Answer:

An eligible project is one that will test an innovative project delivery technique that is prohibited by current FTA regulations or FTA policy. A PIPP waiver request cannot be used to waive or modify statutory requirements.  However, if a project sponsor believes an FTA regulation or policy that implements a statutory requirement impedes P3s or private investment, and has a means of compliance with a statutory requirement that is not consistent with the FTA regulation or policy but will remove the perceived impediment to a P3, the project sponsor may propose an alternative method of compliance.

The waiver or modification request must demonstrate that the experimental feature, if approved, will advance the goals of the PIPP. FTA encourages applicants to discuss potential waiver or modification requests with FTA’s private sector liaison or the relevant FTA Regional Office prior to applying.

Answer:

By law, the following activities must be completed within two years of entering the Project Development phase before a New Starts or Core Capacity project may enter the Engineering phase:

• Select a locally preferred alternative;
• Have the locally preferred alternative adopted into the fiscally constrained Long Range Transportation Plan;
• Complete the environmental review process and receive a Categorical Exclusion, a Finding of No Significant Impact, or a Record of Decision from FTA; and
• Develop sufficient information for FTA to evaluate and rate the project against the statutory project justification and local financial commitment criteria and receive a Medium or better overall rating.

Additionally, upon completion of the environmental review process, FTA encourages project sponsors to complete as much engineering and design work on the locally preferred alternative during Project Development as needed to feel comfortable with the project cost and scope.

To be considered for entry into the Engineering phase, at a minimum the following will be needed:

• At least 30 percent of the non-CIG capital funding for the project must be committed
• At least 30 percent engineering and design work must be completed on the project. At this level FTA expects the project sponsor to provide documents at the following level of detail:
  • Project Management Plan and sub-plans that include processes and procedures to continuously manage the project during Engineering and a staffing plan that identifies key personnel and demonstrates the sponsor’s management capacity and capability;
  • Project definition – key elements are identified and reasonably defined;
  • Cost Estimate – addresses key items within the project's work breakdown structure at an appropriate level, includes a basis for the estimate, and includes required contingency based on the level of design and in accordance with FTA and industry best practices;
  • Schedule – addresses key activities, milestones, and elements within the project's work breakdown structure and incorporates proposed delivery methodology;
  • Third Party Agreements and Right-of-Way – are identified with a plan and schedule for completion;
  • Geotechnical – a preliminary geotechnical report has been completed and provided to FTA where applicable;
  • Project Delivery Method – the delivery method is identified (with related methodologies, activities, and milestones reflected throughout the other required products);
  • Value Engineering Report– the report is substantially complete and a draft report shared with FTA where applicable.  Additional value engineering products may be developed during the Engineering phase;
  • Safety – a preliminary safety hazard analysis and a preliminary threat and vulnerability analysis have been completed and the development of safety and security design criteria has been initiated;
  • Accessibility – the sponsor demonstrates steps that will be taken to ensure compliance with USDOT regulations and standards issued under the Americans with Disabilities Act (ADA), including a preliminary analysis of accessibility features such as accessible routes to, from and within the station sites or boarding locations; detectable warnings; signage and communications; curb ramps; and other accessibility features required under the ADA;
  • Constructability Review Report – a draft report is submitted, where applicable.  The report includes at a minimum the general construction approach, a discussion of site access, and other potential constraints.  A more detailed Constructability Review is to be performed during the Engineering phase that may focus on the bid documents, among other aspects, that would affect procurement of the construction contracts.

Answer:

The waiver or modification request is the formal documentation of an applicant’s request for the use of an experimental procedure in the project development process.

The request must include the following information for it to be considered complete and reviewed by FTA:

1.   Provide a brief project description.
2.   Identify whether the project is to be delivered as a public-private partnership, as a joint development, or with another private sector investment.
3.   Describe in detail the role of the private sector investor, if any, in delivering the project.
4.   Identify the specific FTA requirement(s) that the recipient requests to have modified or waived and a proposal as to how the requirement(s) should be modified.
5.   Provide a justification for the modification(s) or waiver(s), including an explanation of how the FTA requirement(s) presents an impediment to a public-private partnership, joint development, or other private sector investment.
6.   Explain how the public interest and public investment in the project will be protected and how FTA can ensure the appropriate level of public oversight and control, as determined by the FTA Administrator, is undertaken if the modification(s) or waiver(s) is allowed.
7.   Provide other recipients’ concurrence with the submission of the application and waiver of the right to submit a separate application for the same project, where a project has more than one recipient at the time of application.
8.   Provide a financial plan identifying sources and uses of funds proposed or committed to the project.
9.   Explain the expected benefits that the modification or waiver of FTA requirements would provide to mitigate impediments to the greater use of public-private partnerships and private investment in the project. 

