Detailed Information on the
Transit Research Assessment

Complete a program evaluation of sufficient scope and quality from a source with a greater degree of independence than the Transit Analysis Research Committee (TRAC).

Integrate long-term performance goals with the budget process to increase the transparency of resource needs

Measure: Average number of transit boardings per transit market (150 largest transit agencies), will increase by one percent annually through 2008, adjusted for changes in employment levels

Explanation:

Measure: Reduce transit fatalities per 100 million passenger miles traveled to less than.467 by 2008.

Explanation:

Measure: Develop 30 research products, innovations, and techniques that support the accomplishment of FTA strategic research goals and objectives by 2010

Explanation:

Measure: Average percent change in transit boardings per transit market (150 largest transit agencies), adjusted for changes in employment levels

Explanation:

Measure: Reduce transit fatalities per 100 million passenger miles traveled

Explanation:

Measure: Develop six research products, innovations and techniques a year that support the accomplishment of FTA strategic research goals and objectives.

Explanation:

Measure: Ensure that at least 90% of all research projects are on-time and on-budget

Explanation:

Is the program purpose clear?

Explanation: The Mission of FTA's National Research Programs is to Deliver Solutions that Improve Public Transportation. The Secretary may make grants, contracts, cooperative agreements, and other agreements for research, development, demonstration, and deployment projects, and evaluation of technology of national significance to public transportation, that the Secretary determines will improve public transportation service or help public transportation service meet the total transportation needs at a minimum cost.

Evidence: The Strategic Research Plan lays out FTA's Research Mission (p. 2) http://www.fta.dot.gov/documents/FTA_Strategic_Research_Plan_Final.doc 49 USC 5312 (a) as revised by SAFETEA-LU 3014 lays out the program's purpose.

Does the program address a specific and existing problem, interest, or need?

Explanation: Through the Federal Transit Administration's national research programs, the Federal Government provides financial assistance to develop efficient and coordinated public transportation sytems designed to address both overarching national policy objectives and the specific problems or needs of certain populations. Better designed and more efficient transit systems serve diverse national interests by contributing to the achievement of important social, economic and environmental goals. They also provide mobilitly for local populations with acute transporation needs including economically disadvantaged and physically disabled individuals. In addition, efforts to continuously improve public transit and transit ridership will provide alternatives to automobile commuters in congested urban areas, support efficient urban and rural development, reduce vehicle emissions and thereby enhance air quality, and help reduce energy consumption and the U.S. dependence on imported energy resources.

Evidence: 49 USC 5301 (b) Findings 7 & 8 as updated by SAFETEA-LU Sec 3003 (b) identify the need for public transportation improvements.

Is the program designed so that it is not redundant or duplicative of any other Federal, state, local or private effort?

Explanation: FTA's National Research Program is the only public transportation research program that undertakes public transportation research from a national perspective. Other entities, such as State Departments of Transportation, universities, and industry only conduct a limited amount of public transportation research in targeted areas. The Transit Research Analysis Committee requested FTA to add "provide transit research leadership" as a strategic goal and also finds that "public- and private-sector research budgets in general are under pressure, and that individual organizations have insufficient funds to support all the research they would like to undertake. Consequently, FTA is well positioned to encourage stakeholders to work on research aimed at common needs and to help guide the direction of such research through participation in a variety of partnerships."

Evidence: The first Letter Report of the Transit Research Analysis Committee (June 2, 2005, p.3) describes the uniqueness and need for FTA's research program: http://trb.org/publications/reports/trac_june_2005.pdf.

Is the program design free of major flaws that would limit the program's effectiveness or efficiency?

Explanation: The program is free of major design flaws that prevent it from meeting its defined objectives and performance goals and there is no evidence that another approach would be more efficient or effective. While funding for a majority of research projects is earmarked, program managers work closely with project sponsors to ensure that projects both support national policy objectives and effectively address public transporation problems and/or efficient solutions to the transportation needs of specific populations. Individual projects must demonstrate what policy objective they are supporting and how results will be achieved and the project selection scorecard asks whether results will have national applicability. To ensure that activities that would have occurred without the program are not subsidized, one of the selection criteria for projects is whether the research needs to be carried out by the Federal Government, with a high score going to those projects that demonstrate that "substantial initial capital investment is required, or other substantial market barriers to private sector involvement exist that diminish the ability of private industry to make the necessary technology improvements." For example, the safety and security program addresses specific safety and security needs based on priorities identified in recommendations from tri-annual reviews of transit systems, from technical assistance team visits to transit agencies, data analysis gathered from the National Transit Database, and reviews of standards, best practices and pressing emerging priorities. This ongoing analysis ensures that research is based on the current needs of the beneficiaries. Research training programs then provide knowledge and skills to increase awareness for front line transit employees, supervisors, transit riders and emergency preparedness and response communities. With regard todirect funding of projects that show a demonstrable increase in transit ridership, FTA has also adopted a data-driven approach, utilizing our National Transit Database, to select transit agencies experiencing declining ridership for intervention and enhancement projects.

