Fiscal Year 2016: The Safety Research and Demonstration Program is an example of a 2016 program funded by FTA under Section 5312.
The Safety Research and Demonstration (SRD) Program is part of a larger safety research effort of the U.S.
Department of Transportation that provides technical and financial support for transit agencies to pursue innovative approaches to eliminate or mitigate safety hazards.
The SRD Program focused on demonstration of technologies and safer designs.
SRD objectives included: 1.
Exploring advanced technologies to prevent transit vehicle collisions; 2.
Enhanced safety of transit services by incorporating safer design elements; and 3.
Evaluated cost-effectiveness and practicability of potential solutions.
The FY 2016 SRD Program targets collision avoidance and mitigation and transit worker safety protection.
The program provided financial and technical assistance for transit agencies to pursue cutting-edge technologies and innovative approaches to safety.
The funding is intended to assess the practicality and effectiveness of potential solutions to improve safety as well as influence transit industry guidance and standards.
For additional examples of 2016 program and projects please see the link below for FTA 2016 FTA Annual Research Report which can be found at the following URL: https://www.transit.dot.gov/research-innovation/fta-annual-report-fy-2016-public-transportation-innovation-research-projects-fta.
Fiscal Year 2017: FTA provided in funding for Mobility on Demand public transportation projects.
The MOD Sandbox Program is part of a larger research effort at DOT that supports transit agencies and communities as they integrate new mobility tools like smart phone apps, bike- and car-sharing, and demand-responsive bus and van services.
MOD projects help make transportation systems more efficient and accessible, particularly for people who lack access to a car.
An 2017 Annual Research Report with additional examples of projects is anticipated to be published in early 2018.
Fiscal Year 2018: No Current Data Available
The Department of Transportation's mission is to ensure fast, safe, efficient, accessible and convenient transportation that meets vital national interests and enhances the quality of life of the American people, today and into the future.
|Recipient||Amount||Start Date||End Date|
|Alameda-contra Costa Transit District||$ 1,551,611||   ||2017-08-21||2021-12-31|
|Metropolitan Atlanta Rapid Transit Authority||$ 4,225,000||   ||2021-12-31|
|Transportation, Colorado Department Of||$ 0||   ||2021-06-30|
|Rutgers, The State University Of New Jersey||$ 5,000,000||   ||2018-07-25||2020-09-30|
|Southern California Association Of Governments||$ 5,585,000||   ||2017-09-04||2020-06-30|
|Stark Area Regional Transit Authority||$ 8,877,405||   ||2014-03-01||2019-12-31|
|King, County Of||$ 3,336,040||   ||2019-12-31|
|Massachusetts Bay Transportation Authority||$ 4,139,188||   ||2015-06-15||2019-10-15|
|New York University||$ 59,202||   ||2019-05-13||2019-09-30|
|Rutgers, The State University Of New Jersey||$ 5,000,000||   ||2019-06-30|
Fiscal Year 2016: FTA continued to implement new programs and manage active programs in accordance with current Federal Public Transportation Law and FTA?s research vision that innovative technologies, projects, partnerships, and world-class Infrastructure promote economic growth, productivity, safety, and improve quality of life in communities. FTA?s research mission is to advance public transportation innovation by leading research, development, demonstration, deployment, evaluation, and implementation practices and technologies that, enhance effectiveness, increase efficiency, expand quality, promote safety, and ultimately improve the transit rider?s experience. FTA awarded agreements for research, development, demonstration, and deployment projects, and evaluation of research and technology of national significance to public transportation that improves public transportation in our nation. Projects were chosen through a new transparent, participatory, and consensus oriented planning process. Also, as there is a five-year authorization, FTA is developing a five-year strategic plan. Following are top accomplishments for FY 2016, and for further information on FY 2016 research projects and their accomplishments please see the 2016 FTA annual research report which can be found at the following URL: https://www.transit.dot.gov/research-innovation/fta-annual-report-fy-2016-public-transportation-innovation-research-projects-fta To support infrastructure capital investment innovations, FTA established a new testing program to assess low or no emission vehicle (LoNo) components. The program provides assessments of low- or no-emission vehicle components, documenting (at a minimum) the