Answer:

By law, FTA evaluates and rates Capital Investment Grants Program New Starts or Core Capacity projects prior to allowing them into the Engineering phase. FTA evaluates and develops ratings for the project justification and local financial commitment criteria.

FTA also reviews the project sponsor’s Project Management Plan and subplans to ensure that the sponsor has the technical capacity and capability to deliverthe project.  Lastly, FTA reviews the project definition, scope, cost and schedule for reasonableness, undertakes and completes a risk assessment. These reviews may be expedited based on factors including the complexity of the project and the project sponsor’s management capacity and capability.

Answer:

PIPP waiver and modification requests will be reviewed by FTA based on the following criteria:

1. Are the proposed experimental features prohibited under current policies and procedures?
2. Does the waiver or modification request extend beyond procurement issues covered by the PIPP?
3. Will an approved waiver or modification request improve the delivery time, quality, and/or cost of the project?
4. Will an approved waiver or modification influence future Federal public transportation policy and procedures?
5. Is there a plan by the project sponsor for evaluating how the features of the waiver or modification will contribute to the overall success of the project?

The overall intent of the PIPP is to foster innovation and explore the full range of opportunities to make the project delivery process more efficient. Any proposals that meet this intent and are consistent with the criteria noted above will be given strong consideration.

Answer:

There is not a set timeframe within which projects must complete the process leading up to a construction grant agreement. Some projects naturally take longer than others to develop because of project complexity, size, number of project partners involved, and/or amount of non-CIG capital funding needed for the project.

There are some timeframes that project sponsors should keep in mind:

• New Starts and Core Capacity projects are required by law to complete the Project Development phase within two years of entering that phase. While the law provides for an extension to the two year timeframe, this is expected to be the rare exception rather than the rule. Thus, FTA advises project sponsors to do “up front” work in advance of seeking entry into Project Development to ensure they can complete the Project Development activities within two years.
• Within three years of granting New Starts or Core Capacity projects approval to enter the Engineering phase, or within three years of Small Starts projects entering the Project Development phase, FTA expects project sponsors to make sufficient progress on their projects.  This includes obtaining funding commitments for at least half of the non-CIG capital funding needed for the project, and advancing the level of project design.

Answer:

Yes. Acquisition of public transportation services is still an eligible capital expense under this section.

Answer:

As with a waiver or modification request, an applicant may submit a preliminary application to pipp.fta@dot.gov and the appropriate FTA Regional Administrator.  An application is a short narrative that articulates the basic elements of the applicant's proposed use of PIPP and provides the basis for FTA to offer the applicant a preliminary assessment of the viability of potential experimental features. As the program matures and PIPP waivers or modifications are approved, FTA will also share with the applicant information about lessons learned from previous PIPP projects that may be relevant to the proposed project.

Answer:

No. Any recipient or subrecipient of Section 5307, Section 5310 or Section 5311 funding may apply directly through Grants.Gov for a HOPE award. However, as an option, a State Department of Transportation or designated recipient of FTA funding may apply on behalf of a recipient or subrecipient who receives Section 5307, Section 5310, or Section 5311 funds. This may be advantageous if the applicant has limited experience or resources for applying directly for Federal funding.

Answer:

Yes. If a subrecipient is awarded funding under the HOPE Program, it is advantageous for the State DOT or designated recipient of FTA funding with experience in FTA’s Transit Award Management System (TrAMS), to administer grant processing for the subrecipient, particularly if the subrecipient does not have experience administering a grant directly. In such cases, it is advisable for the subrecipient to discuss this possible role with the State or designated recipient before they submit their application in Grants.Gov.

Answer:

Yes. A report is required one year after the completion of construction of a PIPP project. For projects that involve a private entity in the operations or maintenance of the project, a second report is required two years after the project begins revenue operations. Project sponsors will be responsible for submitting an independently prepared report that summarizes lessons learned from implementation of approved waiver or modification requests and from the PIPP process. These reports will evaluate the success of the process, its overall impact on the project, and recommend whether the waivers or modifications should be made routine through statutory or regulatory changes. The report should include an explanation of how the changes improved the delivery of the project.

Answer:

Appropriate data will vary according to the scope and goals of the proposed project.  Applicants should consider the feasibility of obtaining and sharing data in preparing their proposals. In addition, appropriate data should be collected to support evaluation of the demonstrated system.  The following is an illustrative list of possible data types and elements:

