# Presentation: 009860

## FTA Research Program Requirements

- Bruce Robinson
- Office of Research, Demonstration and Innovation
- April 17, 2007

## FTA Research Circular

- FTA C 6100.1C  Transit Research and Technology Programs:  Application Instructions and Program Management Guidelines

## Authorization Legislation

- SAFETEA-LU -- Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users (2005-2009)

## United States Code

- 49 USC 5314 National Research Programs
- 49 USC 5312 (a) Research, Development, Demonstration, and Deployment Projects for:
- Research
- Development
- Demonstration
- Deployment projects, and
- Evaluation of technology of national significance to public transportation
- That will “improve public transportation service”

## Project Budgets

- TEAM uses scope code and account line item (ALI) system
- Scope classifies type of project.  Normally 55 Research or 70 University Research
- May have scopes for each task
- ALI’s define type of expenditures
- Personnel, Fringe Benefits, Faculty salaries, Equipment, Supplies, etc...

## Project Budgets

## Project Reporting 

- Milestone Reporting
- Information about completing milestones should be input into remarks/comments section of TEAM

## Project Reporting 

- Quarterly Reports
- Due 1/31; 4/30; 7/31; 10/31
- At a minimum should include:
- Summary narrative of accomplishments by task/milestone during the period
- Include % of budget expended by task
- Indicate expenditures by ALI to match FSR
- Reason why any objectives not being met
- Significant events affecting progress
- Whether project is within approve budget
- Whether project is on schedule
- Projected activities for the next quarter
- Estimated completion dates, % completed, and funds required to complete
- See template

## Project Reporting

- Reports of Significant Events
- Unforeseen events that impact the schedule, cost, capacity, usefulness or purpose of the project should be reported to FTA immediately after detection

## Financial Reporting 

- Financial Status Reports
- SF269A – accompanying the Quarterly Report
- SF270 Request for Reimbursement may be substituted
- Echo no longer permitted for National Research projects

## Financial Reporting 

- Additional Information
- FTA project manager may request
- Breakout of cost by ALI
- Breakout of cost by task/milestone
- Copies of receipts to support costs

## Payments

- Echo no longer permitted for National Research projects
- Must submit Request for Advance or Reimbursement (SF270) to FTA project manager
- FTA will approve payment by Automated Clearing House if:
- Recipient is complying with its obligations
- Has satisfied FTA that it needs the requested funds during the period, and
- Is making adequate progress towards timely completion of the project
- FTA may only reimburse apparent allowable costs incurred

## Payments

## Project Budget Revisions

- Cannot be used to materially change the purpose or intent (i.e. scope) of the grant
- May be revised, depending on whether funds are expended on a particular ALI as anticipated
- If expenses on an ALI increase beyond the approved amount – recipients must request prior approval from FTA project manager in TEAM
- Recipients may change dollar amount of particular items under an ALI
- Total costs approved cannot be exceeded without an amendment to the agreement
- At the conclusion of the project, recipient must submit in TEAM a final project budget revisions if ALIs need adjustment because of overspending on an item

## Extensions

- Extensions of the project completion date will be accomplished by a letter from FTA to the recipient in response to a written request by the recipient

## Amendments

- To change the scope of the project or to add FTA funding to the project
- Recipient follows same application procedures as for the original application