Evidence: Strategic Research Plan; FTA research scorecard and supporting questions; FY 2007 Budget Estimates (pp 137-155); FY 2005 Program Plan Call; TRIS: http://trisonline.bts.gov/search.ctm; TCRP call for problem statements.

Is the program design effectively targeted so that resources will address the program's purpose directly and will reach intended beneficiaries?

Explanation: FTA's National Research Programs are designed to directly benefit transit agencies who will use the research to improve their systems and also indirectly benefit the public who will use improved transit systems. FTA's Strategic Research Plan is the basis to ensure that resources address the program's purpose directly, and that resources and benefits reach intended beneficiaries. This Strategic Research Plan lays out goals, objectives under each goal, and strategies under each objective to ensure that all research is designed to deliver solutions that improve public transportation. The Strategic Research Plan was developed through a coordinated process with the intended beneficiaries, and FTA's research budget and program planning processes are structured around the strategic research goals therein to ensure that these underlying objectives and strategies are appropriately supported.

Evidence: Strategic Research Plan FTA research scorecard and supporting questions FY 2007 Budget Estimates (pp 137-155).

Does the program have a limited number of specific long-term performance measures that focus on outcomes and meaningfully reflect the purpose of the program?

Explanation: FTA has two major long-term outcome performance measures with respect to the R&D program, one major long-term performance measure is to reduce transit fatalities, and the other is to increase transit ridership. To track progress in reducing these fatalities, the long-term outcome measure is to reduce transit fatalities per 100 million passenger miles traveled to less than .467 by 2008. The most recent data available on transit-caused fatalities show that there were 196 transit-caused fatalities in the United States in 2004 or .467 per 100 million passenger miles traveled. For 2005, transit-caused fatalities were reduced to 183, or .428 per 100 million passenger miles traveled. Given this updated information on actual safety performance, FTA will be assessing the need to further reduce our long-term target for transit fatalities in 2008. FTA's research supports achievement of this goal through research on best practices, safety technologies, training and technical assistance, drug and alcohol testing, and data collection on accident causality. Another FTA goal is to improve mobility by increasing transit ridership. FTA has promoted a change in industry focus from simply increasing the number of buses on the street, to finding the most effective ways to increase transit ridership and therefore mobility. Greater use of public transportation has significant air quality, economic and community benefits. Cities identified as having non-attainment air quality problems rely on public transportation to help meet clean air standards, and recent energy price increases have driven many Americans to choose public transportation as the mode of choice to commute to jobs. Moreover, the American Public Transportation Association, made up of over 1,500 transit systems nationwide, identified increasing transit ridership as its number one goal in its strategic plan. The long-term outcome measure and goal is that the average number of transit boardings traveled per market (top 150 transit agencies) will increase by 1 percent annually through 2008, adjusted for changes in employment levels. Between 2005 and 2008 this would equate to an additional 360 million riders. FTA's research supports this goal by researching methods, innovations and technologies to improve transit system performance, improve reliability, reduce travel times, increase accessibility, and increase customer satisfaction. To track progress against the Strategic Research Plan, FTA has developed a long-term output measure to develop 30 research products, innovations, and technologies that support the accomplishment of FTA strategic research goals and objectives by 2010.

Evidence: The Safety and Ridership (Mobility) performance measures are reported in the FY 2007 Budget Estimates (pp. 223-224) and the DOT 2005 Performance and Accountability Report. The Safety section is found on page 84 at: http://www.dot.gov/perfacc2005/pdf/11safety.pdf. The preliminary 2004 and 2005 safety fatality data in these documents have been revised. The 2005 revised fatality rate (0.428) uses 12 months of preliminary data for all major modes of transit, including commuter rail statistics from both the National Transit Database (NTD) and the Federal Railroad Administration (FRA) Rail Accident Reporting System (RAIRS). The Ridership section is found at page 92 at: http://www.dot.gov/perfacc2005/pdf/12mobility.pdf; the number of deliverable research products, innovations, and technologies will be reported as part of the FY 2007 Budget Estimate.