maintainability, reliability, performance, structural integrity, efficiency, and noise of the tested components and continues FTA?s legacy of supporting the transit industry in the introduction of advanced technologies to reduce the energy consumption and emissions of transit buses. FTA selected The Ohio State University and Auburn University to receive research funds to conduct the program. Both universities will conduct testing, evaluation, and analysis of low or no emission (LoNo) components intended for use in LoNo transit buses used to provide public transportation. To enhance safety in public transportation systems, the Safety, Resiliency, and All-Hazards Emergency Response and Recovery Research Demonstrations (SRER) Program carried out by FTA continued to work with grantees who are developing and testing new innovative technologies in safety. One example is the Metropolitan Atlanta Rapid Transit Authority (MARTA) project that is mitigating the risks of one of the most hazardous roles in rail transportation ? inspecting and maintaining track and wayside infrastructure. MARTA partnered with Bombardier to deploy six miles of TrackSafe technology on MARTA's rail system to improve track worker safety and reduce hazards associated with track inspection, maintenance, and repair. The technology alerts track workers to the presence of an approaching train, and train operators and control center staff to the specific location of workers. FTA is also leading projects to develop safety standards and improve safety culture in collaboration with national industry experts. Mobility innovations were accomplished through the Ride to Wellness Program aimed which is seeking to increase access to care, improve health outcomes, and lower healthcare costs through increased partnerships between public transportation and health providers. To help agencies identify ways to utilize automation, an active FY 2016 project is developing materials to help in the planning and executing of U.S. DOT-sponsored transit automation development and demonstration projects. And, the Accessible Transportation Technology Research Initiative (ATTRI) is researching innovative technologies that can increase independence and mobility for people living with disabilities. A yearly statutory program in Section 5312, is the Transit Cooperative Research Program (TCRP): with the National Academies of Science. This cooperative agreement funded transit research activities as recommended by the TCRP Oversight and Project Selection (TOPS) Committee, an independent governing board for TCRP. For more information on the projects funded and major accomplishments for TCRP, please see their annual report at the following URL: http://onlinepubs.trb.org/onlinepubs/tcrp/TCRPAnnual2016.pdf FTA held a Workforce Development Summit in Washington, DC on June 7, 2016. The meeting was attended by 45 representatives of current active grantees and former FTA recipients, allowing discussions focused on the workforce challenges facing the public transportation industry, innovative projects conducted by grant recipients, collaboration opportunities and the importance of partnerships, funding opportunities, and performance measurement. FTA funds the National Transit Institute Program (NTI), and over the last NTI delivered 322 training courses throughout the U.S. to 7,738 participants with an average cost per course of about $13,000 and an average cost per participant of approximately $580. In addition, NTI conducted 120 sessions of All Hazards Awareness and Preparedness for Transit Employees in preparation for Super Bowl 50 at Levi?s Stadium in Santa Clara, California in February 2016, with 1,437 staff of the Santa Clara Valley Transportation Authority (VTA) trained. The National Transit Institute (NTI) continued its focus to develop and deploy training programs for the public transportation industry. NTI held a workforce summit on behalf of FTA, and over a year period fielded over 300 courses training over 7,200 people. In FY 2016, FTA continued to fund two technical assistance centers: the National Aging and Disability Transportation Center (NADTC), and the National Center for Mobility Management (NCMM), Accomplishments for the NADTC in 2016 included developing online courses on Section 5310 and other areas; awarding eight community grants; holding five webinars, launching a new website with useful materials that benefit older adults, individuals with disabilities, caregivers, and public transportation providers; and supporting 800# inquiries through the Eldercare Locator. Additionally, the NADTC provided targeted technical assistance in response to locally-identified challenges. NCMM supported FTA by funding $400,000 in planning grants to 16 communities for the development of innovative solutions to healthcare access transportation challenges. Local