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 05/18/2022)

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

• CARES Act and CRRSAA Funds
• FTA Formula Funding Under Emergency Relief Program
• CARES, CRRSAA & ER Funding Requirements
• Civil Rights
• Transit Agency Responses
• Administrative Relief
• CDC Recommendations for Workplace Preparedness & Protection
• Other Funding Sources

Coronavirus Aid, Relief, and Economic Security (CARES) Act, Coronavirus Response and Relief Supplemental Appropriations Act, 2021 (CRRSAA) and American Rescue Plan Act (ARP)

Note: See CA48 for CARES Act and CRRSAA FAQ applicability to ARP Act funds.

CA1: Are all expenses normally eligible under the Urbanized Area Formula Program (49 USC 5307), the Enhanced Mobility of Seniors and People with Disabilities Program (49 U.S.C. § 5310) and the Formula Grants for Rural Area Program (49 USC 5311) eligible under the CARES Act, CRRSAA, and ARP Act?

A: Yes, the CARES Act and CRRSAA provide funds to prevent, prepare for, and respond to COVID-19; both the CARES Act and CRRSAA provide funds for expenses eligible under Sections 5307 and 5311, but only CRRSAA provides funds for expenses eligible under Section 5310. FTA generally will consider all expenses normally eligible under the Section 5307, 5310 and 5311 programs that are incurred on or after January 20, 2020 to be in response to economic or other conditions caused by COVID-19 and thus eligible under the CARES Act and CRRSAA, as applicable. 

The CRRSAA requires that all CARES Act funds that remain unobligated as of December 27, 2020, as well as all CRRSAA funds shall, to the maximum extent possible, be directed to payroll and operations of public transit (including payroll and expenses of private providers of public transportation), unless the recipient certifies to FTA that the recipient has not furloughed any employees. Recipients are responsible for ensuring that payments of CARES Act and CRRSAA funds to subrecipients are consistent with this requirement. See also CA32 regarding private provider subrecipients. CARES Act and CRRSAA funds are available for operating expenses for all FTA Section 5307, 5310 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, CRRSAA, and ARP are available for all operating activities (net fare revenues) that occur on or after January 20, 2020. All three Acts provide funds for eligible expenses under Sections 5307 and 5311, but only CRRSAA and ARP provide funds for eligible expenses under Section 5310.

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. Preventive maintenance is considered an operating expense for the purposes of CARES Act, CRRSAA, and ARP reimbursement. See Chapter IV of the  Urbanized Area Formula Program circular, Chapter III of the Enhanced Mobility of Seniors and Individuals with Disabilities Program circular or Chapter III of the Formula Grants for Rural Areas circular for more information on eligible operating expenses.

CARES Act, CRRSAA, and ARP funding can be used for administrative leave, such as leave for employees due to reductions in service, leave required for a quarantined worker, or and leave for an employee to receive the COVID-19 vaccine, including reasonable time for the employee to recover from potential side effects.

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 and CRRSAA may be used for operating expenses. Per CRRSAA, all CARES Act and CRRSAA funding that is not already obligated in a grant, must be used for payroll and operating expenses to the maximum extent possible, unless the recipient certifies that it has not furloughed any employees.

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 and CRRSAA 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 ADA 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 and CRRSAA?

A: It depends. Title XII of Division B of the CARES Act and CRRSAA provide 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. In addition, the CRRSAA makes private providers of public transportation eligible to be subrecipients of funding provided under the CARES Act and CRRSAA. See also CA32.

CA6: Are FTA funds available for public transit agencies to reimburse third-party operations and maintenance contractors for the amounts provided in the contracts or grants of a subrecipient, 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 and subrecipients 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 or subrecipient agreement.

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

A: No. States and designated recipients have flexibility to allocate CARES Act and CRRSAA 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 or CRRSAA funding application. Requirements for fair and equitable distribution and intercity bus consultation under 49 U.S.C. § 5311(f) apply to CARES Act funds. The intercity bus consultation requirement does not apply to CRRSAA funds.

CA8: Is a state required to use its existing State Management Plan to develop a program of projects for CARES Act or CRRSAA funds administered under the Formula Grants for Enhanced Mobility of Seniors and Individuals with Disabilities Program (Section 5310) 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 and CRRSAA funds. 

CA9: Are CARES Act or CRRSAA 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 or CRRSAA 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 or CRRSAA 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 or CRRSAA grants for operating assistance or preventive maintenance?

A: No. Grants for operating assistance and preventive maintenance using CARES Act or CRRSAA 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 or CRRSAA 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). States are not required to set aside 15 percent of their CRRSAA funds for intercity bus service, but may expend CRRSAA funds on intercity bus service, if the State so chooses.

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 or CRRSAA funds?

A: Yes. Similar to grants made with annually apportioned Urbanized Area Formula funds, at least one percent of CARES Act or CRRSAA 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 or CRRSAA funding for operations that those fares would have covered?

A: Funding under the CARES Act or CRRSAA 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 or CRRSAA 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), Enhanced Mobility of Seniors and Individuals with Disabilities (Section 5310) or the Rural Areas Formula Program (Section 5311) may receive CARES Act or CRRSAA funding (as applicable) if allocated funds by the designated recipient (see also CA32).  To receive funding as a recipient or subrecipient, the public transportation operations must meet all eligibility and program requirements of either Section 5307, 5310, or Section 5311. Further, private providers of public transportation are now considered to be eligible subrecipients for both CARES Act and CRRSAA funds. As a subrecipient, the operator must receive CARES Act or CRRSAA funding through an existing designated or direct recipient of Urbanized Area, or Rural Area or Enhanced Mobility of Seniors and Individuals with Disabilities formula funding. 49 U.S.C. §§ 5302(4), 5307(c), 5311(a)(2), 5310(b).