Does the program have ambitious targets and timeframes for its long-term measures?

Explanation: FTA has ambitious targets and timeframes for its long-term performance measures. For the Safety measure, FTA's goal is to reduce transit fatalities per 100 million passenger miles traveled to .467 by 2008. In FY 2002, the estimated rate was .473. As passenger miles traveled continues to increase this would signify both a relative and absolute decrease in the total number of transit-caused fatalities in the United States, of which there were 196 in 2004. The actual performance data for transit fatalities has been updated to reflect the most recent information. FTA will be assessing the need to further reduce the long-term target for transit fatalities in 2008. FTA's ridership goal is also ambitious as a target of 1 percent annually exceeds the increase of .7% in both 2003 and 2004, and the .2% increase in 2002. A one percent increase equates to an additional 360 million riders by 2008. For the number of research output deliverables, 30 by 2010 is ambitious as FTA delivered 11 major products in the FY 2001 - FY 2003 timeframe, 6 major products in FY 2004, and 6 major products in FY 2005 for a total of 23 over the previous 5 year time period.

Evidence: Data on transit fatalities is reported in the National Transit Database: http://www.ntdprogram.com/NTD/NTST/2004/HTMLFiles/2004_NTST.htm#quality; The Safety and Ridership (Mobility) performance measures are reported in the FY 2007 Budget Estimates (pp 223-224) and the DOT 2005 Performance and Accountability Report. The Safety section is found on page 84 at: http://www.dot.gov/perfacc2005/pdf/11safety.pdf. The preliminary 2004 and 2005 safety fatality data in these documents have been revised. The 2005 revised fatality rate uses 12 months of preliminary data for all major modes of transit, including commuter rail statistics from both the National Transit Database (NTD) and the Federal Railroad Administration (FRA) Rail Accident Reporting System (RAIRS). The Ridership section is found at page 92 at: http://www.dot.gov/perfacc2005/pdf/12mobility.pdf. The analysis of the number of deliverable research products, innovations, and technologies prepared by FTA identifies baseline information for FY2001 - FY2005.

Does the program have a limited number of specific annual performance measures that can demonstrate progress toward achieving the program's long-term goals?

Explanation: FTA has two major annual outcome performance measures and one annual output performance measure designed to track progress towards achieving the long-term performance measures. For safety, FTA has set annual targets to reach the goal of .467 fatalities per 100 million passenger-miles traveled by reducing the rate each year. In FY 2005, the goal was .482 and in FY 2006 the goal is .473. FTA has recently received updated actual performance data for 2004 and 2005 transit fatalities. FTA will be assessing the need to further reduce our long-term target for transit fatalities in 2008. For ridership, progress is tracked by setting an annual goal of a one percent increase in transit boardings per transit market (150 largest transit agencies) adjusted for changes in employment. This equates to 90 million riders in 2006. As a research and development program, FTA has set a target of delivering 6 products, innovations, or technologies that support FTA's Strategic Research goals on an annual basis.

Evidence: The Safety and Ridership (Mobility) performance measures are reported in the FY 2007 Budget Estimates (pp 223-224) and the DOT 2005 Performance and Accountability Report. The Safety section is found on page 84 at: http://www.dot.gov/perfacc2005/pdf/11safety.pdf. The preliminary 2004 and 2005 safety fatality data in these documents have been revised. The 2005 revised fatality rate uses 12 months of preliminary data for all major modes of transit, including commuter rail statistics from both the National Transit Database (NTD) and the Federal Railroad Administration (FRA) Rail Accident Reporting System (RAIRS).The Ridership section is found at page 92 at: http://www.dot.gov/perfacc2005/pdf/12mobility.pdf. The analysis of the number of deliverable research products, innovations, and technologies prepared by FTA identifies baseline information for FY2001-FY2005.

Does the program have baselines and ambitious targets for its annual measures?