coalitions of cross-industry providers, including consumers, spanning the healthcare, transportation, human service, and other industries, developed replicable strategies to enhance access to preventive, dialysis, behavioral health, and post-hospitalization care. NCMM also organized and hosted Peer Exchanges in Baltimore and Austin (Texas), allowing transit agencies and MPOs an opportunity to learn from each other about effective transit planning. The NCMM also continued to provide support to communities and shared best practices around the field of mobility management and in the area of coordinated planning. Fiscal Year 2017: FTA focused eligible projects in three strategic priority areas of mobility, infrastructure (asset management and asset innovation), and safety. Projects in these areas promoted public transportation innovation to improve operations, infrastructure, and the travelers? experience. An active project under Section 5312 is the Mobility on Demand (MOD) Program, a program aimed to improve transportation efficiency, increase transportation effectiveness, and enhance the customer experience. Currently, the MOD program is engaging in numerous activities to prepare the transportation industry to deliver innovative mobility solutions. The MOD Sandbox program, launched in 2016, explores innovative approaches to integrate emerging MOD solutions with existing public transportation investments, is underway. FTA selected and announced a portfolio of 11 innovative MOD Sandbox projects in October 2016. All 11 innovative projects are underway with the project teams, and are expected to be operational within the next 12 months. In addition, FTA initiated work to conduct independent evaluations of all 11 Sandbox sites, and is currently working with each site to develop evaluation plans for assessing the demonstrations, and related technologies and approaches to MOD. FTA has also initiated work to develop new MOD-specific metrics, to better understand and capture the relevance and impacts of MOD projects, and FTA initiated stakeholder engagement, knowledge transfer, and outreach activities to support the MOD program. Another active program is the Safety Research and Demonstration (SRD) Program, aimed to provide technical and financial support for transit agencies to pursue innovative approaches to eliminate or mitigate safety hazards. 7 grantees have been selected and will be operational at by the end of FY2017. The selected projects will Improve the safety culture at transit agencies, support stakeholder coordination and outreach for collision avoidance and mitigation, and support transit worker safety protection. Final reports are expected of each of the projects will be delivered to FTA by Fall 2021. Fiscal Year 2018: No Current Data Available
Uses and Use Restrictions
See section above, ?Objectives?.
There are multiple assistance opportunities within this CFDA.
Generally, the program supports research not undertaken by the private sector including studies on transit policy issues, operational efficiency, and travel behavior.
Funding will provide for training and educational programs which may include courses in recent developments, techniques, and procedures related to intermodal and public transportation planning; management; environmental factors; acquisition and joint use rights-of-way; engineering and architectural design; procurement strategies for public transportation systems; new technologies; emission reduction technologies; way to make public transportation accessible to individuals with disabilities; construction, construction management, insurance, and risk management; maintenance; contract administration; inspection; innovative finance; workplace safety; and public transportation security.
The program will also fund innovative workforce development activities in areas with special emphasis on targeting areas with high unemployment; provide advanced training related to maintenance of alternative energy efficient or zero emission vehicle; and address current or projected workforce shortages in areas that require technical expertise.
In addition, it will provide for the development of voluntary and consensus-based standards and best practices by the public transportation industry, including standards and best practices for safety, fare collection, Intelligent Transportation Systems, accessibility, procurement, security, asset management to maintain a state of good repair, operations, maintenance, vehicle propulsion, communications, and vehicle electronics.
Depending on the specific funding program, the eligibility of recipients, projects, and federal share may vary.
To the extent FTA allocates the funding through a competitive notice of funding availability, FTA will specific eligibility and requirements in a notice of funding availability (NOFA).