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

A: Both the CARES Act and CRRSAA provide funds for Sections 5307 and 5311, but only CRRSAA provides funds for Section 5310. 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), Enhanced Mobility for Seniors and Individuals with Disabilities (Section 5310), or the Formula Grants for Rural Areas Program (Section 5311) that occurred on or after January 20, 2020, at a 100 percent federal share. CRRSAA funds, as well as any funds not already obligated in a CARES Act grant as of December 27, 2020, must be used for payroll and operating expenses, unless the recipient certifies to FTA that it has not furloughed any employees. 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, Chapter III of the Enhanced Mobility for Seniors and Individuals with Disabilities 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 and CRRSAA funding, as applicable, 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 or CRRSAA funding?

A: Funds are available until expended. There is no lapse date to obligate funds available under the CARES Act or CRRSAA. 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: It depends. All requirements for the Section 5311 program apply unless otherwise noted for CARES Act and ARP funding; however, CRRSAA does not require States to set aside 15 percent of their apportionment for intercity bus. Additional funding for intercity bus is available from and administered by the Department of the Treasury (see OF2).

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

A: It depends. CARES Act or CRRSAA 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 or CRRSAA 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 or CRRSAA grants have to be sent to the Department of Labor (DOL) for certification?

A: Yes. The CARES Act and CRRSAA requires that grants using funds made available under the CARES Act and CRRSAA 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 or CRRSAA funding?

A: Yes. Split and/or sub allocation letters must be updated to include funds made available under the CARES Act and CRRSAA. Once suballocation letters 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 or CRRSAA funds.

CA25: Can I seek a waiver from requirements under the Emergency Relief docket for CARES Act, CRRSAA, or ARP 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. The docket number for calendar year 2022 is FTA-2022-0001. FTA encourages recipients to contact their FTA regional office prior to submitting a request to the docket, as many requests can be resolved with the regional office.

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

A: No special documentation is required for CARES Act or CRRSAA 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 or CRRSAA funds be used to match other federal funds?

A: It depends. CARES Act or CRRSAA 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 or CRRSAA funds may be eligible as match for such a program.

 CA28: Does a state need to conduct a new consultation process for CARES Act, CRRSAA, or ARP 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: It depends. A State that intends to allocate less than 15 percent of CARES Act or ARP 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 consultation undertaken after April 2, 2020 satisfies the requirement for ARP funding as well as CARES Act funding; however, States that believe their intercity needs may have changed have the option to undertake a new consultation.

CRRSAA does not require States to set aside 15 percent of their apportionment for intercity bus. Additional supplemental funding for intercity bus is administered by the Department of the Treasury (see OF2).

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

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

CA30: Does the requirement of the Formula Grants for Enhanced Mobility for Seniors and Individuals with Disabilities Program (49 U.S.C. § 5310) that 55 percent of appropriated funds must be used for traditional capital projects apply to CRRSAA funds apportioned to the Section 5310 Program?

A: No, all funding provided to Section 5310 by the CRRSAA may be used for any expenses otherwise eligible in the Section 5310 program, including operating expenses. Per the CRRSAA, to the maximum extent possible, funds must be directed to payroll and operations of public transit (including payroll and expenses of private providers of public transportation), unless the recipient certifies to FTA that the recipient has not furloughed any employees.

CA31: Does the CRRSAA waive the local share requirement for Formula Grants for Enhanced Mobility for Seniors and Individuals with Disabilities (49 U.S.C. § 5310)?

A: Yes. The CRRSAA waives the requirement for local share for previously apportioned (FY21 and prior) unobligated Section 5310 funds. Any unobligated Section 5310 funds may be obligated at a 100‑percent federal share. In addition, CRRSAA funds apportioned to the Section 5310 program may be obligated at a 100-percent federal share. The use of Section 5310 formula funds must comply with all Section 5310 requirements, including the 55 percent minimum expenditure for “traditional” capital projects, and inclusion of projects in the coordinated plan. Please see FTA’s Section 5310 Circular for additional information.

CA32: May a private provider of public transportation become a subrecipient of CARES or CRRSAA funding?

A: Yes, per the CRRSAA, private providers of public transportation are eligible to become subrecipients of either CARES or CRRSAA funding. Any agreements between recipients and private provider subrecipients must include all applicable federal requirements unless waived under FTA’s Emergency Relief provisions.

CA33: Under the CRRSAA, some Urbanized Areas were not allocated any Urbanized Area Formula Program (49 U.S.C. § 5307) funds and some States were not allocated any Formula Grants for Rural Area Program (49 U.S.C. § 5311) funds. Why?

A: The CRRSAA limits CRRSAA Urbanized Area funding to 75 percent of an urbanized area’s combined 2018 operating expenses as reported to the National Transit Database (NTD) when combined with CARES Act Urbanized Area (Section 5307) funding allocated to the same urbanized area. Therefore, Urbanized Areas that received CARES Act Urbanized Area funding that exceeded 75 percent of their urbanized area’s combined 2018 operating expenses were not allocated Urbanized Area funding under the CRRSAA.

Likewise, the CRRSAA limits Rural Areas (Section 5311) funding to 125 percent of a State’s combined 2018 rural operating expenses as reported to the NTD when combined with CARES Act Rural Areas funding provided to the same State. States that received CARES Act Rural Areas funding that exceeded 125 percent of the State’s combined 2018 rural operating expenses were not allocated Rural Areas funding under the CRRSAA.

CA34: How were the 2018 Operating Expenses for Urbanized Areas, Rural Areas and States determined for purposes of the CRRSA?

