Federal Regulations and Circulars
Transit Manager's Toolkit
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Federal Regulations and Circulars
Introduction
This section of the Transit Manager's Toolkit introduces the primary sources of Federal Transit Administration (FTA) guidance on the federal regulations that apply to rural public transit providers. This section is organized in the following subsections:
Federal Regulations and Laws
Throughout the Toolkit, there are acronyms that refer to rules, regulations, and laws. Federal regulations are detailed in the Code of Federal Regulations (CFR). The U.S. Government Printing Office (GPO) defines the CFR as “the codification of the general and permanent rules published in the Federal Register by the departments and agencies of the Federal Government.” The regulations established by the U.S. Department Transportation (U.S. DOT) are found in Title 49 of the CFR. The CFRs that have been established by FTA are found in Parts 600 through 699. Parts 1 to 99 of the Title 49 were established by the Office of the Secretary of the U.S. DOT, and some of these are very important to be aware of, such as 49 CFR Part 37, which includes many of the Americans with Disabilities Act (ADA) rules that apply to public (and private) transportation providers. A table is provided at the end of this section with links to CFRs that rural public transit managers need to become familiar with.
Federal agencies such as FTA and U.S. DOT are authorized by legislation (statutory law) to establish these rules and regulations. The laws themselves are documented in the Code of Laws of the United States (U.S. Code, or U.S.C.). The federal transit laws are codified at Title 49 U.S.C. Chapter 53 and are periodically reauthorized and amended through new legislation. FTA regulations and grant compliance requirements can change with each new funding authorizing legislation. The requirements associated with a specific grant will depend on its authorizing legislation. In 2022, FTA Section 5311 recipients and subrecipients are likely to be using grant funding from one or more of the following acts:
- In 2015, the Fixing America's Surface Transportation (FAST) Act amended the federal transportation laws and reauthorized the Federal Transit Administration (FTA) funding programs through Federal Fiscal Year 2020. The FAST Act expired on September 30, 2021, following a one-year extension included in H.R. 8337 - Continuing Appropriations Act, 2021 and Other Extensions Act, signed into law on October 1, 2020.
- Several laws were enacted to provide emergency support to address the impacts of the COVID-19 pandemic which provided additional funding to FTA grant recipients and subrecipients: the Coronavirus Aid, Relief, and Economic Security Act (CARES Act) (enacted March 27, 2020), the Coronavirus Response and Relief Supplemental Appropriations Act of 2021 (CRRSAA) (enacted December 27, 2020), and the American Rescue Plan of 2021 (ARP) (enacted March 11, 2021). Some states still have open grants in these programs. Funds will be available until expended. Transit managers should consult the State DOT if they have questions. The Federal Transit Administration’s Dear Colleague Letter: Announcing Guidance Updates Associated with the End of COVID-19 Disaster Declarations (May 2, 2023) also provides clarifying information on this subject.
- On November 15, 2021, the Bipartisan Infrastructure Law, enacted as the Infrastructure Investment and Jobs Act, was signed into law, reauthorizing FTA programs, including the Section 5311 Formula Grants for Rural Areas Program (49 U.S.C. 5311), through Federal Fiscal Year 2026. (At publication time, FAST Act requirements continue to apply; new federal requirements or guidance have not been issued for grants authorized under the BIL.)
Some of the requirements established by federal agencies come from Executive Orders, which are directives that are signed by President of the United States and have the force of law. An example is Executive Order 13166, Improving Access to Services for Persons with Limited English Proficiency. (The requirements related to this executive order are introduced in the Civil Rights section of the Toolkit.)
FTA issues guidance on how to comply with federal rules, regulations, and requirements. In FTA guidance documents that were issued prior to the passage of the FAST Act, earlier federal transit authorizing legislation is referenced, such as the Moving Ahead for Progress in the 21st Century Act (MAP-21), so it may be useful to know what these are. A history of the authorizing legislation for the Section 5311 program can be found on pages I-6 to I-7 of FTA Circular C 9040.1G.
Here are links to web pages that provide more information about MAP-21, the FAST Act, and the Bipartisan Infrastructure Law.
