ADA regulations at 49 CFR 37.125 do not require in-person assessments for paratransit eligibility, and in fact do not specify how the eligibility process should work. Because a paper or virtual process is not typically as effective in assessing functional ability accurately, a transit system also may decide to be overly broad in who they find eligible, and then reassess during regular recertification sometime in the future. Note that because applicants would be presumptively eligible after 21 days under 49 CFR 37.125(c) if their applications are not processed, a transit system may wish preemptively to offer presumptive eligibility for the duration of the COVID-19 public health emergency, subject to reevaluation once the public health emergency ends. Complete suspension of the eligibility process is not permitted, because 49 CFR 37.131(f)(2) specifically prohibits the use of wait lists to access the service.

CR10: Do transit agencies need to submit Title VI Programs during the COVID-19 public health emergency?

A: No. FTA is postponing the submission of all Title VI Programs with current or upcoming due dates until October 1, 2020. Recipients may use their current on-file Title VI Programs through November 30, 2020, unless a recipient voluntarily updates its program with a submission before that date. FTA is making adjustments in TrAMS to ensure no outstanding civil rights program requirements will hold up the awarding of grants.

CR11: Do transit agencies have an extension to submit their Disadvantaged Business Enterprise (DBE) triennial goals, due August 1, 2020, to FTA because of the COVID-19 public health emergency?

A: Yes. For those recipients with DBE goals due August 1, 2020, FTA is extending the due date to October 1, 2020, and will update TrAMS to reflect the extension. This extension is consistent with a DOT guidance memorandum issued April 1, 2020.

CR12: How should FTA recipients under the Disadvantaged Business Enterprise (DBE) program report and track multiple, ongoing purchases from a single vendor?

A: Recipients should make use of race-neutral measures, such as small business programs, technical and financial assistance, and unbundling of contracts to increase the ability and capacity of DBEs and other small businesses to perform contracts with CARES Act funding (49 CFR §§ 26.39, 26.51). Direct purchases by the recipient from a supplier or vendor (i.e., those contracts without subcontracting possibilities) always should be race-neutral (i.e., a contract-specific DBE goal is not applied to the purchase and DBE status is not a deciding factor in award or purchase). 49 CFR § 26.51(e)(1). FTA assumes most purchases of items, such as personal protective equipment, would be through direct procurement methods and therefore race-neutral.

The DOT DBE regulations (49 CFR § 26.37(b)) require recipients to have a mechanism to verify that the work committed to DBEs at contract award is actually performed by the DBEs. For the purposes of simplifying reporting and tracking, recipients may count multiple, ongoing purchases with a single vendor as a single contract awarded and completed on Uniform Reports (e.g. fuel, vehicle parts, vehicle servicing, or other purchase orders).

CR13: Due to COVID-19 social distancing guidelines, what options do FTA recipients have for conducting site visits for firms applying for Disadvantaged Business Enterprise (DBE) certification?

A: Recipients are not required to conduct in-person site visits for purposes of DBE certification in light of the COVID-19 public health emergency. On March 24, 2020, DOT issued a memorandum providing interim guidance on DBE certification procedures that are consistent with social distancing. The memorandum explains that on site visits may be conducted using computer, tablet, and mobile device technologies, and that recipients may photograph necessary items from within their vehicles. The memorandum also references the regulatory provision that allows recipients to rely on site visit reports produced by other DOT recipients. DOT issued a subsequent memorandum on April 1, 2020, that further addresses electronic review and submission of certification documents.

CR14: What guidance does FTA have for Title VI requirements regarding limited English proficient (LEP) populations when transit agencies provide information to riders on service changes and other important updates?

A: A recipient must follow its locally developed Title VI Program, which includes a Language Access Plan. The plan will describe how the recipient provides language assistance services by language to the LEP populations it serves, including during temporary service reductions. Per FTA Circular 4702.1B, Chapter III, Section 9, examples of vital documents that must be translated include a notice of a person’s rights under Title VI and “other documents that provide access to essential services.” Failure to translate vital information could result in a recipient denying an LEP person access to services and discrimination on the basis of national origin.

CR15: Are there Title VI concerns if a transit agency adopts a temporary cashless or cash-free fare media policy?

