Transit Planning and Research (20.514)
Program
20.514 Transit Planning and Research
Federal Agency
FEDERAL TRANSIT ADMINISTRATION, DEPARTMENT OF TRANSPORTATION
Authorization
49 U.S.C. 5314(a).
Program Number
20.514
Last Known Status
Active
Objectives
(1) To foster innovation in public transit systems, through local demonstrations of promising, but risky, new technologies and service or operational concepts to provide information that can be used nationally, wherever sound decisions are needed on how best to improve service or reduce costs. The National Program emphasizes advanced technology applications which complement private sector R&D, enhancing the vitality, competitiveness and responsiveness of America's industrial base so that it can better serve domestic needs and foster export markets. (2) To address economic and social issues resulting from human impacts on the environment, and develop risk assessment methodologies, integrated assessments, and other analytical tools for effective policy formulation. The program provides funds for assessing and improving local transportation conditions through innovative planning tools, assessing the condition of the transit industry, and providing technical support in safety, security, and drug and alcohol control. (3) To develop practical know-how for solving fundamental industry-wide problems, such as how to accommodate the travel needs of persons with disabilities, how to reduce the cost of transit infrastructure construction and maintenance, and how to meet requirements of the Clean Air Act, and (4) To support development of information and technical assistance to convey results of research, technology development and innovative demonstrations for adaptation and local implementation.
Types of Assistance
Project Grants (Cooperative Agreements); Dissemination of Technical Information; Training.
Uses and Use Restrictions
This program includes several types of projects, including research, development, demonstration and training projects (49 U.S.C., Section 5312), planning studies (49 U.S.C., Section 5303(g), and human resource programs (49 U.S.C., Section 5322).
Eligibility Requirements
Applicant Eligibility
Grants and cooperative agreements: Public bodies, nonprofit institutions, State and local agencies, universities, and legally constituted public agencies and operators of public transportation services, and private for-profit organizations.
Beneficiary Eligibility
State and local governments, transit agencies, private organizations, profit organizations, nonprofit organizations, and universities.
Credentials/Documentation
Grants and cooperative agreements: Initial proposal should include project objectives, background, and project description, including time schedule, budget, and applicant's organizational experience. Legal opinion and compliance with labor requirements are required later. Costs will be determined in accordance with OMB Circular No. A-87 for State and local governments, A-21 for universities, A-122 for private nonprofit organizations, and the Federal Acquisition Regulations for private for profit organizations. Contracts are awarded in response to specific requests for proposal.
Application and Award Process
Preapplication Coordination
Although applications for research, development and demonstration projects may be submitted at any time, potential applicants are encouraged to communicate with FTA before submitting formal applications. The initial contact may be by telephone, by submitting a written outline, or by personally meeting with appropriate FTA Headquarters staff. This preliminary contact will serve to: (1) establish a base for communication between FTA and the applicants; (2) determine the a applicant's eligibility; (3) eliminate any proposal which have little or no chance for Federal funding before applicants incur expenditures involved in proposal preparation; and (4) determine funding available and conformance to FTA policy and program objectives. 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 their State for more information on the process the State requires in applying for assistance if the State has selected the program for review. The standard application forms as furnished by the Federal agency and required by 49 CFR Part 18 or 49 CFR Part 19 must be used for this program.
Application Procedure
Potential applicants should follow guidance found in FTA Circular 6100.1C, "Transit Research and Technology Programs: Application and Program Management Guidelines." This Circular may be obtained from the Office of Research, Demonstration and Innovation, Federal Transit Administration (TRI-1) Room 9401, 400 Seventh Street, SW., Washington, DC 20590. This program is subject to the provisions of 49 CFR Part 18 for State and local governments and 49 CFR Part 19 for universities and private nonprofit organizations.
Award Procedure
The Administrator, Federal Transit Administration, makes the final decision to approve a project. An FTA grant or cooperative agreement award obligating Federal funds is reflected in a grant agreement or cooperative agreement. To access funds, the recipient must execute the grant agreement or cooperative agreement.
Deadlines
No fixed or standard deadlines for research, development, and demonstration projects.
Range of Approval/Disapproval Time
Appeals
Not applicable.
Renewals
Not applicable.
Assistance Considerations
Formula and Matching Requirements
Research, development, and demonstration projects: FTA encourages cost-sharing by performing organizations to the extent feasible and equitable. Cost-sharing is not a prerequisite to funding. However, it is actively considered in the evaluation of proposals. The amount of such sharing is determined by mutual agreement between FTA and the recipient. More weight is given to programs with a greater local share and proposals with cash contributions than to in-kind contributions.
Length and Time Phasing of Assistance
Varies with the complexity of the project.
Post Assistance Requirements
Reports
(1) Quarterly financial; (2) quarterly or monthly progress; and (3) interim and final. Electronic filing is preferred.
Audits
In accordance with the provisions of OMB Circular No. A-133, "Audits of State and Local Governments and Nonprofit Organizations," nonfederal entities (including universities) that expend $500,000 or more in a year in Federal awards shall have a single or 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 with certain exceptions as stated in OMB Circular No. A-133. For direct procurement contracts, audits will be conducted in accordance with the Federal Acquisition Regulations.