FTA Circulars
FTA often communicates guidance on regulations through circulars, which assist grantees in understanding and complying with statutory requirements. FTA circulars describe the regulations, and sometimes provide additional guidance on matters on which the CFRs are silent. FTA circulars provide instructions to grantees or other stakeholders on how FTA grants will be administered. This guidance provides grantees with direction on program-specific issues and statutory requirements. Grantees are required to comply with all circulars and agree to do so by signing FTA Certifications and Assurances that are released annually. States and other direct recipients do this within FTA’s Transit Award Management System (TrAMS).
Subrecipients do this as part of their grant application to the state (with each state determining their own application process). The FTA Master Agreement which is incorporated in each FTA grant agreement also obligates grantees to comply with federal requirements. More information about the Certifications and Assurances and Master Agreement can be found in the FTA Compliance Requirements of this Toolkit.
Read more about how FTA develops regulations and circulars and find a full list of FTA circulars on the FTA website, with a list of those most relevant to Section 5311 subrecipients listed below.
Note that the FTA website URLs sometimes change. Although National RTAP regularly checks the functionality of all links in this Toolkit, there may occasionally be a “broken” link. In this case, look for the FTA Circulars page through the FTA home page under Regulations and Programs.
Any funds subrecipients are still spending that were authorized and appropriated while MAP-21 (Federal FY13-FY15) or the FAST Act (Federal FY 16through FY21were in effect will follow FTA’s regulations under those acts. Funds apportioned in FY16through FY21 will fall under FAST Act requirements. Apportionments under the Bipartisan Infrastructure Law began in FY22. When in doubt, follow this simple advice from FTA, “old money, old rules; new money, new rules,” and check with the State DOT to confirm which federal authorization funds the specific grant.
FTA circulars that apply, or may be of interest to subrecipients of Section 5311 funds, include:
Office of Management and Budget (OMB) “Super Circular”
| Number | Name | Last updated | What it covers |
|---|---|---|---|
| C 4220.1F | Third Party Contracting Guidance | 2013 | Procurement requirements |
| C 4702.1B | Title VI Requirements and Guidelines for Federal Transit Administration Recipients | 2012 | Title VI requirements |
| C 4704.1A | Equal Employment Opportunity (EEO) Act: Guidance | 2017 | EEO requirements |
| C 4710.1 | Americans with Disabilities Act (ADA): Guidance | 2015 | General requirements for all FTA grants |
| C 5010.1E | Award Management Requirements | 2018 | Section 5339 requirements |
| C 5100.1 | Bus and Bus Facilities Program: Guidance and Application Instructions (Section 5339) | 2015 | General requirements for all FTA grants |
| C 7050.1C | Joint Development Guidance | 2024 | Section 5311 requirements |
| C 9070.1G | Formula Grants for Rural Areas: Program Guidance and Application Instructions (Section 5311) | 2014 | Section 5310 requirements |
| C 9070.1G | Enhanced Mobility of Seniors and Individuals with Disabilities: Program Guidance and Application Instructions (Section 5310) | 2014 | Section 5310 requirements |
In November 2021, FTA issued a request for information in the Federal Register soliciting input on potential changes to the Title VI circular. As of this Toolkit’s publication time, the 2012 Title VI Circular (C 4702.1B) continues to be in effect. Prior to updating the Title VI circular, FTA will publish a Notice of Proposed Rulemaking with a public comment period.
Office of Management and Budget (OMB) “Super Circular”
In December 2013, OMB published the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards, commonly referred to as “the Super Circular,” which applies to any organization receiving federal funding. It consolidated eight circulars into uniform regulations in Title 2 of the Code of Federal Regulations (CFR), specifically 2 CFR Part 200. The Super Circular applies to federal grants and agreements awarded on or after December 26, 2014.
The Super Circular sets forth pre- and post-award requirements for grantees, including standards for financial and program management; property standards; procurement standards; performance and financial monitoring and reporting; record retention and access; closeout; cost principles; audit requirements; and more. Grantees should consult the Super Circular before applying for a grant and while administering a grant.
The Super Circular was adopted by the U.S. DOT in 2 CFR Part 1201, which repealed the former 49 CFR Parts 18 and 19 for grants and cooperative agreements executed on or after December 26, 2014.