A: Yes. FTA cautions that changes in fare media policies—such as temporarily not accepting cash fares, e.g., only pre-purchased media (often referred to as a cashless or cash-free fare policy)—may discriminate against minority transit riders. Minority transit riders may be disproportionately unbanked, lack credit cards, or lack access to locations for purchasing fare media in advance of a trip. FTA expects all transit agencies to consider mitigating measures in this circumstance to ensure their fare media changes do not result in disparate impacts on the basis of race, color, or national origin, which are protected categories under Title VI of the Civil Rights Act of 1964. If a transit agency operating 50 or more fixed route vehicles in peak service and located in an urbanized area (UZA) with a population of 200,000 or more chooses to make permanent any fare media changes that are instituted during an emergency, or if such changes last longer than six months, then the transit agency must perform a fare equity analysis as described in Chapter IV of FTA’s Title VI Circular 4702.1B.

CR16: Does a transit agency need to submit an updated Disadvantaged Business Enterprise (DBE) program and goal to FTA to receive CARES Act funds?

A: It depends, but in many cases agencies will not. The DOT DBE regulations at 49 CFR § 26.21 require FTA recipients to have a DBE program when receiving planning, capital, and/or operating assistance and will award more than $250,000 in FTA-funded contracts (excluding transit vehicle purchases) in a federal fiscal year. A new or updated DBE program or goal is not required if CARES Act funds represent a temporary increase in the Federal share of already contracted operations expenses for the purposes of responding to COVID-19. Similarly, if CARES Act funds represent temporary adjustments to, or continuations of, existing operations contracts to respond to COVID-19, a new DBE program or goal is not required. A recipient with an existing DBE program should count CARES Act funds towards the DBE goal as it would all FTA funds.

For those recipients that do not already have a DBE program or goal, DOT envisions no added burden to increase the federal share of existing contracts and operating expenses. A recipient is encouraged to consult with FTA if it has specific questions regarding whether CARES Act funding is applicable to existing or new DBE programs or goal submissions. If a recipient needs to develop a new DBE program, it must be submitted to FTA by October 1, 2020. Please remember that, as a condition of receiving financial assistance, all FTA recipients ensure DBE compliance with Federal requirements by self-certification through the FTA Master Agreement. The most recent Master Agreement is dated October 1, 2019. See Section 12 for DBE requirements.

CR17: Will FTA penalize recipients that submit their Uniform Report of updated Disadvantaged Business Enterprise (DBE) Awards or Commitments and Payments Form after the June 1 due date?

A: No. FTA understands that recipients might need to submit their Uniform Reports after the June 1 deadline. During COVID-19, agencies may lack access to the files and information needed to complete the reports. Agencies must submit the reports in TrAMS as soon as practicably possible. FTA will review the report once a recipient is able to submit it and will not penalize agencies for reports received after June 1 as long as the agency’s records document that the report was submitted as soon as practicably possible. See Uniform Reports Guidance at 49 CFR Part 26, Appendix B.

CR18: Due to the current public health emergency, may a transit agency hold paratransit eligibility hearings via telephone or video conference, or should it wait until restrictions are lifted so hearings can be held in person?

A: It depends. The DOT Americans with Disabilities Act (ADA) regulations at 49 CFR § 37.125(g) require transit agencies to establish an administrative appeal process through which individuals who are denied eligibility for ADA complementary paratransit can obtain review of the denial. Section 37.125(g)(2) specifically requires that this process include an opportunity for the individual to be heard and to present information and arguments; according to Appendix D to this section, there must be an opportunity to be heard “in person” as well as the chance to present written evidence and arguments.

When social distancing measures are in place locally, agencies may meet the in-person requirement through a virtual process, such as asking applicants to participate by telephone or video conferencing. The in-person requirement may be in addition to preparing written information. Whatever temporary process an agency adopts, however, must be sufficient to make an accurate determination of an individual’s paratransit eligibility according to the criteria found in 49 CFR § 37.123, and must recognize that some individuals cannot effectively present arguments remotely because they may lack video conferencing capability or because their disabilities prevent effective appeals using the telephone. Each case must be assessed individually and the appeal policy modified as appropriate.

In cases where a remote appeal cannot effectively be performed, a transit agency may simply elect to allow the 30-day deadline for appeal determinations under 49 CFR § 37.125(g)(3) to expire, and confer eligibility to the individual appellants until such time as an in-person appeal can once again be heard.

Transit Agency Responses

TA1: May transit providers post signs requesting those who are sick or who have had contact with COVID-19 not to board the van?

A: Yes, transit providers may post such signs but they are not required to do so. Transit agencies should make decisions about health precautions and how best to implement them in collaboration with local health officials. These are local decisions.

TA2: How should a public transportation system determine whether it should suspend operations in an area with an outbreak?