Records
Grant recipients shall retain records for 3 years following submission of a final expenditure report, pending resolution of audit findings, all project contracts documents, financial records, and supporting records.
Program Accomplishments
(1) FTA initiated the Bus Rapid Transit Demonstration Program integrating vehicle technology, Intelligent Transportation Systems (ITS), coordinated services, traffic engineering enhancements, and innovative urban design. Seventeen cities have formed a BRT consortium to share ideas and experience in implementing BRT. (2) The Advanced Technology Transit Bus (ATTB) test vehicle was successfully developed and tested. This revolutionary low-floor, light- weight, easily accessible bus features low-emission propulsion. (3) FTA, working with an industry committee (natural gas suppliers and transit operators) produced a detailed technical guideline document defining basic safety requirements for fueling facilities, vehicles, bus garages and storage areas. (4) Four-quadrant gates linked to a vehicle detection system are being demonstrated on a commuter-rail highway grade crossing in the Boston area to prevent motorists from attempting to drive around closed crossing gates. (5) Project ACTION (Accessible Community Transportation in Our Nation) has implemented accessible transportation initiatives, made national presentations on accessible transportation and distributed thousands of copies of "how-to" publications. (6) The JobLinks program provided Welfare-to-Work pilot demonstrations, evaluations and technical assistance that were instrumental in designing the Job Access and Reverse Commute Program enacted in TEA-21. (7) In collaboration with the Federal Highway Administration, FTA published a 3-volume guidance manual on developing and implementing Transportation Demand Management (TDM) measures and developed and tested a pilot training course on TDM. (8) FTA prepared and disseminated descriptions of FTA Research and Technology programs and projects and annotated bibliographies of recent technical reports related to transit; these are available on the FTA Research and Technology website: http://www.fta.dot.gov/research/info/info.htm.
Financial Information
Account Identification
69-1137-0-1-401.
Obligations
(Transit Planning and Research Grants and Contracts) FY 02 $31,428,000; FY 03 est $33,317,000; and FY 04 est $43,750,000.
Range and Average of Financial Assistance
None established.
Regulations, Guidelines and Literature
Fiscal Year 2003 Annual List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements; Notice, published October 23, 2002. For other fiscal years, contact the FTA Office of Research Demonstration and Innovation to obtain the publication dates. FTA website www.fta.dot.gov/library/legal. Other information will be made available upon request.
Related Programs
20.500, Federal Transit_Capital Investment Grants; 20.507, Federal Transit_Formula Grants; 20.515, State Planning and Research.
Information Contacts
Regional or Local Office
None.
Headquarters Office
Associate Administrator for Research, Demonstration and Innovation (TRI-1), Federal Transit Administration, Department of Transportation, 400 Seventh Street, SW., Room 9401, Washington, DC 20590. Telephone: (202) 366-4052. Henry Nejako, Office of Research, Demonstration and Innovation, (202) 366-0184.
Web Site Address
http://www.fta.dot.gov/research
Examples of Funded Projects
Nearly all projects funded in recent years were at the direction of the Congress under the Transportation Equity Act for the 21st Century (TEA-21) or annual appropriations acts. Most projects funded in recent years were at the direction of the Congress under annual appropriation actions. Projects funded during FY 2002 included: (1) Transit safety and Security Statistics; (2) Transis Safety and Security Training; (3) National Bus Raipd Transit Institute: (4)Evaluation Assistance for Bus Rapid Transit; (5) Electric Transit Vehicle Institute; (6) Santa Barbara Electric Transportation Institute; (7) Pittsfield, Massachusetts Electric Bus Program; (8) Center for Composits Manufacturing: (9) Zinc-Air Battery Development; (10)Joblinks; (11) North Dakota State University Transit Center for Small Urban Ares; (12) Transit Conditions and Performance Analysis; (13) Hennepin County, Minnesota Community Transportation; (14) Easter Seals Project ACTION; (15) WestStart-CALSTART Clean Car Sharing and Mobility Program; Washington State Westart-CALSTART Innovative Transit Vehicle.
Criteria for Selecting Proposals
Proposals must support the FTA Strategic Plan, available on the FTA Home Page of the Internet at http://www.fta.dot.gov/library/intro/sp21cov.htm and the FTA Research & Technology Five-Year Plan, available upon request (e-mail to research @fta.dot.gov). If a preliminary proposal is judged to meet program and funding availability, FTA will invite formal proposal submission or cooperative agreement application. Criteria for preliminary approval include: (1) compatibility with FTA Strategic Plan and R&T Five-Year Plan; (2) availability of funding; (3) potential for impact on the state-of-the-art from the viewpoint of innovation in transit technology, services and operations; (4) technical feasibility and potential for successful introduction into use in the transit industry; (5) background, experience, and demonstrated capabilities of the applicant; (6) partnerships with public and private organizations; (7) non-FTA funding match; and (8) other pertinent matters, such as geographic distribution of projects and questions of environmental and labor impact.
