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Catalog of Federal Domestic Assistance

Program Descriptions

20.514:  Transit Planning and Research

Popular Name:  National Planning and Research Programs

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 finance 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.

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

20.514 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, 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, and the Federal Acquisition Regulations for private for-profit organizations. Contracts are awarded in response to specific requests for proposal.

20.514 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 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 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 6100.1B, "Application and Program Management Guidelines for Section 3(a)(1)(C), Technology Instruction; Section 4(c), Innovative Techniques and Methods; and 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 responsible for notification to recipient of project approval.

Deadlines:  No fixed or standard deadlines for research, development, and demonstration projects.

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/library/intro/sp21cov.htm) and the FTA Research & Technology Five-Year Plan, available upon request (e-mail to research@fta.dot.gov) and planned for posting in spring 2000 on the FTA Research & Technology website (www.fta.dot.gov/research/info/info.htm). 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.

Examples of Funded Projects:  Nearly all projects funded are at the direction of the Congress under the Transportation Equity Act for the 21st Century (TEA-21) or annual appropriations acts. Projects funded in FY 2000 include: (1) Zinc-air battery bus technology demonstration; (2) Electric vehicle information sharing and technology transfer program; (3) Portland, Maine independent transportation network; (4) Wheeling, West Virginia mobility study; (5) Washoe County, Nevada transit technology (TEA-21); (6) MBTA, Massachusetts advanced electric transit buses and related infrastructure (TEA-21); (7) Palm Springs, California fuel cell buses (TEA-21); (8) Gloucester, Massachusetts intermodal technology center (TEA-21); (9) SEPTA, Philadelphia, Pennsylvania advanced propulsion control system (TEA-21); (10) Project ACTION (TEA-21); (11) Advanced transportation and alternative fueled vehicle technology consortium (CALSTART); (12) Santa Barbara Electric Transit Institute; (13) Pittsfield economic development authority electric bus program; (14) Citizens for modern transit, Missouri; (15) Hennepin County community transportation, Minnesota.

Range and Average of Financial Assistance:  None established.

20.514 RELATED PROGRAMS:

20.514 PROGRAM ACCOMPLISHMENTS:

20.514 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:  (Transit Planning and Research Grants and Contracts) FY 99 $20,619,000; FY 00 est $33,159,000; and FY 01 est $29,500,000.

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

Authorization:  49 U.S.C. 5314(a).

Regulations, Guidelines, and Literature:  Note that 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.

20.514 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, Office of Research, Demonstration and Innovation, (202) 366-0184.

(See Appendix IV for more contact info.)

20.514 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.

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).

20.514 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 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. 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 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.