State Planning and Research (20.515)
Program
20.515 State Planning and Research
Federal Agency
FEDERAL TRANSIT ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
Authorization
49 U.S.C. 5313(b).
Program Number
20.515
Last Known Status
Active
Objectives
To assist in the development of cost effective multimodal transportation improvement programs which include the planning, engineering, and designing of Federal Transit projects, and other technical studies in a program for a unified and officially coordinated Statewide Transportation system.
Types of Assistance
Formula Grants.
Uses and Use Restrictions
This is a consolidated program which is apportioned to the States under 49 U.S.C., Chapter 53 which includes such activities as planning, technical studies and assistance, innovative demonstrations, management training, and cooperative research. In addition, a State may authorize a portion of these funds to be used to supplement and administer Metropolitan Planning funds allocated by the State to its urbanized areas, as the State deems appropriate.
Eligibility Requirements
Applicant Eligibility
Apportionments are made to the States.
Beneficiary Eligibility
Apportionments are made to the States.
Credentials/Documentation
Federal Register Notice, "FTA Fiscal Year 2003 Apportionments, Allocations, and Program Information", published annually, contains the State apportionment in Table 2. For fiscal year 2003, the publication date was March 23, 2003. For other fiscal years, contact the FTA Regional Office to obtain the publication dates. The FTA website is: www.fta.dot.gov/library/legal.
Application and Award Process
Preapplication Coordination
This program is eligible for coverage under E.O. 12372, "Intergovernmental Review of Federal Programs." A sub-recipient should consult the office or official designated as the single point of contact in his or her State for more information on the process the State requires to be followed in applying for assistance, if the State has selected the program for review.
Application Procedure
Beginning in fiscal year 1992, all Section 5313(b) grants began to be processed on a quarterly basis. Applicants should submit completed applications to the appropriate FTA regional office by the first business day of each review cycle. The applications should contain the following elements or exhibits: (1) Establishing Eligibility of the Data Applicant; (2) Legal information; (3) Study activities and purpose including budget project costs and assurance of local share; (4)Ability to carry out the study; (5) Unified planning work program; (6)Certification of cost allocation plan and rates to be used; and (7)Title VI information. The provisions of 49 CFR Part 18 apply to the State and governmental bodies and 49 CFR Part 19 applies to private nonprofit organizations. A unified State application for the Section 5313(b) Program should be submitted to the appropriate regional office.
Award Procedure
If the application is complete, FTA will approve and release the grant.
Deadlines
Grant applications are due in the appropriate FTA regional office no later than the first business day of the quarter.
Range of Approval/Disapproval Time
Appeals
Not applicable.
Renewals
Amendments may be granted.
Assistance Considerations
Formula and Matching Requirements
The matching requirements vary. Funds obligated for State or metropolitan planning are granted as an 80 percent Federal, 20 percent local ratio. In addition, current year funds can be transferred from the Federal Highway Administration to form State Consolidated Planning Grants.
Length and Time Phasing of Assistance
Not applicable.
Post Assistance Requirements
Reports
(1) Progress reports; (2) Financial report upon completion of the project; and (3) Final technical study report (if applicable).
Audits
In accordance with the provisions of OMB Circular No. A- 133 (Revised, June 24, 1997), "Audits of States, Local Governments, and Nonprofit Organizations," nonfederal entities that expend financial assistance of $500,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Nonfederal entities that expend less than $500,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in Circular No. A-133.
Records
Project sponsor is required to retain intact, for 3 years following submission of the final financial status report pending resolution of audit findings, all project contract documents, financial records, and supporting documents.
Program Accomplishments
Block grant funds to States for projects they identify to accomplish statewide planning and research.
Financial Information
Account Identification
69-1137-0-1-401; 69-8191-0-7-401.
Obligations
(Grants) FY 02 $10,417,000; FY 03 est $12,530,000; and FY 04 est $14,580,000.
Range and Average of Financial Assistance
$45,000 to $1,000,000 plus per State based on a statutory formula.
Regulations, Guidelines and Literature
Federal Register Notice, "FTA Fiscal Year 2003 Apportionments, Allocations, and Program Information", published annually, contains the State apportionment in Table 2. For fiscal year 2003, the publication date was March 12, 2003. For other fiscal years, contact the FTA Regional Office to obtain the publication dates. The FTA website is: http://www.fta.dot.gov/library/legal/federal register.
Related Programs
20.205, Highway Planning and Construction; 20.500, Federal Transit_Capital Investment Grants; 20.502, Federal Transit Grants for University Research and Training; 20.503, Federal Transit Managerial Training Grants; 20.507, Federal Transit_Formula Grants; 20.505, Federal Transit_Metropolitan Planning Grants; 20.514, Transit Planning and Research.
Information Contacts
Regional or Local Office
See Appendix IV of the Catalog for a listing of Federal Transit Administration regional offices.
Headquarters Office
FTA Office of Planning, Paul Verchinski, Chief, Intermodal and Statewide Planning Division (TPL-11). Telephone: (202) 366-1626, Federal Transit Administration, Department of Transportation, 400 Seventh Street, SW., Washington, DC 20590.
Web Site Address
Examples of Funded Projects
California did a study of performance measures for small and rural transit.
Criteria for Selecting Proposals
Not applicable.
