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Catalog of Federal Domestic Assistance

Program Descriptions

20.512:  Federal Transit Technical Assistance

Popular Name:  Research, Development and Demonstration Project

Objectives:  To improve mass transportation service, to contribute toward meeting total urban transportation needs at a minimum cost, and to assist in the reduction of urban transportation needs by improving the ability of transit industry operating officials to plan, manage, and operate their systems more effectively and safely.

PROGRAM AND AWARD	FINANCIAL AND INFORMATION CONTACTS
ELIGIBILITY REQUIREMENTS	FINANCIAL AND ADMINISTRATIVE INFO.
APPLICATION AND AWARD PROCESS	INFORMATION CONTACTS
RELATED PROGRAMS	ASSISTANCE CONSIDERATIONS
PROGRAM ACCOMPLISHMENTS	POST ASSISTANCE REQUIREMENTS

20.512 ELIGIBILITY REQUIREMENTS:

Applicant Eligibility:  Grants and Cooperative Agreements: Public bodies, nonprofit institutions, private for-profit organizations, State and local agencies, universities, and legally constituted public agencies.

Beneficiary Eligibility:  State and local governments, transit agencies, private organizations, profit organizations, nonprofit organizations, universities, and individuals.

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, the Federal Acquisition Regulations for private for-profit organizations.

20.512 APPLICATION AND AWARD PROCESS:

Preapplication Coordination:  Although applications may be submitted at any time, potential applicants are encouraged to communicate with FTA before submitting formal applications. This initial contact may be made by phone, 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 applicant; (2) determine the applicant's eligibility; (3) eliminate any proposals 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 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. 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 in FTA C 6100.1B, "Application and Program Management Guidelines for Section 3(a)(1)(c), Technology Introduction; Section 4(c), Innovative Techniques and Methods; and Instructions Section 6 Technical Assistance Grants and Cooperative Agreements." 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.

Range of Approval/Disapproval Time:  Varies.

Appeals:  Not applicable.

Renewals:  Not applicable.

Criteria for Selecting Proposals:  Proposals must support the FTA Strategic Plan, available on the FTA Home Page of the Internet (www.fta.dot.gov/fta/library/intro/Stratpln.html). If a preliminary proposal is judged to meet program need and funding availability, FTA will invite a formal proposal submission or grant application. Criteria for preliminary approval include: (1) compatibility with FTA Strategic Plan; (2) availability of funding; (3) nonfederal funding match; (4) importance of proposal to the fiscal year program activity; (5) potential for impact on the state-of-the-art from the viewpoint of innovation in transit technology, services and operations; (6) technical feasibility and potential for successful introduction into use in the transit industry; (7) background, experience, and demonstrated capabilities of applicant; (8 geographic distribution of existing projects; and (9) other pertinent matters, such as questions of environmental impact and labor impact.

Examples of Funded Projects:  Projects are funded through the National Planning and Research Program, 49 U.S.C., Section 5314. See examples under the listing for that program, below at 20.514.

Range and Average of Financial Assistance:  None established.

20.512 RELATED PROGRAMS:

• 20.514 Transit Planning and Research.

20.512 PROGRAM ACCOMPLISHMENTS:

20.512 FINANCIAL AND ADMINISTRATIVE INFO:

Federal Agency:  FEDERAL TRANSIT ADMINISTRATION, DEPARTMENT OF TRANSPORTATION

Type of Assistance:  Project Grants (Cooperative Agreements); Dissemination of Technical Information; Training.

Obligations:  (Grants and Contracts) Section 5312(a) activities are now funded under Section 5314(a), also listed in this Catalog.

Budget Account Number:  69-1137-0-1-401.

Authorization:  49 U.S.C. 5312(a).

Regulations, Guidelines, and Literature:  See Fiscal Year 2000 Annual List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements; Notice, published annually. For fiscal year 2000, the publication date is October 28, 1999. 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.

20.512 INFO 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. Phone: (202) 366-4052. Henry Nejako, FTA Office of Research, Demonstration and Innovation, (202) 366-0184.

(See Appendix IV for more contact info.)

20.512 ASSISTANCE CONSIDERATIONS:

Formula and Matching Requirements:  FTA encourages cost sharing by performing organizations under Section 5312(a) 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 rather than in-kind contributions.

Length and Time Phasing of Assistance:  Varies.

Uses and Use Restrictions:  FTA funds projects which develop, test, and demonstrate innovative technologies, service concepts, techniques, and analytical tools for planning, operating and managing transit enterprises and improving customer service. It also funds projects which provide technical assistance in safety, security, and drug and alcohol control, as well as practical know-how for solving fundamental industry-wide problems, such as how to accommodate the travel needs of persons with disabilities, how to finance transit infrastructure construction and maintenance, and how to meet requirements of the Clean Air Act.

20.512 POST ASSISTANCE REQUIREMENTS:

Reports:  (1) Quarterly financial; (2) quarterly or monthly progress; and (3) interim and final.

Audits:  In accordance with the provisions of OMB Circular No. A-133, "Audits of State and Local Governments and Non-Profit Organizations," nonfederal entities (including universities) that expend $300,000 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 $300,000 a year in Federal awards are exempt from Federal audit requirements for that year with certain exceptions as stated in Circular No. A-133. For direct procurement contracts, audits will be conducted in accordance with the Federal Acquisition Regulations.

Records:  Grant recipient shall retain records for 3 years following submission of a final expenditure report, pending resolution of audit findings, all project contract documents, financial records, and supporting documents.