State Planning and Research (20.515)

Program

20.515 State Planning and Research

Federal Agency

Agency: Department of Transportation
Office: Federal Transit Administration (FTA)

Authorization

American Recovery and Reinvestment Act of 2009 (ARRA). Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU), Public Law 109-59, 49 U.S.C 5304.

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 2009 Apportionments, Allocations, and Program Information", published annually, contains the State apportionment in Table 2. For fiscal year 2009, the publication date was December18, 2008. For other fiscal years, contact the FTA Regional Office or refer to the FTA website to obtain the publication dates. The FTA website is: www.fta.dot.gov/funding/grants_financing_38.html.htm. This program is excluded from coverage under OMB Circular No. A-87.

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. Environmental impact information is not required for this program. This program is eligible for coverage under E.O. 12372, "Intergovernmental Review of Federal Programs." An applicant 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

This program is excluded from coverage under OMB Circular No. A-102. This program is excluded from coverage under OMB Circular No. A-110. FTA Circular 8200.1 dated December 27, 2001, Program Guidance and Application Instructions for State Planning and Research Program Grants" provides detailed application information. It is available at www.fta.dot.gov/laws/circulars/leg_reg_4124.html.

Award Procedure

If the application is complete, FTA will approve and release the grant.

Deadlines

Contact the headquarters or regional office, as appropriate, for application deadlines.

Range of Approval/Disapproval Time

From 1 to 15 days. If completed applications are submitted to FTA no later than the first business day of the quarter, FTA will then award grants no later than the last business day of the quarter. In FY 04, FTA awarded State Planning and Research Program grants in an average of 9 days of submission of a completer application.

Appeals

Not Applicable.

Renewals

Grants may be amended to add additional funds.

Assistance Considerations

Formula and Matching Requirements

Statutory Formula:

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.

This program does not have MOE requirements.

Length and Time Phasing of Assistance

Not applicable. Method of awarding/releasing assistance: by letter of credit.

Post Assistance Requirements

Reports

(1) Progress reports; (2) Financial report upon completion of the project; and (3) Final technical study report (if applicable). SF - 272. (1) Progress reports; (2) Financial report upon completion of the project; and (3) Final technical study report (if applicable). SF - 269. (1) Progress reports; (2) Financial report upon completion of the project; and (3) Final technical study report (if applicable).

Audits

This program is excluded from coverage under OMB Circular No. A-133. In accordance with the provisions of OMB Circular No. A-133 (Revised, June 27, 2003), 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

Fiscal Year 2008: Block grant funds to States for projects they identify to accomplish statewide planning and research. The program of ready-to-go transit projects was doubled in 2009 to speed up the implementation of projects under the American Recovery and Reinvestment Act of 2009 (ARRA). Fiscal Year 2009: No Current Data Available Fiscal Year 2010: No Current Data Available

Financial Information

Account Identification

69-8350-0-7-401; 69-1137-0-1-401.

Obligations

(Project Grants) FY 08 $16,944,400; FY 09 est $22,731,200; FY 10 est not reported. - Obligations
(Grants) FY 08 act.$16,944,400; FY 09 est $22,731,200; and FY 10 est not available.

Range and Average of Financial Assistance

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 2009 Apportionments, Allocations, and Program Information", published annually, contains the State apportionment in Table 2. For fiscal year 2009, the publication date was December 18, 2008. For other fiscal years, contact the FTA Regional Office or consult the FTA website to obtain the publication dates. The FTA website is: http://www.fta.dot.gov/funding/grants_financing_38.html.

Related Programs

20.205 Highway Planning and Construction; 20.500 Federal Transit_Capital Investment Grants; 20.505 Federal Transit_Metropolitan Planning Grants; 20.507 Federal Transit_Formula Grants; 20.514 Public Transportation Research

Information Contacts

Regional or Local Office

None. See Appendix IV of the Catalog for a listing of Federal Transit Administration regional offices.

Headquarters Office

Sylvia L. Marion 1200 New Jersey Ave., S.E , Washington, District of Columbia 20590 Phone: (202) 366-6680

Web Site Address

http://www.fta.dot.gov.

Examples of Funded Projects

Fiscal Year 2008: California did a study of performance measures for small and rural transit. Fiscal Year 2009: No Current Data Available Fiscal Year 2010: No Current Data Available

Criteria for Selecting Proposals

Not applicable.