Explanation: FTA has ambitious targets and timeframes for its annual performance measures. For the Safety measure, in 2004 there were 196 transit-caused fatalities in the United States. FTA's goal is to reduce transit fatalities per 100 million passenger miles traveled to .467 by 2008. In FY 2005 target was .482. In FY 2006 the target is .473. FTA has recently received updated actual performance data for 2004 and 2005 transit fatalities. FTA will be assessing the need to further reduce our long-term target for transit fatalities in 2008. FTA's ridership goal is also ambitious as a target of 1 percent increase in FY 2006; it exceeds the increase of .7% in both 2003 and 2004, and the .2% increase in 2002. This equates to 90 million riders in 2006. For the number of research deliverables per year, a target of 6 in FY 2006 is ambitious as FTA delivered 11 major products in the FY 2001 - FY 2003 timeframe, 6 major products in FY 2004, and 6 major products in FY 2005, or an average of 4.6 per year over the last five years.

Evidence: Data on transit fatalities is reported in the National Transit Database: http://www.ntdprogram.com/NTD/NTST/2004/HTMLFiles/2004_NTST.htm#quality; The Safety and Ridership (Mobility) performance measures are reported in the FY 2007 Budget Estimates (pp 223-224) and the DOT 2005 Performance and Accountability Report. The Safety section is found on page 84 at: http://www.dot.gov/perfacc2005/pdf/11safety.pdf;. The preliminary 2004 and 2005 safety fatality data in these documents have been revised. The 2005 revised fatality rate uses 12 months of preliminary data for all major modes of transit, including commuter rail statistics from both the National Transit Database (NTD) and the Federal Railroad Administration (FRA) Rail Accident Reporting System (RAIRS). The Ridership section is found at page 92 at: http://www.dot.gov/perfacc2005/pdf/12mobility.pdf. The analysis of the number of deliverable research products, innovations, and technologies prepared by FTA identifies baseline information for FY2001-FY2005.

Do all partners (including grantees, sub-grantees, contractors, cost-sharing partners, and other government partners) commit to and work toward the annual and/or long-term goals of the program?

Explanation: All proposals must address which Strategic Goal is being supported as well as the results or benefits expected. A project evaluation summary describing what goal is being supported and how results will be measured and reported is also required by all recipients before awarding of funds and is incorporated into the statement of work. FTA Circular 6100.C Transit Research and Technology Programs: Application Instructions and Program Management Guidelines pp. (II-5; II-9) requires applicants to address what Strategic goal is being supported as well as the results/benefits. The Measurement Summary Template describes what goal is being supported and how results on achieving that goal will be measured and reported.

Evidence: FTA Circular 6100.C Transit Research and Technology Programs: Application Instructions and Program Management Guidelines pp. (II-5; II-9) http://www.fta.dot.gov/396_14724_ENG_HTML.htm; The Measurement Summary Template.

Are independent evaluations of sufficient scope and quality conducted on a regular basis or as needed to support program improvements and evaluate effectiveness and relevance to the problem, interest, or need?

Explanation: FTA's research programs are evaluated by the Transit Research Analysis Committee (TRAC) of the National Academies of Sciences. The scope of these TRAC evaluations are to "provide an independent review and assessment of the needs of the public transportation industry that could be met through future investment in a national research and technology program." The TRAC provides advice on the overall quality, effectiveness and relevance of FTA's entire research program. In addition, the TRAC produces a Letter Report to FTA with their findings and recommendations on FTA's programs and methods. The TRAC is managed by the National Academies of Science's in accordance with their procedures to ensure independence. The TRAC committee meets twice a year and produces the Letter Report on an annual basis. In addition, these research programs are reviewed annually by the Department of Transporation Research, Development and Technology Planning Team to ensure that it conforms to the OMB Research & Investment Criteria of Relevance, Quality, and Performance.

Evidence: The charge of the TRAC is found on TRB's website at: http://www.nationalacademies.org/cp/projectview.aspx?key=SAIS-P-03-05-A; TRAC Certificate of Compliance with Section 15 of the Federal Advisory Committee Act. The first and second TRAC Letter Reports can be found at: http://trb.org/publications/reports/trac_june_2005.pdf and http://trb.org/publications/reports/trac_March_2006.pdf DOT Order 1 120.39A on Research, Development and Technology Planning Council, Team and Process (April 20, 2005) describes the role of the RD&T Planning Team: http://isddc.dot.gov/OLPFiles/OST/012339.pdf; The FY2005 FTA RD&T Program Reviews Summary is found at: http://www.rita.dot.gov/publications/research_activities_of_the_department_of_transportation_a_report_to_congress/html/appendix_b_05.html. (p. 48)

Are Budget requests explicitly tied to accomplishment of the annual and long-term performance goals, and are the resource needs presented in a complete and transparent manner in the program's budget?