A: FTA grantees should follow the direction of local and state public health and law enforcement agencies. This local and state information generally is coordinated with the Centers for Disease Control and Prevention (CDC) and the Department of Homeland Security and is the most accurate assessment of the situation locally. A transit agency also should notify FTA before suspending operations.

TA3: What are other transit agencies doing in response to COVID-19?

A: Many transit agencies are responding with safety alerts and documents, including:

The New York Metropolitan Transportation Authority deployed health guidance in English, Chinese, Spanish, Russian, and Korean across the system on 3,600 subway screens, 2,000 bus screens, and at 84 subway station street entrances, and issued a press release.
The Metropolitan Atlanta Rapid Transit Authority’s Police Department issued an Emergency Preparedness Bulletin to employees.
The Los Angeles County Metropolitan Transportation Authority issued an interoffice memo to its staff.
Bay Area Rapid Transit is taking Emergency Preparedness actions, updated their website with messaging to the public, and is utilizing a Public Health Recommendations poster.
King County Metro is performing daily cleaning of buses and water taxis, and has created an informational page on their website and sent an email to stakeholders.
Sound Transit issued a blog post and Community Transit posted information on their website.

TA4: Transit workers are identified as essential critical infrastructure workers by the Cybersecurity and Infrastructure Security Agency (CISA), and FTA issued Safety Advisory 20-01 recommending that transit agencies develop procedures and implement them consistent with the Centers for Disease Control and Prevention (CDC) and Occupational Safety and Health Administration (OSHA) guidance to the maximum extent possible. Accordingly, will public transportation systems receive priority or assistance with accessing critical supplies such as cleaning supplies, personal protective equipment (PPE), and face coverings?

A: Requests for assistance with accessing critical supplies should be routed through emergency response efforts in local and county governments, which can seek state support if they cannot meet system needs. Any needs that a state cannot meet should then be coordinated with the FEMA regional office.

TA5: May a transit agency deny service to a transit rider who is exhibiting symptoms of COVID-19?

A: A transit agency should contact local and state public health officials, who generally coordinate information with the Centers for Disease Control and Prevention (CDC), to determine under what circumstances the agency may deny service to any transit rider.

Administrative Relief

AD1: Is FTA providing relief from the Public Transportation Agency Safety Plan (PTASP) regulation (49 CFR Part 673) July 20, 2020 compliance deadline?

A: Yes. FTA acknowledges that transit agencies continue to experience substantial operational challenges due to the COVID-19 public health emergency. As a result, FTA has issued a second Notice of Enforcement Discretion stating that FTA will refrain from taking enforcement action pursuant to 49 U.S.C. § 5329(g) and the FTA Master Agreement (26) (October 1, 2019) until July 21, 2021, against any FTA recipient or subrecipient subject to the PTASP regulation that is unable to certify that it has established an Agency Safety Plan that complies with the regulation. This Notice supersedes FTA’s first Notice of Enforcement Discretion, dated April 22, 2020.

Notwithstanding the Notice’s exercise of enforcement discretion, FTA expects affected recipients and subrecipients to continue to work toward compliance with the PTASP regulation as soon as practicable under the current circumstances caused by the COVID-19 public health emergency. FTA expects recipients and subrecipients to certify promptly and without delay after establishing a compliant Agency Safety Plan.

The PTASP Technical Assistance Center remains available to meet the PTASP technical assistance needs of states and transit agencies.

The Notice remains in effect through July 20, 2021

AD2: May recipients postpone submission of Federal Financial Reports and/or Milestone Progress Reports currently due by April 30, 2020?

A: Yes. Recipients may delay submission by up to 90 days. A recipient’s next report, therefore, would be for the quarter ending June 30, 2020, with the report due on July 30, 2020.

AD3: When does FTA plan to resume program oversight reviews? (Revised 10/14/2020)

A: FTA understands that the focus of our recipients has been on addressing the critical challenges faced by their agencies and in their communities in response to the COVID-19 public health emergency. Accordingly, FTA postponed remaining Fiscal Year (FY) 2020 program oversight reviews (Triennial, State Management, etc.) until early in Federal FY2021. As FTA plans to resume its oversight program using a virtual process, all previously scheduled oversight reviews will shift by one year, including previously planned Triennial and State Management reviews in FY2021 and FY2022. For example, if an oversight review had been scheduled for FY2020, FTA will complete the review in FY2021. Reviews planned for FY2021 will move to FY2022, and the reviews planned for FY2022 will move to FY2023. FTA will resume the FY2020 Virtual Triennial and State Management Reviews starting in the first quarter (January-March) of 2021, through the end of the FY2021 (September 30, 2021).