A. 2018 operating expenses were calculated using agency fiscal year 2018 submissions to FTA’s National Transit Database (NTD) and attributed to the urbanized or rural areas in which the service was provided. This data includes standard adjustments for: operating expenses in urbanized areas to include full and reduced reporters; operating expenses in rural areas to include urbanized area transit provided by rural providers; reporters that were held harmless in 2018 due to unforeseen service impacts (such as natural disasters, strikes, etc.); and adjustments for purchased-transportation cost allocations.

CA35: Do the Urbanized Area or Rural Areas caps of 75 or 125 percent of 2018 operating expenses apply to each recipient as well?

A: No, the cap only applies at the Urbanized Area or State level, not for each designated recipient, direct recipient or subrecipient.

CA36: Can a State use its allocated Small Urbanized Area funding (populations of 200,000 or less) in any small urban areas in the State, or only those listed in the Apportionment table?

A: Consistent with the provisions of Section 5307, a State may use the Small Urbanized Area funding in any small urbanized area of the State.

CA37: I am interested in using CRRSAA funds or unobligated CARES Act funds for expenses other than payroll and operations, including expenses of private providers of public transportation. What do I need to certify?

A: Under CRRSAA, to use either CARES Act funds unobligated as of December 27, 2020 or CRRSAA funds for expenses other than operations and payroll, a grant applicant must certify either that:

• the applicant “has not furloughed any employees,” or
• “to the maximum extent possible,” CARES Act and CRRSAA funds “shall be directed to payroll and operations of public transit (including payroll and expenses of private providers of public transportation).”

CA38: What CARES Act funds are covered by the certification requirements in CRRSAA?

A: Any CARES Act funds that were not obligated as of December 27, 2020 are subject to CRRSAA’s furlough certification requirement.

CA39: For what time period must a CARES Act or CRRSAA grant applicant be able to certify that it “has not furloughed any employees?”

A: To certify that a grant applicant “has not furloughed any employees,” the proposed recipient—as well as its subrecipients and contractors that are providers of public transportation—cannot have furloughed any employees since March 27, 2020 (the enactment date of the CARES Act).

CA40: Can a grant applicant certify that it “has not furloughed any employees” if its subrecipients and contractors that are providers of public transportation have furloughed employees since March 27, 2020?

A. No. To certify that a CARES or CRRSAA grant applicant “has not furloughed any employees,” the proposed grant recipient must certify that the recipient, and its subrecipients and contractors that are providers of public transportation, have not furloughed any employees since March 27, 2020.

CA41: Can a grant applicant certify that it “has not furloughed any employees” if a subrecipient or contractor that is not a provider of public transportation has furloughed employees since March 27, 2020?

A: Yes. A grant recipient can make this certification so long as the recipient, and its subrecipients and contractors that are providers of public transportation, have not furloughed any employees since March 27, 2020.

CA42: If a CARES Act or CRRSAA grant applicant (or its subrecipients or contractors that are providers of public transportation) has furloughed any employees since March 27, 2020, can it still certify that “to the maximum extent possible,” CARES and CRRSAA funds “shall be directed to payroll and operations of public transit (including payroll and expenses of private providers of public transportation)?”

A: Yes. A CARES or CRRSAA grant applicant can make that certification in any of the following three circumstances:

• The applicant intends to use all unobligated CARES Act funds and all CRRSAA funds on payroll and operations of public transit, including payroll and expenses of private providers of public transportation; or
• The applicant, and any subrecipient or contractor that is a provider of public transportation, (a) currently are not furloughing any employees; (b) have, to the maximum extent possible, brought back any employees previously furloughed as a direct result of financial challenges caused by the COVID-19 public health emergency; and (c) have rehired, or posted to rehire, any positions of employees who were laid off as a result of financial challenges caused by the COVID-19 public health emergency; or
• The applicant, and any subrecipient or contractor that is a provider of public transportation: (a) intends to use CARES Act or CRRSAA funds to bring back any employees previously furloughed as a direct result of financial difficulties caused by the COVID-19 public health emergency, to the maximum extent possible; (b) intends to use CARES Act or CRRSAA funds to rehire any positions of employees who were laid off as a direct result of financial challenges caused by the COVID-19 public health emergency; and (c) explains how it has spent CARES Act or CRRSAA funds on payroll, operations, or payroll and expenses of private providers of public transportation “to the maximum extent possible.”

For further guidance, the recipient should consult its FTA Regional Office.

CA43: What constitutes “payroll” and “operations” of public transit in the CRRSAA provision that, “to the maximum extent possible funds made available under (CRRSAA and CARES Act) shall be directed to payroll and operations of public transit?”

A: FAQ CA2 specifies the operating expenses eligible under this provision, which include, for example, fuel and items with a useful life of less than one year. Payroll expenses include expenses for all employees, including those of private providers of public transportation, that support public transportation, including those responsible for vehicle operations, vehicle and facility maintenance, and general administration. Examples of employees covered within payroll for purposes of this CRRSAA provision include, but are not limited to, operators/conductors, operating crew members, route schedulers, dispatchers, instructors, timekeepers, service staff (e.g., cleaners, fuelers), maintenance personnel (e.g., mechanics, body shop workers), and administrative support staff.

CA44: If a recipient (or its subrecipient or contractor that is a provider of public transportation) has previously furloughed employees but brought them back, can the recipient direct CARES Act and CRRSAA funding to expenses other than operating and payroll purposes?