In broad terms, Section 5312(a) authorizes the Secretary of Transportation to make grants and enter into contracts, cooperative agreements, and other agreements for research, development, demonstration, and deployment projects and evaluation of research and technology of national significance to public transportation, and that the Secretary determines will improve public transportation. Section 5312(b) focuses on public transportation research projects with the goal of developing and deploying new and innovative ideas, practices, and approaches. Section 5312(c) authorizes public transportation innovation and development projects seeking to improve public transportation systems nationwide by providing more efficient and effective delivery of public transportation services, including through technology and technological capacity improvements. Section 5312(d)(1) ? (4) establishes a program to promote the early deployment and demonstration of innovation in public transportation that has broad applicability. Section 5312(d)(1)(5) establishes a program within FTA?s research program to support low or no emission vehicle deployment. Depending on the statutory section under which a project is undertaken, Section 5312 authorizes the Secretary to make grants to and enter into contracts, cooperative agreements, and other agreements with departments, agencies, and instrumentalities of the government, including Federal laboratories; state and local governmental entities; providers of public transportation; private or nonprofit organizations; institutions of higher education; and technical and community colleges. Section 5313 authorizes the Secretary to make grants to, and cooperative agreements with, the National Academy of Sciences to carry out a public transportation cooperative research program.
Section 5314(a) authorizes the Secretary to assist in the development of voluntary and consensus-based standards and best practices by the public transportation industry. Support for compliance with Americans with Disabilities act of 1990 (ADA) (42 U.S.C.
12101 et seq.) is codified in Section 5314(b), which authorizes the Secretary to make grants and enter into contracts, cooperative agreements, and other agreements to provide public transportation-related technical assistance to comply with the ADA; comply with human services transportation coordination requirements and enhance the coordination of related Federal resources; meet the transportation needs of elderly individuals; assist market-based development around transit stations; address transportation equity for low-income and minority individuals; and any other technical assistance activity that the Secretary determines is necessary to advance the interests of public transportation. Section 5322(a) authorizes the Secretary to undertake, or make grants and contracts for, programs that address human resource needs as they apply to public transportation activities including employment training, outreach to minority and female candidates, research on public transportation personnel and training needs, and training and assistance for minority business opportunities.
Section 5322(b) directs the Secretary to establish an innovative public transportation workforce development program to assist the development of innovative activities in these areas.
In addition, Section 5322(d) directs the Secretary to establish a national transit institute and award grants to a public four-year degree-granting institution of higher education to develop and conduct training and educational programs for Federal, state, and local transportation employees, United States citizens, and foreign nationals engaged or to be engaged in government aid public transportation work.
Section 5312: 25 percent of the funds appropriated under this section are available for discretionary research, development, demonstration, and deployment activities; the other 75 percent are available for a discretionary deployment program to specifically support Low and No Emission vehicles and infrastructure.
Section 5313: 100 percent of the funds are awarded to the National Academy of Science, who in cooperation with the industry, the Transit Research Board, and FTA, determine the specific topics to research.
Section 5314: 100 percent of the funds are available for discretionary activities, pursuant to the agency?s priorities.
Section 5322: funds are available are available to support a discretionary innovative public transportation workforce development program and then the remaining funds must be used to support a national transit institute.
Applicants may include State and local DOT?s, nonprofit institutions, universities, and legally constituted public agencies and operators of public transportation services, and private for-profit organizations.
Also, urban and rural transit agencies, Indian Tribes, public 4-year degree-granting institutions of higher education as defined in section 101(a) of the Higher Education Act of 1965 (20 U.S.C.
1001(a))?in order to carry out the duties of the NTI.
FTA will specify the credentials and documentation in the individual notices of funding availability published to support the various sections and program purposes. At a minimum, the 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 2 CFR 200. Contracts, Cooperative Agreements, Interagency Agreements, and grants are awarded in response to specific requests for proposal in which applicants will respond to a solicitation that FTA will conduct after funds become available. 2 CFR 200, Subpart E - Cost Principles applies to this program.
Aplication and Award Process
To the extent funding is available for discretionary activities, FTA will publish specific application instructions in a notice of funding availability or a request for proposals.