AD4: Can states and Metropolitan Planning Organizations (MPOs) hold virtual public hearings where the applicable public participation plan provides for “in person” participation?

A: The Federal Highway Administration (FHWA) and Federal Transit Administration (FTA) are aware that some states and MPOs are looking to use virtual public involvement technologies and techniques for public participation activities related to metropolitan and statewide transportation planning under the applicable statutes (23 U.S.C. 134-135) as a way to satisfy the public meetings provisions. The agencies are currently evaluating the impacts of virtual public involvement instead of in-person participation where it is required under the public participation plan. As FHWA and FTA undertake the evaluation, states and MPOs may revise their public involvement plans to employ virtual public involvement techniques. In the meantime, both FHWA and FTA staff are available to answer any questions.

This FAQ does not have the force and effect of law and is not meant to bind the public in any way. It is intended only to provide clarity to the public regarding existing requirements under the law or agency regulations. This FAQ will remain in effect while the Department of Health and Human Services (HHS) determination that a public health emergency related to COVID-19[1] is in effect, unless sooner updated by the Federal Highway Administration and Federal Transit Administration prior to the end of the HHS determination.

AD5: Can project sponsors hold virtual public hearings to satisfy public involvement requirements during the National Environmental Policy Act (NEPA) process?

A: The Federal Highway Administration (FHWA), Federal Transit Administration (FTA), and Federal Railroad Administration (FRA) are aware that scheduled or planned public hearings for projects currently in the NEPA process may be affected by facility closures or other restrictions. The agencies are currently reviewing whether the public hearing requirements under FHWA statute (23 USC 128) and the FHWA/FTA/FRA joint environmental regulations (23 CFR 771.111) can be met with a virtual public hearing and, if so, under what conditions. Please contact your applicable agency to answer any questions you may have.

AD6: Can I request an extension of the use of the current indirect cost rate or submission of indirect cost rate proposal?

A: Recipients for whom FTA is the Cognizant Agency may request an extension of a current indirect cost rate for one additional year without submission of an indirect cost rate proposal by submitting documentation with a revised date for the indirect cost rate to their FTA Regional Office for approval. The one-year extension was only available for recipients whose indirect cost rate proposals were due by June 16, 2020. OMB Memorandum M-20-17, Appendix A at 12 (expired June 16, 2020 and rescinded per OMB Memorandum M-20-26).

AD7: What can I do if I need additional time to submit required final reports for the purpose of closing my award?

A: For grants that closed prior to June 16, 2020, a recipient should submit a written notice to FTA regarding the reporting delay. This delay in submitting closeout reports may not exceed one year after the award expires. OMB Memorandum M-20-17, Appendix A at 12 (expired June 16, 2020 and rescinded per OMB Memorandum M-20-26).

AD8: Will FTA’s announcement that it will defer enforcement of the Public Transit Agency Safety Plan requirements apply to requirements for Metropolitan Planning Organizations (MPOs) and State Departments of Transportation to set public transit safety targets and reflect those targets in the transportation improvement program and metropolitan transportation plan?

A: No. Per 23 CFR § 450.306(d)(3), MPOs must establish performance targets no later than 180 days after the date on which the public transit provider establishes their Public Transportation Agency Safety Plan (PTASP) performance targets. MPOs still should set targets 180 days after receipt of PTASP targets and follow their cooperative agreements with transit providers for establishing safety targets. In accordance with 23 CFR § 450.340(e), after July 20, 2021, the Federal Highway Administration (FHWA)/FTA will only determine the conformity of, or approve as part of a Statewide Transportation Improvement Program (STIP), a Transportation Improvement Program (TIP) that is based on a Metropolitan Transportation Planning process that meets the Performance Based Planning requirements.

AD9: Will FTA and the Federal Highway Administration (FHWA) undertake certification reviews of Metropolitan Planning Organizations (MPOs) within transportation management areas during the COVID-19 public health emergency?

A: Yes, FTA and FHWA will continue oversight of the metropolitan and statewide planning processes as required by 23 CFR Part 450. The FTA and FHWA will work with the MPO to employ virtual public involvement techniques so that the public and stakeholders will have an opportunity to provide input on the metropolitan planning process.

AD10: Will an extension be granted to Metropolitan Planning Organizations (MPOs) or State Departments of Transportation (DOTs) to adopt a new Transportation Improvement Program (TIP), Statewide Transportation Improvement Program (STIP), Metropolitan Transportation Plan (MTP), or Statewide Long Range Transportation Plan (LRTP)?