A: Yes. A recipient can direct unobligated CARES Act funds and CRRSAA funds to expenses other than for operating and payroll purposes so long as both the applicant and any subrecipient or contractor that is a provider of public transportation (a) are currently not furloughing any employees; (b) have, to the maximum extent possible, brought back any previously furloughed employees as of the time of certification; and (c) have rehired or posted to rehire any positions of employees who were laid off as a result of financial difficulties caused by the COVID-19 public health emergency.

CA45: Do subrecipients of unobligated CARES Act and CRRSAA funding need to certify to FTA that the subrecipient has not furloughed any employees or contractors in order to use funds for expenses other than payroll or operations?

A: No. Subrecipients do not need to make any certification. Only direct recipients of unobligated CARES Act funding or CRRSAA funding make the certification to FTA. The limitation on the use of funds, however, does flow through to subrecipients that are providers of public transportation. Direct recipients that pass funds through to subrecipients should ensure that any subrecipient receiving previously unobligated CARES Act funds or CRRSAA funds for uses other than payroll or operations has not furloughed any employees or is otherwise using such funds on payroll and operations “to the maximum extent possible,” in accordance with the guidance in CA40.

CA46: Are contracted staff subject to the requirement that a recipient must expend unobligated CARES Act funding or CRRSAA funding on payroll and operations to the maximum extent possible if the recipient has furloughed employees?

A: Yes. For the purposes of certifying that the recipient has not furloughed employees, both direct employees and contractor staff involved in transit maintenance or operations are considered employees.

CA47: My agency is looking to amend an existing CARES Act grant to spend funding on activities other than payroll, operations, and payroll and expenses of private providers of public transportation. Do we still need to make the certifications required under CRRSAA?

A: Yes. The act of amending a grant to include activities other than payroll and operations serves as a new obligation; therefore, the agency must make the certification required under CRRSAA.

 CA48: How do the program administration requirements for formula funding administered under Sections 5307, 5310, and 5311 made available through the American Rescue Plan Act (ARP) differ from CARES and CRRSAA?

A: Funding requirements under ARP are the same as those for the CARES Act and CRRSAA, with the following exceptions:

1. All ARP funding administered under Sections 5307, 5310, and 5311 must be obligated in a grant by September 30, 2024 and must be disbursed by September 30, 2029.
    
2. All ARP funding administered under Sections 5307, 5310, and 5311 should be directed to payroll and operations of public transportation (including payroll and expenses of private providers of public transportation), unless the recipient certifies to the Administrator of the Federal Transit Administration that the recipient has not furloughed any employees since March 27, 2020 (the enactment date of the CARES Act). Please also see new FAQs CA49-CA57.
    
3. States are required to set aside 15 percent of their Section 5311 ARP apportionment for intercity bus activities unless they certify, after consultation, that intercity bus needs in the state have been met. The $100 million in ARP funding specifically designated for intercity bus must be used for intercity bus projects unless the State does not have any eligible recipients for intercity bus funds. In addition, the Rural Transit Assistance Program (RTAP) set-aside of 2 percent of Section 5311 funds applies.
    
4. Private providers of public transportation are eligible to become subrecipients of CARES Act and CRRSAA funds, but not ARP funding.

Except for the items described above, all FAQs explaining funding and program requirements for CARES Act and CRRSAA funds also apply to ARP funds.

 CA49: I am interested in using ARP funds for expenses other than payroll and operations, including expenses of private providers of public transportation. What do I need to certify?

A: To use ARP funds for expenses other than operations and payroll, a grant applicant must certify that the applicant “has not furloughed any employees” since March 27, 2020 (the enactment date of the CARES Act).  Otherwise, ARP funds “shall be directed to payroll and operations of public transportation (including payroll and expenses of private providers of public transportation).”

 CA50: Are ARP funds covered by the certification requirements in CRRSAA? 

A: To use ARP funds for expenses other than operations and payroll, a grant applicant must certify that the applicant “has not furloughed any employees” since March 27, 2020 (the enactment date of the CARES Act).  An application for ARP funds requires an independent furlough certification and can be accomplished by the inclusion of language in the application executive summary during the grant-making process.

The ARP certification was added to the Fiscal Year 2022 Certifications and Assurances. A grant applicant may meet the ARP certification requirement by making certification 1.6.  American Rescue Plan Act Funding.

 CA51: For what time period must an ARP grant applicant be able to certify that it “has not furloughed any employees?”

A: To certify that a grant applicant “has not furloughed any employees,” the proposed recipient—as well as its subrecipients and contractors that are providers of public transportation—cannot have furloughed any employees since March 27, 2020 (the enactment date of the CARES Act).

 CA52: Can an ARP grant applicant certify that it “has not furloughed any employees” if its subrecipients and contractors that are providers of public transportation have furloughed employees since March 27, 2020?

A: No. To certify that an ARP grant applicant “has not furloughed any employees,” the proposed recipient must certify that the recipient, and its subrecipients and contractors that are providers of public transportation, have not furloughed any employees since March 27, 2020.

 CA53: Can an ARP grant applicant certify that it “has not furloughed any employees” if a subrecipient or contractor that is not a provider of public transportation has furloughed employees since March 27, 2020?

A: Yes. A grant recipient can make this certification so long as the recipient, and its subrecipients and contractors that are providers of public transportation, have not furloughed any employees since March 27, 2020.

 CA54: What constitutes “payroll” and “operations” of public transit in the ARP provision that funds “shall be directed to payroll and operations of public transportation (including payroll and expenses of private providers of public transportation)?”

A: FAQ CA2 specifies the operating expenses eligible under this provision, which include, for example, fuel and items with a useful life of less than one year. Payroll expenses include expenses for all employees, including those of private providers of public transportation, that support public transportation, including those responsible for vehicle operations, vehicle and facility maintenance, and general administration. Examples of employees covered within payroll for purposes of this ARP provision include, but are not limited to, operators/conductors, operating crew members, route schedulers, dispatchers, instructors, timekeepers, service staff (e.g., cleaners, fuelers), maintenance personnel (e.g., mechanics, body shop workers), and administrative support staff.