• Vehicle performance data with respect to operations and maintenance (e.g., dwell time, total service provided (vehicle-miles/vehicle-hours), percentage of automated vs manual operation, fuel efficiency, battery life, emissions, travel times, and average vehicle speed)
• Automation component and system data (e.g., number and types of sensors and actuators, human-machine interface [HMI] design, confidence information in object detection and classification)
• Safety data (e.g., notifications, disengagements, emergency driver takeover, incidents, and edge cases/near-misses, rules-of-the-road compliance; boarding and alighting incidents)
• Costs (e.g., vehicle procurement, operation, maintenance, storage; infrastructure improvements; labor and training; other ongoing operational costs; vehicle out-of-service time)
• Mobility impacts (e.g., passenger counts, percentage of scheduled trips completed, on-time arrival, average passenger wait time, and major origin-destination patterns, and rider demographics)
• Human factors (e.g., on-board attendant experience and alertness, customer experience and satisfaction, accessibility metrics, and passenger safety metrics)
• Data from ancillary systems that support non-driving bus operator functions (e.g., fare collection, ramp deployment and retraction, wheelchair securement, occupant detection, and passenger information assistance)
• Infrastructure and system performance data (e.g., vehicle-to-infrastructure [V2I] communications and equipment, congestion, average traffic speed)
• Cybersecurity (e.g., cybersecurity assessments [which may include threat analysis and risk assessment (TARA) results, cybersecurity mitigation measures, penetration testing results, etc.], incident frequency and response time, vulnerability data, staffing/training levels)

Answer:

Yes. MAP-21 requires that at least 55 percent of the grantee’s section 5310 apportionment be used for traditional 5310 projects: capital public transportation projects planned, designed, and carried out to meet the special needs of seniors and individuals with disabilities when public transportation is insufficient, inappropriate, or unavailable. Thus, the most that could be spent on operating assistance is 45 percent, but this is a maximum and not a minimum. Note: Acquisition of public transportation service is considered a capital expense under the program.

Answer:

Yes. Mobility management is defined as an eligible capital expense under Section 5302, Definitions. Section 5310 will continue to list Mobility Management and coordination programs among public transportation providers and other human service agencies providing mobility management as an eligible capital expense.

Answer:

No. While a maximum number of months for conducting the study is not identified in the NOFO, we are expecting most applicants to propose a start-to-finish timeframe in the range of 24 to 36-months. If you believe a time frame of longer than 36 months is needed, please make the reasons for this as clear as possible in your application.

Answer:

The Section 5310 program circular treats travel training as a component of mobility management, which is considered a capital expense and is eligible for up to 80 percent Federal match.

Answer:

Possibly. MAP-21 specifically requires that the coordinated plan is developed and approved through a process that includes participation by seniors, individuals with disabilities, representatives of public, private and nonprofit transportation and human services providers, and other member of the public. So, if the previous plan did not have participation from representatives from each of these stakeholder groups and some process where the stakeholders approved the plan, then the existing plan would need to be updated.

Additionally, since the program now includes apportionments to urbanized areas, we expect several urbanized areas will need to develop or amend existing coordinated plans to reflect Section 5310 program needs. For urbanized areas over 200,000 in population, coordinated plans from Section 5316/JARC and Section 5317/New Freedom, both of which have been repealed, may be used/updated to reflect 5310 program needs and to help develop the program of projects in large urbanized areas. States should also lend assistance to areas over 200,000 that will be administering the program for the first time.

Answer:

No. Designated Recipients are not required to competitively select projects. They must, however, have a process by which projects are selected and ensure this is explained in a program/state management plan. Additionally, a program of projects will be required at the time of grant application. For more information on these two requirements, please see Chapters III and V of FTA Circular 9070.1G.

Answer:

No. FTA will grant States the flexibility of having a single (State) management plan if the States are the designated recipient for large urbanized areas as well as rural and small urbanized areas, so long as it is clear how the program is being managed for the respective population areas The intent of the management plan is to explain to both interested stakeholders as well as FTA how the program will be managed, including how to apply for funding. Therefore, it will be critical for the State, as the large urbanized areas Designated Recipient, to explain this for the respective large urbanized areas for which it has this role.

Answer:

Under the Formula Grants for the Enhanced Mobility of Seniors and Individuals with Disabilities (Section 5310) program, 49 U.S.C. 5310(b)(4) provides that the acquisition of public transportation services is an eligible capital expense.  FTA circular 9070.1G provides, on page III-11, the following:

e. Acquisition of transportation services under a contract, lease, or other arrangement. This may include acquisition of ADA-complementary paratransit services when provided by an eligible recipient or subrecipient as defined in section 5 of this chapter, above. Both capital and operating costs associated with contracted service are eligible capital expenses. User-side subsidies are considered one form of eligible arrangement. Funds may be requested for contracted services covering a time period of more than one year. The capital eligibility of acquisition of services as authorized in 49 U.S.C. 5310(b)(4) is limited to the Section 5310 program;

Acquisition of public transportation service, previously known as purchase of service, is the procurement of third party public transportation service by either a recipient or subrecipient.  Passing funds through from the recipient to the subrecipient for an operating project is not considered an acquisition of service.  Additionally, passing funds from a recipient to a subrecipient who in turn passes the funds onto a non-profit agency is not considered an acquisition of service. Only service that is competitively procured is considered an acquisition of service.