Explanation: Each research and development project is evaluated in accordance with the Office of Management and Budget investment criteria, including quality of investment and performance obtained by the tangible and intangible outcomes of the project. Budget requests are cross-walked with FTA's Strategic Research Plan to ensure that those projects that are funded follow the agency's strategic plan and goals. The resources for the program are presented in a transparent manner in the budget.

Evidence: FTA Strategic Research Plan Federal Transit Administration Budget Estimates for Fiscal Year 2007.

Has the program taken meaningful steps to correct its strategic planning deficiencies?

Explanation: The program does not have major strategic planning deficiencies. It has in place a limited number of specific, ambitious long-term performance goals and a limited number of annual performance goals. FTA has worked together with the Transit Research Analysis Committee (TRAC) to develop the Strategic Transit Research Plan. FTA already attempts to identify any deficiencies through the Transit Research Analysis Committee and internal reviews. For example, the TRAC worked closely with FTA to strengthen it's Strategic Plan and provided recommendations to FTA in the first TRAC Letter Report. FTA addressed these recommendations as noted in the TRAC's second Letter Report.

Evidence: FTA Strategic Research Plan: http://www.fta.dot.gov/documents/FTA_Strategic_Research_Plan_Final.doc; TRAC Letter Reports 1 & 2

If applicable, does the program assess and compare the potential benefits of efforts within the program and (if relevant) to other efforts in other programs that have similar goals?

Explanation: This question is not applicable. As stated in question 1.3, there are no other programs, at the local, state or federal level or nor any program undertaken by private institutions or universities with similar goals to FTA's research programs. FTA is the only entity undertaking public transportation research from a national perspective. All other research programs address only limited and targeted problems and are thus not comparable.

Evidence:

Does the program use a prioritization process to guide budget requests and funding decisions?

Explanation: The Transit Analysis Research Committee (TRAC), an independent advisory committee to the Federal Transit Administration,assisted in the development of the Strategic Research Plan that identifies research priorities. The plan includes Strategic Research Goals, objectives under each goal, and strategies under each objective. These priorities are used as part of the budget and program planning process. Both the budget submission and program plan are organized around the goals and objectives and follow the guidelines set forth in OMB Circular A-11. In fact, the FY 2007 budget submission was reorganized to reflect the establishment of the new Strategic Research Plan and to be organized around the goals and objectives therein. As projects are submitted they are evaluated using a scorecard that grades each project on the extent it supports these goals and objectives and on how well they meet the OMB Research and Development Investment Criteria. Then as part of the program planning process, proposed projects are ranked in priority order.

Evidence: FTA Strategic Research Plan: http://www.fta.dot.gov/documents/FTA_Strategic_Research_Plan_Final.doc TRAC Letter Reports 1 & 2 FTA research scorecard and supporting questions Federal Transit Administration Budget Estimates for Fiscal Year 2007 (pp 137-155).

Does the agency regularly collect timely and credible performance information, including information from key program partners, and use it to manage the program and improve performance?

Explanation: Under FTA Circular 6100.C, Transit Research and Technology Programs, recipients of FTA research funds are required to submit milestone reports, quarterly progress reports and financial status reports to FTA's research funding project managers. Recipients of research funds identify milestones which are tracked in FTA's Transportation Electronic Award and Management System (TEAM) and identify their goals/objectives in the measurement summary template. FTA project managers review this information to ensure that research projects are achieving their milestones and that the overall project goals and objectives are met. This information is then collected in FTA's Office of Research, Demonstration and Innovation (TRI) research database. TRI project managers are required to discuss all projects where slippage has occurred and potential corrective actions to improve performance at quarterly review meetings with FTA's Associate Administrator for Research, Demonstration and Innovation. At the program level, TRI tracks overall performance through the Quarterly Review Statistics Sheet to ensure projects are on-time and on-budget and to determine where corrective action may be required. FTA also employs a number of program management tools to ensure that programs are managed effectively and that a focus on continuous improvement is maintained. For example, FTA has developed a monthly management report, known as Transit Trends, which reflects the agency's commitment to effective business management practices and is used to focus agency decision-making and accountability for results on the agency's key performance objectives. Transit Trends tracks the performance of grantees in key areas such as project cost control, grant processing, and budget authority vs. obligations and administrative expenses, including those associated with TRI's research programs. The data appearing on a monthly basis in Transit Trends is used by agency management to assess the performance at the program, project, and task level, and to make adjustments as necessary to ensure objectives are achieved. FTA also uses the Strategic Business Plan (SPB) Organizational Assessment to brief key agency executives every 90 days on the status of the agency's performance, planned activities in subsequent quarters, and corrective actions for areas of slippage. FTA's Executive Management Team (EMT) meets quarterly to review progress in meeting the key deliverables and program managers use these monthly and quarterly management reports and their associated financial data to make resource decisions that keep the agency on track to meet its goals. Key research objectives are imbedded in a number of the Key Deliverables contained in the SPB. Baselines, targets, key performance measures, and results are collected from key program partners and grantees and are tracked, analyzed, and reported and the results are made available to all FTA personnel through publication of these reports on the FTA website, and are summarized on an annual basis in the DOT Green Plan and the Performance and Accountability Report.