 CA55: If a recipient (or its subrecipient or contractor that is a provider of public transportation) has previously furloughed employees but brought them back, can the recipient direct ARP funding to expenses other than operating and payroll purposes?

A: No. 

 CA56: Do subrecipients of ARP funding need to certify to FTA that the subrecipient has not furloughed any employees or contractors in order to use funds for expenses other than payroll or operations?

A: No. Subrecipients do not need to make any certification. Only direct recipients of ARP funding make the certification to FTA. The limitation on the use of funds, however, does flow through to subrecipients that are providers of public transportation. Direct recipients that pass funds through to subrecipients should ensure that any subrecipient receiving ARP funds for uses other than payroll or operations has not furloughed any employees since March 27, 2020 (the enactment of the CARES Act).

 CA57: Are contracted staff subject to the requirement that a recipient must expend ARP funding on payroll and operations of public transportation (including payroll and expenses of private providers of public transportation), unless the recipient certifies to the Administrator of the Federal Transit Administration that the recipient has not furloughed any employees?

A: Yes. For the purposes of certifying that the recipient has not furloughed employees, both direct employees and contractor staff involved in transit maintenance or operations are considered employees.

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 activities undertaken in response to COVID-19 remain 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) at 100-percent federal share. Use of Formula funds for operating activities that address COVID-19 at 100 percent federal share no longer are permitted after January 20, 2022.  Beginning on January 21, 2022, formula funds are only available for operating expenses following the regular Section 5307 and Section 5311 formula program rules.

FTA 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 permitted Urbanized Area Formula Program or Formula Grants for Rural Areas Program funding, including such funding appropriated in the Consolidated Appropriations Act, 2021, to be used for COVID-19-related public transportation capital or operating expenses at a 100-percent federal share, regardless of whether operating expenses generally are an eligible expense for a recipient. The ability to use funds for operating expenses at 100-percent federal share has expired. See 49 U.S.C. 5324(b)(2)(B).

Pursuant to FTA’s Emergency Relief rule at 49 CFR part 602, eligible capital 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 increased cleaning of rolling stock, which is considered preventive maintenance (classified as a capital expense for Section 5307 and 5311 funds, and an operating expense for CARES, CRRSAA, and ARP funds) and is eligible for an 100-percent federal match. Other capital expenses incurred to directly respond to the pandemic remain eligible at a 100-percent federal share using Section 5307 and 5311 formula funds.

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. The President 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 were 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.

Federal transit law (49 U.S.C. 5324(b)(2)(B)) limits the use of Section 5307 and 5311 formula funds for operating expenses that address the emergency to two years.  Therefore, formula funds may not be used to reimburse COVID-19-related operating expenses at 100 percent federal share for activities occurring on or after January 21, 2022.  Grants with obligated but unexpended funds should be amended to reflect this change once all eligible expenses have been reimbursed.

Transit agencies in rural areas and small urbanized areas may use Section 5307 and 5311 formula funds for operating expenses, including those related to COVID-19 response, at a 50-percent federal share, consistent with federal transit law (49 U.S.C. 5307 and 5311).  Transit agencies in large urbanized areas may only use formula funds for operating if they meet the exception permitted in 49 U.S.C. 5307 (100-bus rule).

Transit agencies may continue to use CARES, CRRSAA, and ARP funds for operating expenses at 100-percent federal share until all the funds are expended.

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

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.  

ER6: Does the flexibility for formula funding include the Enhanced Mobility of Seniors and Individuals with Disabilities Program (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. However, the CRRSAA permits all unobligated Section 5310 funding (FY21 and prior) to be obligated at a 100-percent federal share for all activities eligible under the Section 5310 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 used the expanded flexibilities for operating expenses with Section 5307 and 5311 formula funds and have obligated but unexpended formula funds on January 21, 2022. Beginning on January 21, 2022, formula funds are only available for operating expenses following the regular formula program rules.  Active grant award recipients, under programs Section 5307 and 5311, with obligated but unexpended formula funds designated for operating expenses will need to complete an award amendment or submit a new application. There is no specific deadline for recipients to draw down obligated funds for operating expenses incurred on or before January 20, 2022, but recipients are encouraged to draw down funds as soon as possible.  No amendments are required for CARES, CRRSAA or ARP funds.

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 and CRRSAA?

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. The waiver for operating expenses expired on January 20, 2022.

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. Eligible operating expenses must have been incurred before January 21, 2022.

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. The increased federal share for operating expenses, and the ability to use formula funds for operating expenses in large urbanized areas (if they do not meet the exception permitted in 49 U.S.C. 5307 (100-bus rule)), expired on January 20, 2022, including funding obligated in an active grant but not yet expended.

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, CRRSAA, ARP & 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, leave for a worker who is quarantined after potential exposure to an individual infected with COVID-19, and leave for an employee to receive the vaccine, including reasonable time for the employee to recover from potential side effects.

The CDC has issued guidance on vaccination programs for essential workers, which recommends that employers establish supportive policies and practices to help increase vaccine uptake among essential workers.

CE2: May CARES Act, CRRSAA, ARP 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. However 5307 and 5311 formula funds used under FTA’s Emergency Relief program are no longer eligible for operating expenses after January 20, 2022.  

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, CRRSAA, or ARP funds be used for the operating costs of essential services such as meal delivery?