A: No. There is no provision in the 23 CFR Part 450 that permits the Federal Highway Administration (FHWA)/FTA to extend the four-year timeframe for a new TIP, MTP, or Statewide LRTP. State DOTs, transit providers, and MPOs may continue to advance projects that were in prior planning products, but may not advance new projects until the new TIP, MTP or LRTP are adopted. MPOs and State DOTs may revise their public involvement plans to employ virtual public involvement techniques to obtain public and stakeholder input on planning products.

If a state demonstrates, in writing, that extenuating circumstances will delay the submittal of a new or amended STIP past its update deadline, FTA and FHWA will consider and take appropriate action on a request to extend the approval beyond 4 years for all or part of the STIP for a period not to exceed 180 calendar days. In these cases, priority consideration will be given to projects and strategies involving the operation and management of the multimodal transportation system. Where the request involves projects in a metropolitan planning area(s), the affected MPO(s) must concur in the request. If the delay was due to the development and approval of a metropolitan TIP(s), the affected MPO(s) must provide supporting information, in writing, for the request.

AD11: My agency reports Unlinked Passenger Trips (UPT) on a sampled basis in order to estimate ridership and we have had to adapt or alter our sampling procedures due to the public health emergency to ensure passenger and operator safety. What will FTA require for agencies that scale back UPT sampling due to safety concerns?

A: Effective March 25, 2020, agencies should suspend in-person ridership sampling activities for the National Transit Database (NTD). This includes all activities involving onboard data collectors, or “ride-checkers.” In this method, data is recorded by one or more persons observing and recording passenger boardings and alightings while riding transit vehicles. This is in effect until further notice. If you report for a transit system that normally uses “ride-checkers” to sample UPT for monthly reports, please contact your assigned validation analyst to discuss alternatives. For agencies that implement a machine-collection method for ridership, such as a farebox meter, please continue to capture and log those rides for reporting as much as possible. In the case that ridership data is neither available through “ride-checkers” nor machine-collection methods, agencies are encouraged to contact their validation analyst to propose a “best available” policy for reporting ridership estimates in 2020.

AD12: My agency reports Passenger Miles Traveled (PMT) and samples for the average passenger trip length, and we have had to adapt or alter our sampling procedures due to the public health emergency to ensure passenger and operator safety. What will FTA require for agencies who scale back trip length data collection due to safety concerns?

A: Effective March 25, 2020 agencies should suspend in-person trip-length sampling activities for the National Transit Database (NTD). This includes all activities involving onboard data collectors, or “ride-checkers.” 2020 is a Mandatory Sampling year for some agencies with a triennial sampling requirement (i.e., agencies sample for average passenger trip length once every three years) and for larger agencies with an annual sampling requirement. The FTA will waive the trip length sampling requirement for this year for those systems that had planned to use in-person sampling activities in 2020. In order to complete your 2020 NTD Annual Report, those systems may use the average passenger trip length from their most recent prior year sample, which in some cases will be from 2017. If your system completed at least six months of your 2020 sample, you may request to use average passenger trip lengths from the partial-year sample via your validation analyst. Updates for the upcoming triennial sampling cycle will be provided in the future.

AD13: Are transit agencies required to complete their National Transit Database (NTD) report?

A: Yes. Reporting to the NTD is required by law. However, if your agency’s 2019 Fiscal Year ended between October 1, 2019, and December 31, 2019, the due date for your 2019 NTD annual report is extended from April 30, 2020 to June 30, 2020.

Monthly service report and monthly non-major safety report enforcement is now relaxed. This means that FTA will not contact transit agencies for missing reports and will limit the number of email reminders for upcoming deadlines. Major safety event reports are still due within 30 days of the event, but enforcement will also be relaxed, as described above.

AD14: What should transit agencies do if they cannot meet the extended 2019 National Transit Database (NTD) report deadline of June 30, 2020?

A: Transit agencies should contact their NTD validation analyst to request a waiver for this report year and exemption from this year’s annual reporting requirement. If you receive a waiver, FTA will use your 2018 data in the upcoming Fiscal Year (FY) 2021 apportionment of formula grants in lieu of your 2019 data. Your 2018 data will also be used for the FY 2022 apportionment in lieu of your 2020 data, and possibly the FY 2023 apportionment as well.

AD15: Will the COVID-19 public health emergency affect my area's formula funding? What is the impact on my Fiscal Year (FY) 2021, FY 2022, and FY 2023 apportionments?

A: Funds apportioned during the Federal FY 2021 (beginning October 1, 2020) are based on 2019 data reported to the National Transit Database (NTD). Service during 2019 was not affected by COVID-19.