Environmental impact information is not required for this program.
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.
2 CFR 200, Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards applies to this program. 2 CFR 200 apply. In addition, FTA guidance for these programs can be found in FTA Circular 6100.1D, 'Transit Research and Technology Programs: Application and Program Management Guidelines.' Potential applicants should follow the instructions in this Circular, which may be found at the FTA website at www.fta.dot.gov.
An FTA grant award obligating Federal funds is reflected in a grant agreement and/or cooperative agreement. Cooperative Agreements and Grants are awarded electronically using FTA?s Electronic Award Management system. In order to access this system, a user name and password are needed can be obtained by contacting the appropriate FTA staff. The Federal Transit Administrator 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.
Contact the headquarters or regional office, as appropriate, for application deadlines.
The Moving Ahead for Progress in the 21st Century Act (MAP-21), Pub. L. 112-141, signed into law on July 6, 2012, and effective October 1, 2012, and the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (SAFETEA-LU). , Public Law 112-141, 49 U.S.C 5312-5314, 5322; The Fixing America?s Surface Transportation (FAST) Act (Public Law No. 114-94), signed into law on December 4, 2015, and effective October 11, 2015, 49 U.S.C. Section 5312/FAST Section 3008 and Section 5314/FAST Section 3009., Public Law 114-94, 49 U.S.C 5312 & 5314.
Range of Approval/Disapproval Time
Formula and Matching Requirements
This program has no statutory formula. Matching Requirements: The local share requirements for Section 5312(a) research, development, demonstration, and deployment projects is at least 20% of the project cost unless increased by a clear and direct financial benefit to an entity participating in the project. The local share requirements for the Section 5312(b) research projects is at least 20% of the project cost unless increased by a a clear and direct financial benefit to an entity participating in the project. The local share requirements for the Section 5312(c) innovation and development projects is at least 20% of the project cost unless increased by a clear and direct financial benefit to an entity participating in the project. The local share requirements for the Section 5312(d)(1) ? (4) demonstration, deployment, and evaluation projects is at least 20% of the project cost unless increased by a clear and direct financial benefit to an entity participating in the project. There is no local share requirement for the Section 5313 Transit Cooperative Research program, The local share requirements for Section 5314(a) voluntary consensus based standards projects is at least 20% of the project cost. The local share requirements for the Section 5314(b) technical assistance to support transportation for seniors and individuals with disabilities projects is at least 20% of the project costs. The local share requirements for the Section 5322(a) Human Resources projects financed under MAP-21 is 50% of the project costs. The local share requirements for the Section 5322(b) Innovative Workforce Development projects is 50% of the project costs. There is no local share requirement for the Section 5322(d) NTI program. This program does not have MOE requirements.
Length and Time Phasing of Assistance
The period of time varies with the complexity of the project. Method of awarding/releasing assistance: by letter of credit. Funds are available until expended. Generally, the applicant is required to submit an application for a grant or cooperative agreement in response to a solicitation that will be made. FTA will determine which applicant will be awarded funding. See the following for information on how assistance is awarded/released: Generally, competitive / discretionary funding is solicited through Grants.gov. Once a project is selected to receive funds, the applicant will then be required to submit an electronic grant or cooperative agreement in FTA?s electronic award management system to obligate the funds. All payments are handled electronically through FTA?s financial systems.
Post Assistance Requirements
Quarterly financial; (2) quarterly or monthly progress; and (3) interim and final reports are required and must be submitted electronically.
Generally, as it relates to the national research program in its entirety: (1) Quarterly financial; (2) quarterly or monthly progress; and (3) interim and final.
By electronic filing.
SF - 425.
(1) Quarterly financial; (2) quarterly or monthly progress; and (3) interim and final.
By electronic filing.
Research projects may also require additional information be submitted to support the required project and program evaluation reports.
FTA also has a number of Congressional reports it submits using the program reports from the applicants.