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 permitted recipients to use Section 5307/5311 formula funds administered under the provisions of the Emergency Relief program, until January 20, 2022, to pay for the operational costs of such services. These services are not an eligible use of formula funds after January 20, 2022, however, recipients may continue to pay for such expenses beyond January 20, 2022, using CARES Act, CRRSSA, and ARP funds. 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, CRRSAA, or ARP 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/CRRSAA/ARP 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 prior to January 21, 2022..

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 or CRRSAA 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), Enhanced Mobility for Seniors and Individuals with Disabilities (49 U.S.C. § 5310) 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 and all normal Section 5307, 5310, and 5311 requirements apply to funds made available under the CRRSAA or ARP, with the following exceptions along with those otherwise noted in the FAQs:

• Transportation Improvement Program (TIP) or the Statewide Transportation Improvement Program (STIP): CARES Act and CRRSAA funds used to pay for operating expenses do not need to be included in the TIP/STIP.
• CARES Act, CRRSAA, and ARP 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).

The requirement to spend at least 55 percent of Section 5310 funds on traditional capital projects does not apply to Section 5310 CRRSAA funds.

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. The docket number for calendar year 2022 is FTA-2022-0001. FTA encourages recipients to contact their FTA regional office prior to submitting a request to the docket, as many requests can be resolved by the regional office.

CE8:  What is the federal share of a CARES Act and CRRSAA grants?

A:  The federal share for all grants awarded under the CARES Act and CRRSAA 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 (docket number FTA-2022-0001) 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 FTA requirements.

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 the FY2020 and FY2021 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 incurred prior to January 21, 2022. 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 recipient should first contact the FTA Regional Office to discuss the request. On January 21, 2022 and later, the standard requirements and restrictions for operating funding apply to Section 5307 funds. 

 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, CRRSAA or previously apportioned Urbanized Area Formula Grants (Section 5307), Enhanced Mobility for Seniors and Individuals with Disabilities (Section 5310) 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: When is payment of a monetary incentive or bonus to employees who continue to work or to encourage employee vaccination eligible for federal reimbursement? 

A: A bonus or incentive compensation to an employee is an operating expense eligible for federal reimbursement under the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards 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 a bonus or incentive pay from that point forward, but it would not be able to receive federal reimbursement for pay a bonus for work performed prior to the agreement or to employees that were vaccinated prior to the agreement.
 
The CDC has issued guidance on vaccination programs for essential workers, which recommends that employers establish supportive policies and practices to help increase vaccine uptake among essential workers.

 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 and CRRSAA program funds required to be programmed in a Metropolitan Planning Organization (MPO) Unified Planning Work Program (UPWP)?

A: Yes. CARES Act or CRRSAA 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.

CE18: Are FTA funds available to provide transportation to or from COVID-19 vaccination sites?

A: Yes. Several FTA funding programs can be used to support transportation services to and from COVID-19 vaccination sites and transit assets can support vaccination efforts as an incidental use.

Urbanized Area (49 U.S.C. § 5307) or Rural Areas (49 U.S.C. § 5311) Formula Funds
New or expanded public transportation service to provide access to a COVID-19 vaccination site is considered an emergency operation to address the COVID-19 public health emergency under the authority of FTA’s Emergency Relief Program (49 U.S.C. § 5324). Previously apportioned Urbanized Area or Rural Areas formula funds may be used to reimburse, at a 100-percent federal share, the operating costs of new fixed route service or additional fixed route service on an existing route that includes one or more vaccination sites. until January 21, 2022.  

In cases where fixed route service deviates from an existing route to serve a vaccination site, only the operating costs attributable to the route deviation may be reimbursed at a 100-percent federal share. Demand response shared-ride trips, including both general public and Americans with Disabilities Act or ADA complementary, that begin or end at a vaccination site also may be reimbursed at 100-percent federal share. This expanded eligibility and increased federal share is in effect through January 20, 2022.

CARES Act, CRRSAA, and ARP Funds
CARES Act, CRRSAA, and ARP funding may be used to cover operating expenses for any public transportation service to COVID-19 vaccination sites at a 100-percent federal share.

Enhanced Mobility of Seniors and Individuals with Disabilities Program (49 U.S.C. § 5310) Funding
Under the Enhanced Mobility of Seniors and Individuals with Disabilities Program (49 U.S.C. § 5310), providing transportation for seniors and individuals with disabilities to COVID-19 vaccination sites is eligible at a 100-percent Federal share when using CRRSAA or FY 2021 or prior year unobligated funds.

Incidental Use of Transit Assets
Additionally, the use of transit vehicles to provide non-public transportation service (non-shared ride or closed door) to COVID-19 vaccination sites, or the use of transit facilities as vaccination sites, is eligible as an incidental use if the services do not conflict with the provision of transit services or result in a reduction of service to transit passengers. Under the FTA Emergency Relief Program (49 U.S.C. § 5324), recipients are permitted to use Urbanized Area or Rural Areas formula 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.

During the COVID-19 public health emergency, prior approval for the incidental use of transit assets for the provision of essential services is not required, although recipients should notify their FTA Regional Office.

Additional Resources
FTA recommends that recipients check with their State Office of Emergency Services to determine whether FEMA’s Public Assistance program may be available to support their vaccine distribution activities. A recipient only may charge costs to an FTA grant that are not covered by other entities.

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: 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). 

 CR11: 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. 

 CR12: 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.

CR13: 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.

CR14: 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.

CR15: 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.

CR16: What are recipients’ obligations for Title VI demographic data collection during the COVID-19 public health emergency?