For the FY 2022 formula apportionment, FTA will automatically use either your 2019 or 2020 data, whichever is higher. For the FY 2023 formula apportionment, FTA will automatically use either your 2019 or your 2021 data, whichever is higher. You do not need to submit a disaster waiver request to FTA to receive this benefit as it will be automatically applied to every NTD Report.

FTA emphasizes that federal law still requires submission of a complete NTD report and self-certification each year. FTA’s use of prior year data for the apportionment is contingent upon your actual NTD report being accepted for each year, or receiving a valid report waiver for each year.

AD16: My transit system has implemented rear-door boarding and is no longer collecting ridership data from the registering farebox or automatic passenger counters at the front doors of our vehicles. Who should I contact regarding changes in my sampling procedures or data collection methods?

A: Please contact your assigned National Transit Database (NTD) analyst to discuss these data collection issues. Your analyst’s contact information appears in your agency's profile in the NTD online reporting system. If you cannot access the reporting system, please contact the NTD Help Desk at NTDHelp@dot.gov.

AD17: Will FTA waive the “Levels of Service” requirement for Capital Investment Grant projects?

A: Yes, FTA will waive the “Levels of Service” requirement for Capital Investment Grant (CIG) projects that have been opened for service for less than five years and all projects that will be opening for service before January 20, 2022, provided that any reduction in service for the FTA-funded project is commensurate with other service reductions across the system associated with the COVID-19 public health emergency.

AD18: Will FTA extend the date by which grant funds must be obligated or become unavailable to recipients for funds whose period of availability ends September 30, 2020?

A: Yes, for grant program funds for which FTA has the administrative authority to do so. The period of availability is extended by one year to September 30, 2021 for the following grant program funds:

Most other FTA programs have statutorily set periods of availability that FTA may not extend.

AD19: Can an organization receive an extension to submit its Single Audit Report?

A: Yes. Per the Office of Management and Budget Memorandum M-20-26, FTA recipients with normal single audit due dates from March 30, 2020 through June 30, 2020 and for which FTA is the cognizant agency may delay single audit submission by up to six months beyond the normal due date. Single audits with a normal due date from July 31, 2020 through September 30, 2020 may delay single audit submission by up to three months. Recipients are not required to seek approval for the extension, but should maintain documentation of the reason for the delayed filing.

AD20: Can the biennial physical inventory conducted to ensure control of federally funded assets, required under FTA Circular 5010.1E and 2 CFR 200.313, be delayed due to the public health emergency?

A: Yes, if necessary due to local public health conditions and restrictions. A recipient should notify its FTA Regional Office of any delays in conducting a physical inventory of its federally funded assets due to local public health emergency conditions, including stay-at-home restrictions. If the physical inventory cannot be carried out in compliance with local public health restrictions, the recipient should document the reason for the delay in its files. The recipient should conduct the physical inventory once permissible under local public health restrictions and deemed safe to do so, and notify the FTA Regional Office upon completion.

AD21: Is FTA providing relief from the Public Transportation Safety Certification Training Program regulation (49 CFR Part 672) August 20, 2021, compliance deadline?

A: Yes. In light of the extraordinary operational challenges presented by the COVID-19 public health emergency, the FTA has issued a Notice of Enforcement Discretion stating that FTA will refrain from taking enforcement action pursuant to 49 U.S.C. § 5329(g) and the FTA Master Agreement (26) (October 1, 2019) until August 21, 2022, against any FTA recipient subject to the PTSCTP regulation that is unable to certify that it has met the requirements of the regulation. Notwithstanding the Notice’s exercise of enforcement discretion, FTA encourages affected recipients, and individuals designated under the program, to continue to work toward meeting PTSCTP requirements to the extent practical under the current circumstances caused by the COVID-19 public health emergency.

The Notice remains in effect through August 20, 2022.

FTA Drug and Alcohol Testing Requirements

DA1: For FTA-covered employers, what is the effect of a declaration of a national, state, or local emergency on FTA testing requirements?

A: The declaration of a national, state, or local emergency does not exempt FTA-regulated employers from the applicable FTA testing requirements. As an FTA-regulated employer, you must comply with the drug and alcohol testing requirements found in 49 CFR Parts 40 and 655.

DA2: What are options for FTA-covered employers if the collection sites in their area are closed or program resources are unavailable due to COVID-19?