The Super Circular is reflected in FTA Circular C 5010.1E, Award Management Requirements, which was updated in 2018, but various other FTA circulars have not yet been updated to reflect the Super Circular. There may still be references in the older circulars to the former 49 CFR Parts 18 and 19 and OMB Circulars A-87, A-122, A-133, and others, all which were superseded by the Super Circular.
CFRs
In addition to the FTA circulars and the Super Circular, rural transit managers need to be aware of the many CFRs that apply to their grant or their services. A table with links to each CFR is provided at the end of this section of the Toolkit. The OMB Super Circular is found in 2 CFR Part 200 and the U.S. DOT adoption of the Super Circular is found in 2 CFR Part 1201. The U.S. DOT regulations are found in Title 49 of the CFR.
- Parts 26, 27, and 37 through 40 of Title 49 were established by the Office of the Secretary of the U.S. DOT, and include requirements related to Disadvantaged Business Enterprise (DBE), nondiscrimination on the basis of disability, and procedures for drug and alcohol testing.
- Parts 604, 605, 625, 630, and 655 were established by FTA and include numerous requirements with which FTA grantees must comply, including charter bus, school bus, transit asset management, National Transit Database (NTD), and drug and alcohol testing programs. Parts 661, 663, and 665 are procurement-related FTA requirements: Buy America, pre-award and post-delivery audits, and bus testing.
- Parts 380 through 396 were established by the Federal Motor Carrier Safety Administration (FMCSA). Under Part 380, drivers applying for a Class A or B CDL (new or upgraded) as well as drivers applying for a passenger endorsement are subject to Entry-Level Driver Training Requirements. The Part 382 FMCSA drug and alcohol program requirements may apply to Section 5310 grantees if they have safety sensitive employees and are not subject to FTA’s drug and alcohol program requirements under Part 655. As part of the grant agreement with the FTA (Section 33, Motor Carrier Safety of the FY2022 Master Agreement), Section 5311 grantees agree that they will comply with certain insurance and safety requirements of the FMCSA. These requirements, included in the Federal Motor Carrier Safety Regulations (FMCSRs), include requirements for passenger carriers and employers of drivers of vehicles that require a Commercial Driver’s License (CDL). The FMCSRs can be found on the FMCSA website. Section 5311 grantees specifically need to comply with 49 CFR Parts 383/384 (federal and state CDL requirements), 387 (minimum insurance requirements – with the exception that Section 5311 grantees must only obtain the highest amount required by any state in which the public transportation provider operates), and 390 – 397 (safety requirements), to the extent applicable.
Federal regulations with which rural transit managers need to be familiar:
| Title/Part of CFR | Name | What it covers |
|---|---|---|
| 2 CFR Part 200 | Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards | Office of Management and Budget (OMB) “Super Circular” – includes requirements for financial management, equipment and real property management, procurement, reporting, recordkeeping, grant closeout, cost principles, and audits. Superseded previous OMB Circulars including A-21, A-87, A-102, A-110, A-122, and A-133, and others. |
| 2 CFR Part 1201 | Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards | U.S. DOT adoption 2 CFR Part 200. Superseded and repealed the requirements of former U.S. DOT Common Rules (49 CFR Parts 18 and 19) for grants and cooperative agreements executed on or after December 26, 2014. |
| 49 CFR Part 26 | Participation by Disadvantaged Business Enterprises in Department of Transportation Financial Assistance Programs | U.S. DOT requirements for Disadvantaged Business Enterprise (DBE) participation in procurement |
| 49 CFR Part 27 | Nondiscrimination on the Basis of Disability in Programs or Activities Receiving Federal Financial Assistance | U.S. DOT requirements under Section 504 of the Rehabilitation Act of 1973 (29 U.S.C. 794, “Section 504”) See also 49 CFR Part 37 |
| 49 CFR Part 37 | Transportation Services for Individuals with Disabilities (ADA) | U.S. DOT requirements under the ADA for programs and services – including general nondiscrimination, service requirements, when facilities must be made accessible, when vehicles that comply with 49 CFR Part 38 must be purchased |
