(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.
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:
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.
Pre-application
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: Varies.
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 $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 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.
FINANCIAL
INFORMATION:
Account
Identification: 69-1137-0-1-401.
Obligations:
(Transit Planning and Research Grants and Contracts) FY 01 $33,638,000;
FY 02 est $31,700,000; and FY 03 est $31,700,000.
Range
and Average of Financial Assistance: None
established.
(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.
REGULATIONS,
GUIDELINES, AND LITERATURE:
Fiscal Year 2001 Annual List of Certifications and Assurances for
Federal Transit Administration Grants and Cooperative Agreements;
Notice, published 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,
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. Projects funded
in FY 2001 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.
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.