A: Under FTA’s Title VI Circular 4702.1B, Chapter IV, Section 5, transit providers that operate 50 or more fixed route vehicles in peak service and are located in an Urbanized Area (UZA) of 200,000 or more in population must collect and analyze racial and ethnic data of passengers in order to determine the extent to which members of minority groups are beneficiaries of programs receiving Federal financial assistance from FTA. Specifically, Section 5(b) requires those transit providers to collect and analyze racial, ethnic, language, income, and travel data of passengers in order to develop demographic profiles and travel patterns of minority and non-minority riders. The data required in Chapter IV, Section 5(b) must be updated at least once every five years and may be integrated into customer satisfaction surveys, origin and destination surveys, or other passenger surveys.

A recipient may request relief from the demographic data collection requirements during the COVID-19 public health emergency so that it may use passenger survey or other similar data collected more than five years ago by contacting its FTA Regional Civil Rights Officer. Ridership demographics and travel patterns may have shifted substantially because of COVID-19; however, the recipient may continue using existing or relevant data to the extent feasible in carrying out its Title VI program. Before FTA grants such relief, the recipient must commit to and propose a timeframe to conduct an updated passenger survey as FTA’s permission to use data collected more than five years ago is not open-ended.

CR17: Do Indian Tribes receiving COVID-19 supplemental funding need to prepare and submit a Title VI Program to demonstrate compliance with Title VI of the Civil Rights Act of 1964 (Title VI)?

A: It depends. Indian Tribes receiving funding from only the Tribal Transit Program (49 U.S.C. § 5311(c)) and COVID-19 supplemental funding are exempt from preparing and submitting a Title VI Program to FTA, consistent with FTA’s past practice in implementing the Tribal Transit Program. The absence of the requirement to prepare and submit a Title VI Program does not remove a Tribe’s underlying obligation to comply with Title VI and the U.S. Department of Transportation’s Title VI regulations at 49 CFR part 21.

However, if an Indian Tribe is a direct recipient of funding from another FTA program such as the Formula Grants for Rural Areas Program (Section 5311), Buses and Bus Facilities Program (Section 5339(a)), or Low or No Emission Vehicle Program (Section 5339(c)), the Tribe is required to prepare and submit a Program—consistent with FTA Circular 4702.1B —to demonstrate compliance with Title VI.

Transit Agency Responses

TA1: May transit providers post signs requesting those who are exhibiting symptoms of COVID-19 or who have had close contact with a COVID-19-positive individual not to board a transit vehicle?

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: How are transit agencies responding to COVID-19? 

A: The COVID-19 Recovery Practices in Transit resource published quarterly by FTA provides links to practices implemented by transit systems worldwide in response to COVID-19. Practices are organized under categories, including protecting workers and passengers; cleaning, disinfecting, and ventilating vehicles and infrastructure; operational considerations; passenger communications; and technology and innovation.

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. How can 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: May recipients postpone submission of Federal Financial Reports and/or Milestone Progress Reports currently due?

A: Yes. Recipients may delay submission by up to three months, consistent with Office of Management and Budget Memorandum M-20-21. These reports, however, must be submitted by the end of the extension period. Recipients are encouraged to document the delayed submission using the remarks/comments in Transit Award Management System (TrAMS) to note that the report is late due to the COVID-19 public health emergency to avoid any potential audit findings.

AD2: When does FTA plan to resume program oversight reviews? 

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 has resumed 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.

 AD3: 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.

 AD4: Can project sponsors hold virtual public hearings to satisfy public involvement requirements during the National Environmental Policy Act (NEPA) process?

A: Yes. FTA is aware that there may be scheduled or planned public hearings for projects that are currently in the NEPA process but that may be affected by current facility closures or by local in-person gathering restrictions. We have reviewed whether the public hearing requirements under the Council on Environmental Quality’s regulations for implementing NEPA (40 CFR parts 1500-1508) and FTA’s environmental regulations (23 CFR 771.111) can be met with a virtual public hearing and, if so, under what conditions. FTA has determined that virtual public meetings and hearings are a permissible and useful tool to provide for public involvement in the NEPA process. Virtual means, such as project websites, virtual meeting rooms, public meetings via YouTube, teleconferences, and presentations on local television stations, are encouraged for continued sharing of project information and encourage public participation. A public hearing can be held virtually when a court reporter transcribes the hearing and there are telephone access instructions and/or other alternatives for anyone without electronic media or internet access. When selecting appropriate methods for a public hearing, FTA and the project sponsor must consider the ability of affected entities to access electronic media (40 CFR 1506.6(c)), which may require applying a combination of virtual techniques to ensure all interested parties, including environmental justice and non-English speaking (i.e., Limited English Proficient) populations and persons with disabilities, can participate effectively in the public hearing.

For some projects, it may be appropriate to delay public hearings if FTA and the project sponsor agree that a virtual public hearing will not meet the public hearing requirements and ensure equal access to information for all groups. Please contact your local FTA Regional office to discuss further, if needed.

This guidance is effective immediately and will remain in effect until the Coronavirus Disease 2019 (COVID-19) Emergency Declaration ends.

AD5: 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). 

AD6: What can I do if I need additional time to submit required final reports for the purpose of closing my award that expired before June 16, 2020?

A: For grants that expired (the period of performance ended) 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, which authorized this flexibility, expired June 16, 2020 and was rescinded per OMB Memorandum M-20-26).

AD7: 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, as needed 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.

AD8: 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.

AD9: 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: In person ridership sampling activities can continue as normal. If in the event your agency did not collect a full 12-month sample, please contact your assigned NTD analyst to discuss reporting.

AD10: 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: In person trip length sampling activities can continue as normal. If in the event your agency did not collect a full 12-month sample, please contact your assigned NTD analyst to discuss reporting. The next mandatory sampling year is FY2023.