A: As an FTA-regulated employer, you are required to comply with the applicable FTA testing requirements. However, FTA recognizes that compliance may not be possible in certain areas, due to the unavailability of program resources, such as collection sites, laboratories, and service agents. If you are unable to conduct FTA drug or alcohol testing due to COVID-19-related supply shortages, facility closures, State or locally-imposed quarantine requirements, or other impediments, you will need to continue to comply with applicable FTA requirements to document why a test was not completed.

Further, FTA regulations require recipients to maintain other records. These include documentation of delays in post-accident testing and records relating to the collection process, including documents relating to the random selection process. If an FTA recipient's random testing programs and/or processes change due to COVID-19, these changes should be documented and retained according to the requirements of Parts 40 and 655.

DA3: Must FTA-covered employers meet FTA's minimum random testing rates while a declaration of a National Emergency exists?

A: 49 CFR § 655.45 requires FTA recipients to randomly test a certain percentage of their employees according to the published testing rate. Section 655.45(f) requires employers to "randomly select a sufficient number of covered employees for testing during each calendar year to equal an annual rate not less than the minimum annual percentage rates for random drug and alcohol testing determined by the Administrator." The Calendar Year (CY) 2020 random testing rates for drugs is 50% and 10% for alcohol.

To comply with Section 655.45(f), FTA recipients’ random testing rate must meet or exceed the rate set by the Administrator at the end of each calendar year.

If, due to disruptions caused by the COVID-19 public health emergency, you are unable to perform random tests during the current testing period, you should make up the tests by the end of the calendar year to achieve the required minimum 50% rate for drug testing and 10% for alcohol testing for CY 2020. You should document in writing the specific reasons why you were unable to conduct tests on employees who were selected.

DA4: For FTA-covered employers, may a new employee or an employee returning from furlough begin work in a safety sensitive position, even if pre-employment or other testing is unavailable?

A: If employers are unable to conduct FTA drug and alcohol testing due to the unavailability of testing resources, the underlying modal regulations continue to apply. For example, if pre-employment testing is not conducted, the prospective employee must not be permitted to perform any safety-sensitive functions until testing is accomplished and a Medical Review Official (MRO) verified negative result is received.

If you furlough an employee and remove the employee from the random testing pool for 90 or more consecutive days, you are required under 49 CFR § 655.41 to conduct a pre-employment drug test of the employee prior to returning the employee to the random pool and safety-sensitive functions.

DA5: Should FTA-covered employers continue to conduct post-accident and reasonable-suspicion testing?

A: You are required to send covered employees for drug and alcohol testing as soon as practicable following an accident as required by 49 CFR § 655.44 and following a reasonable-suspicion event as required by 49 CFR § 655.43. However, as the regulations state, if you are unable to administer an alcohol test within 8 hours following the accident or event, or a drug test within 32 hours following the accident, you must document in writing the specific reasons why the test could not be conducted.

DA6: May an employee resume safety-sensitive work after a violation if FTA-covered employers are unable to conduct return-to-duty or other testing?

A: No. In accordance with 49 CFR § 655.46, you must not allow a safety-sensitive employee to return to perform any safety-sensitive functions, as defined in 49 CFR § 655.4, until return-to-duty testing is conducted following the procedures outlined in 49 CFR Part 40.

DA7: For FTA-covered employers, how does furlough affect follow-up testing?

A: If follow-up drug or alcohol testing cannot be completed in accordance with 49 CFR § 655.47 due to an employee being furloughed, his or her follow-up testing plan stops during the extended absence, as required by 49 CFR § 40.307(e). The testing plan must resume once the employee returns to the performance of safety-sensitive functions.

DA8: For FTA-covered employers, can their employees refuse to go for testing due to concerns about collection site contamination and possible exposure to COVID-19?

A: FTA is aware that some employees have expressed concern about potential public health risks associated with the testing process in the current environment. Please follow the Department of Transportation (DOT) Office of Drug and Alcohol Policy Compliance (ODAPC) guidance, which states: It is the employer’s responsibility to evaluate the circumstances of the employee’s refusal to test, which may include evaluating the collection facility’s preparations and procedures (e.g., maintaining safe social distances) as well as the circumstances of the individual employee (e.g., whether the employee is in a high-risk category or has family members who are), to determine whether or not the event should be considered a refusal per 49 CFR § 40.355(i). However, as COVID-19 is a novel public health risk, DOT asks employers to be sensitive to employees who indicate they are not comfortable or afraid to go to clinics/collection sites.

DA9: What should transit employees do if they are experiencing COVID-19 related symptoms?

A: Please follow the Department of Transportation (DOT) Office of Drug and Alcohol Policy Compliance (ODAPC) guidance, which states: If you are experiencing COVID-19-related symptoms or have tested positive, you should contact your medical provider and let your employer know about your availability to perform work.