The Federal Financial Report SF-425 is required.
Quarterly milestone progress and federal financial reports are required.
The Federal Financial Report SF-425 is required.
Quarterly financial reports are required.
There quarterly progress reports describe accomplishments within the report period.
They must also provide interim and final reports.
Electronic filing is preferred.
In accordance with the provisions of 2 CFR 200, Subpart F - Audit Requirements, non-Federal entities that expend financial assistance of $750,000 or more in Federal awards will have a single or a program-specific audit conducted for that year. Non-Federal entities that expend less than $750,000 a year in Federal awards are exempt from Federal audit requirements for that year, except as noted in 2 CFR 200.503.
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.
(Project Grants (Contracts)) FY 16 $42,000,000; FY 17 est $49,000,000; and FY 18 est $39,000,000 - FY 2016 Enacted Technical Assistance, Standards Development and Human Resources and Training Projects, 5314, $4,000,000, National Transit Institute program 5314(c), $5,000,000, Lo/No Emissions Vehicles Component Assessment estimate $3,000,000, Transit Cooperative Research estimate $5,000,000, Research, Development, Demonstration, and Deployment $20,000,000. FY 2017 Enacted Technical Assistance, Standards Development and Human Resources and Training Projects, 5314, $4,000,000, National Transit Institute program 5314(c), $5,000,000, Lo/No Emissions Vehicles Component Assessment estimate $3,000,000, Transit Cooperative Research estimate $5,000,000, Research, Development, Demonstration, and Deployment $20,000,000. Additional $5,000,000 enacted for Technical Assistance and Training. FY 2016 and FY 2017 New obligations for FY 2016 and FY 2017 will be included in newly approved CFDA?s. The Fixing America?s Surface Transportation (FAST) Act (Public Law No. 114-94), signed into law on December 4, 2015, and effective October 11, 2015, 49 U.S.C. Section 5312 and Section 5314 (FAST) Section 3009 separated FTA?s research programs into two groups Section 5312 programs (CFDA 20.530) include; Transit Cooperative Research Program (TCRP), Innovations and Development, Demonstration, Deployment and Evaluation and Low or No Emission Vehicle component Testing (Low-No Testing).Section 5314 programs (CFDA 20.531) include; Technical Assistance and Human Resources and Training Innovative Public Transportation Frontline Workforce Development Program. For information regarding Section 5312 please see CFDA #20-530 and for Section 5314 please see CFDA #20-531.
Range and Average of Financial Assistance
Regulations, Guidelines, and Literature
Most Federal transit laws are codified at Title 49, United States Code, Chapter 53 (49 U.S.C. chapter 53). Authorizing legislation is substantive legislation enacted by Congress that establishes or continues the legal operation of a Federal program or agency. FTA?s most recent authorizing legislation is the Moving Ahead for Progress in the 21st Century Act (MAP-21), Pub. L. 112-141, signed into law on July 6, 2012 and effective on October 1, 2012; Fiscal Year 2014 Annual List of Certifications and Assurances for Federal Transit Administration Grants and Cooperative Agreements; FTA Circular 6100.1 for Research Projects; FTA Circular 4220.1F for Third-Party Procurements; and FTA Circular 5010.1D for Grants Management. In certain circumstances and in other fiscal years, contact the FTA Office of Research, Demonstration and Innovation is necessary. Also, consult FTA website www.fta.dot.gov. Other information will be made available upon request.
Regional or Local Office
Edwin Rodriguez 1200 New Jersey Ave. S.E., Washington, District of Columbia 20590 Phone: 202- 366-0671
Criteria for Selecting Proposals
Please see published Notices of Funding Availability (NOFA) and Requests for proposals. FTA published notices between FY 2014 and 2015; and either has allocated the funding or is in the process of allocating funds for support.
The United Nations Framework Convention on Climate Change is setting up its new Green Climate Fund to “provide support to developing countries to limit or reduce greenhouse gas emissions.”