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.
TYPES
OF ASSISTANCE:
Project Grants. Place Cursor Here for Definition
Dissemination of Technical Information. Place Cursor Here for Definition
Training. Place Cursor Here for Definition
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.
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 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, the Federal Acquisition
Regulations for private for-profit organizations.
Pre-application
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 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 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.
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.
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 Nonprofit 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.
FINANCIAL
INFORMATION:
Account
Identification: 69-1137-0-1-401.
Obligations:
(Grants and Contracts) Section 5312(a) activities are now funded
under Section 5314(a), also listed in this Catalog.
Range
and Average of Financial Assistance: None
established.
See accomplishments listed under National Planning and Research
Program, 49 U.S.C., Section 5314, below at 20.514.
REGULATIONS,
GUIDELINES, AND LITERATURE:
See Fiscal Year 2002 Annual List of Certifications and Assurances
for Federal Transit Administration Grants and Cooperative Agreements;
Notice, published annually. For fiscal year 2002, the publication
date was January 18, 2001. 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.
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,
FTA Office of Research, Demonstration and Innovation, (202) 366-0184.
Web
Site Address: http://www.fta.dot.gov/research
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.
CRITERIA
FOR SELECTING PROPOSALS:
Proposals must support the FTA Strategic Plan, available on the
FTA Home Page of the Internet (http://www.fta.dot.gov/fta/library/intro/).
If a preliminary proposal is judged to meet program need and funding
availability, FTA will invite a formal proposal submission or cooperative
agreement 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.