| 49 CFR Part 38 | Americans with Disabilities Act (ADA) Accessibility Specifications for Transportation Vehicles | U.S. DOT requirements under the ADA for vehicle specifications – vehicle procurements must meet these standards |
| 49 CFR Part 39 | Transportation for Individuals with Disabilities: Passenger Vessels | U.S. DOT requirements under the ADA for waterborne passenger transportation service (including ferries and water taxis) |
| 49 CFR Part 40 | Procedures for Transportation Workplace Drug and Alcohol Testing Programs | U.S. DOT requirements for drug and alcohol testing procedures, employer responsibilities, and qualifications of service agents See also: 49 CFR Part 655 (for Section 5307, 5311, and 5339 grantees) 49 CFR Part 382 (for Section 5310 grantees that employ CDL drivers) |
| 49 CFR Part 604 | Charter Service | FTA requirements that protect private charter operators from unauthorized competition from FTA funding recipients |
| 49 CFR Part 605 | School Bus Operations | FTA requirements that prohibit FTA funding recipients from providing exclusive school bus transportation in competition from private operators |
| 49 CFR Part 625 | Transit Asset Management | FTA Transit Asset Management (TAM) planning and reporting requirements |
| 49 CFR Part 630 | National Transit Database | FTA National Transit Database (NTD) reporting requirements |
| 49 CFR Part 655 | Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations | FTA drug and alcohol testing programs requirements that apply to Section 5307, 5311, and 5339 grantees See also 49 CFR Part 40 |
| 49 CFR Part 661 | Buy America Procedures | FTA procurement requirements to ensure steel or manufactured products meet minimum domestically produced contents |
| 49 CFR Part 663 | Pre-Award and Post-Delivery Audits of Rolling Stock Purchases | FTA procurement requirements for reviewing passenger vehicle procurements to ensure compliance with Buy America, Federal Motor Vehicle Safety Standards, and purchaser’s specifications |
| 49 CFR Part 665 | Bus Testing | FTA procurement requirement that FTA funds be used to procure only vehicle models that pass federally-required testing |
| 49 CFR Part 673 | Public Transportation Agency Safety Plans | FTA requirements for states and transit agencies to establish safety plans for FTA grantees; not applicable to agencies that only receive Section 5310 and/or Section 5311 |
| 49 CFR Part 380 | Special Training Requirements | |
| 49 CFR Part 382 | Controlled Substances and Alcohol Use and Testing | FMCSA drug and alcohol testing requirements (applies to employers of CDL drivers that don’t receive Section 5307, 5311, or 5339 – these are instead subject to 49 CFR Part 655) See also 49 CFR Part 40 |
| 49 CFR Part 383 | Commercial Driver's License Standards; Requirements and Penalties | FMCSA requirements for drivers of commercial vehicles to have CDLs and medical certification; employer requirements to ensure |
| 49 CFR Part 384 | State Compliance with Commercial Driver's License Program | FMCSA requirements for states to comply with 49 CFR Part 383 |
| 49 CFR Part 387 | Minimum Levels of Financial Responsibility for Motor Carriers | FMCSA requirements for insuring commercial vehicles that cross state lines |
| 49 CFR Part 390 | Federal Motor Carrier Safety Regulations; General | FMCSA general requirements, definitions and applicability |
| 49 CFR Part 391 | Qualifications of Drivers and Longer Combination Vehicle (LCV) Driver Instructors | FMCSA qualifications for drivers of commercial vehicles and employer responsibilities |
| 49 CFR Part 392 | Driving of Commercial Motor Vehicles | FMCSA requirements related to safe operations of commercial vehicles |
| 49 CFR Part 393 | Parts and Accessories Necessary for Safe Operation | FMCSA requirements for vehicle safety equipment |
| 49 CFR Part 395 | Hours of Service of Drivers | FMCSA requirements for maximum driving time and recordkeeping |
| 49 CFR Part 396 | Inspection, Repair, and Maintenance | FMCSA requirements for vehicle inspections, repairs, and maintenance |
Brief summaries of the requirements in the above CFRs can be found in the Grant Compliance Requirements section of the Toolkit, with additional details in several of the requirements found in other sections of the Toolkit.
Updated March 19, 2025
A program of the Federal Transit Administration administered by the Neponset Valley TMA
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