DA10: For transit employees concerned about the risks associated with testing during the public health emergency, may the employer require employees to submit to a test?

A: Please follow the Department of Transportation (DOT) Office of Drug and Alcohol Policy Compliance (ODAPC) guidance, which states: If you have COVID-19-related concerns about testing, you should discuss them with your employer.

As a reminder, it is the employer’s responsibility to evaluate the circumstances of the employee’s refusal to test and determine whether or not the employee’s actions should be considered a refusal per 49 CFR § 40.355(i).

CDC Recommendations for Workplace Preparedness & Protection

The following were prepared by the CDC for posting by FTA:

CDC1: What is FTA’s position on the transit workforce having the necessary protections, including personal protective equipment (PPE) such as masks and required social distancing practices?

A: Under the CARES Act, $25 billion was allocated to transit agencies across the country with no local match required. These funds are available for transit agencies to provide PPE for transit workers. Consistent with the CARES Act, FTA expects that agencies use available funding to purchase PPE for the transit workforce consistent with CDC and OSHA guidance to the maximum extent possible. Current CDC guidance includes recommendations for cloth face coverings and social distancing. Transit systems should have appropriate PPE for frontline workers and procedures in place such as rear-door entry to ensure that social distancing is being observed by the system and transit riders to protect transit operators and the public. FTA will continue to monitor COVID-19 related guidance and will update this FAQ if CDC or OSHA guidance changes.

OSHA requirements that may apply to preventing occupational exposure to COVID-19, include OSHA's PPE standards (29 CFR 1910 subpart I) and the General Duty Clause, section 5(a)(1), of the Occupational Safety and Health (OSH) Act of 1970. See OSHA’s Guidance on Preparing Workplaces for COVID-19 and OSHA’s COVID-19 webpage.

CDC2: (CDC) How can transit agencies and operators best begin a constructive dialogue about COVID-19 with public health officials in their local community?

A: Transit agencies are encouraged to reach out to local public health officials to establish ongoing communications to facilitate access to relevant information before and during an outbreak.

CDC3: (CDC) What transit interior surfaces require the most attention and what cleaning solutions are the most effective against the virus? How frequently should cleaning occur?

A: High-touch surfaces should be cleaned and disinfected at least once a day.

High-touch surfaces include kiosks, turnstiles, benches, railings, handrails, garbage cans, door handles, payphones, restroom surfaces (faucets, toilets, counters), poles, handrails, seats, benches, grab bars, and exit buttons.
If surfaces are dirty, they should be cleaned using a detergent or soap and water prior to disinfection. 
Products registered with EPA for use against novel coronavirus SARS-CoV-2 (the cause of COVID-19) are expected to be effective against COVID-19 based on data for harder to kill viruses. Follow the manufacturer’s instructions for all cleaning and disinfection products (e.g., concentration, application method and contact time, etc.).  See this list of products registered with EPA for use against novel coronavirus SARS-CoV-2.
For soft or porous surfaces such as carpeted floor, rugs, and drapes, remove visible contamination if present and clean with appropriate cleaners indicated for use on these surfaces. 
Staff should wear PPE in accordance with the disinfectant manufacturer’s instructions. After removing PPE, staff should wash their hands with soap and water for at least 20 seconds.

CDC4: What actions can transit agencies take to increase COVID-19 preparedness for potential outbreaks in their service areas?

A: CDC has developed interim guidance for businesses that includes planning considerations and recommendations for developing an infectious disease outbreak response plan.

CDC5: What personal protective equipment should we provide to our employees?A: The Occupational Safety and Health Administration (OSHA) hosts a webpage summarizing OSHA standards and directives and other related information that may apply to worker exposure to COVID-19. In addition, monitor OSHA’s COVID-19 webpage for any potential updates or recommendations.

Other Funding Sources

OF1: Are FEMA resources available to respond to COVID-19? (Revised 10/14/2020)

A: FEMA Public Assistance (PA) funding may be available to assist with grocery and meal delivery, and to purchase personal protective equipment and sanitize public facilities when such costs are associated with activities otherwise eligible for FEMA PA funding. On or after September 15, 2020, costs for personal protective equipment and disinfection of public transit facilities related to the regular operation of a transit system no longer are eligible for FEMA PA. Refer to FEMA’s updated policy. Recipients should check with their State Office of Emergency Services to determine whether FEMA PA funding is available to maximize the funding available to them to respond to COVID-19.

Last updated: Friday, December 11, 2020