AD11: Are transit agencies required to complete their National Transit Database (NTD) report? 

A: Yes. Reporting to the NTD is required by law. Due dates can be found in the NTD Policy Manual based on your agency’s fiscal year end. The most recent NTD Policy Manual can be found here.

AD12: Will the COVID-19 public health emergency affect my area's formula funding? What is the impact on my Fiscal Year (FY) 2023 apportionments?  

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

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 will use all of a particular year’s data for the formula apportionment, even if some individual data elements might be higher in the alternative year. In some cases you may prefer to use the entire data set from the alternative year, in which case you should contact your NTD analyst when filing your report. FTA also does not guarantee a positive change in apportionment to an Urbanized Area (UZA), State, or Tribal Area from the prior year because the apportionment amount depends not only on the data you report, but also on the data reported by all other transit systems, as well as on the total amount of appropriations enacted. 

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.

The NTD will not have any special COVID-19 procedures for reporting FY 2022 data. FTA will use FY 2022 data in the FY 2024 apportionment.

AD13: 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.

AD14: 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, 2023, 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.

AD15: 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:

• FY 2018 Enhanced Mobility of Seniors and Individuals with Disabilities (Section 5310)
• FY 2018 Formula Grants for Rural Areas,Tribal Transit Formula Program, and Rural Transit Assistance Program (Section 5311)
• FY 2017 Tribal Transit Competitive Program (Section 5311)
• FY 2017 State of Good Repair (Section 5337)

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

AD16: 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 fiscal year end dates through June 30, 2021 may delay the completion and submission of their single audit reporting package to six months beyond the normal due date. Recipients are not required to seek approval for the extension, but should maintain documentation of the reason for the delayed filing.

AD17: 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.

AD18: 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.

AD19: Within my Metropolitan Planning Organization’s (MPO) metropolitan planning area boundary, there are multiple transit providers that are in various stages of developing their Public Transportation Agency Safety Plan (PTASP) plan and adopting safety targets. Does the requirement for the MPO to adopt PTASP performance targets within 180 days apply to the receipt of each transit provider PTASP performance target, or the initial transit provider’s performance target?

A: The requirement applies to all transit providers within the MPO. The MPO and each transit provider must develop metropolitan planning agreements (or other written provisions) that define the frequency and timeframes for the adoption of public transportation agency safety targets, the sharing of public transit agency safety plan data, and tracking attainment of meeting performance targets. The MPO should coordinate with each transit provider to adopt PTASP performance targets and transit safety targets for the entire region within 180 days of receiving PTASP performance targets from a transit provider. If necessary, the MPO and transit providers may revisit/update those PTASP targets when they have received PTASP targets from the remainder of the transit providers, pursuant to their metropolitan area planning agreements.

AD20: My System for Award Management (SAM) registration is expired or about to expire. Is there any flexibility due to COVID-19 so that our organization may still submit an application?

A: Yes, OMB Memorandum M-21-20 relaxed the requirement for active SAM registration at the time of application, and the General Services Administration has initiated 180-day extensions to SAM.gov registrations that have expiration dates ranging between April 1, 2021 and September 30, 2021.  At the time of award, FTA is required to review SAM.gov registrations, and the registration must be active for the award to be executed.

AD21: Will I have to meet the current deadlines for reports and other deliverables related to my award?

A: Consistent with OMB Memorandum M-21-20, FTA will allow recipients to delay submission of financial, performance and other reports on currently-active award for a period of up to three months beyond the normal due date. These reports are still due at the end of the postponed period. This means that if a report were due on April 30, 2021, FTA would now require the report to be submitted by July 31, 2021. Recipients should document the report is late due to the COVID-19 public health emergency. For any other deliverables related to research awards, please contact the FTA Regional Office for award specific guidance.

AD22: Can I continue to draw down funds if a report is late?

A: As the due dates may be extended under OMB Memorandum M-21-20, recipients can draw down funds if reports are late, in the absence of any specific conditions or award requirements that otherwise would restrict draw down. Recipients are encouraged to document the late reports to avoid audit findings.

AD23: What can I do if I need additional time to submit required final reports for the purpose of closing my award?

A: During the COVID-19 public health emergency, FTA is acting in accordance with OMB Memorandum M-21-20 and will permit extending awards which are active as of March 31, 2021, for a period of up to one year. Recipients are required under the memo to provide proper written notice to FTA of the need to delay closeout and submit required reports. Recipients should work with their FTA Regional Office to use this flexibility.

AD24: How should a recipient request an extension to the period of performance or a no-cost extension on the active award?

A: No cost extensions, or extensions to the period of performance, are done in TrAMS through amendments or budget revisions. FTA is waiving any prior approval for these requests.  However, the FTA Regional Office and FTA point of contact must be notified in writing regarding the new date and any closeout reporting delays.

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? 

A: FEMA Public Assistance (PA) funding may be available to assist with grocery and meal delivery, to purchase personal protective equipment and sanitize public facilities when such costs are associated with activities otherwise eligible for FEMA PA funding, support of operations or missions to prevent and respond to the spread of COVID-19 per Executive Order to Extend Federal Support to Governors’ Use of the National Guard to Respond to COVID-19 and to Increase Reimbursement and Other Assistance Provided to States, and other transportation or transportation-related activities. 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.

OF2: What other funding is available to assist intercity bus, commuter bus and passenger ferry providers?

A: The Coronavirus Economic Relief for Transportation Services Act (Division N, Title IV, Subtitle B of the Consolidated Appropriations Act, 2021) provides funding that may be available to intercity bus, commuter bus and passenger ferry providers. This funding is administered by the U.S. Department of the Treasury.