Evidence: FTA Transit Trends Report, Fiscal Year 2005 Final Report (Pages 1, 2, 7, 16, and 17); SBP FY 2005 Summary Organizational Assessment; DOT Green Plan; DOT FY 2005 Performance and Accountability Report (Pages 92-96). National Transit Database: http://www.ntdprogram.com/NTD/ntdhome.nsf/Docs/NTDPublications?OpenDocument# FTA Circular 6100.C Transit Research and Technology Programs: Application Instructions and Program Management Guidelines pp. (III-5-7) lays out recipent reporting requirements; Measurement summary template. 2005 Quarterly Review Statistics.

Are Federal managers and program partners (including grantees, sub-grantees, contractors, cost-sharing partners, and other government partners) held accountable for cost, schedule and performance results?

Explanation: Every FTA executive is accountable for increasing transit ridership and performance bonuses are based, in part, on achieving the annual agency ridership goal. Goals are layed out in FTA's Strategic Business Plan (SBP) and tracked in the SBP Organizational Assessment and Transit Trends Report. FTA transit research program managers report to the Associate Administrator for Research, Demonstration and Innovation on the status of projects they manage on a quarterly basis. Performance Appraisals include research performance goals at all levels. The FTA Research Circular lays out requirements for grantees on cost, schedule, and performance results. The Circular's Project Administration and Management section and Financial Management Requirements section lays out the recipient's responsibilities for project management, reporting requirements, project evaluation requirements, budget requirements, cost standards and controls, financial reporting and audit requirements. All projects are required to set target milestones tied to the budget requests in the electronic grants management system. The program's research measurement summary requires identification of goals and how achievement will be measured. Contracts are performance based or firm-fixed price.

Evidence: Performance Appraisal samples. Requirements for recipients are laid out in FTA Circular 6100.C Transit Research and Technology Programs: Application Instructions and Program Management Guidelines: http://www.fta.dot.gov/396_14724_ENG_HTML.htm.(Sections III and IV); SBP Organizational Assessment; Transit Trends Report; Measurement summary template; FTA FY 2006 Strategic Business Plan; FTA FY 2005 Strategic Business Plan - FY'05 Deliverables.

Are funds (Federal and partners') obligated in a timely manner, spent for the intended purpose and accurately reported?

Explanation: FTA has policies and procedures in place to ensure funds are obligated in a timely manner, spent for the intended purpose and accurately reported. Recipients must submit quarterly reports, quarterly financial status reports and submit single annual audit reports to ensure expenditures are appropriate. Funds are controlled through the electronic grants system (TEAM) which is linked directly with the FTA financial system to record awards promptly and accurately.

Evidence: FTA Circular 6100.C Transit Research and Technology Programs: Application Instructions and Program Management Guidelines pp. (III-5-7) lays out reporting requirements and pp. IV-8-9 lays out financial reporting and single audit requirements. http://www.fta.dot.gov/396_14724_ENG_HTML.htm.

Does the program have procedures (e.g. competitive sourcing/cost comparisons, IT improvements, appropriate incentives) to measure and achieve efficiencies and cost effectiveness in program execution?

Explanation: FTA's efficiency goal is to ensure that at least 90% of all research projects are on-time and on-budget. FTA's FY05 Strategic Business plan had a goal to award all research earmarks by the end of the Fiscal Year 2005. In FY 2006 all research project managers have a performance expectation to award all research earmarks by end of FY06 in their performance appraisals. FTA uses a research database to track progress of all research projects and to measure whether projects are on-time and on-budget. Reports are generated from the database including number of projects per program manager, number of projects on-time on-budget per program manager, project balances, etc. Quarterly reviews are held to examine the progress of all projects and identify solutions if problems in research management arise. Once fully implemented, FTA's Managerial Cost Accounting system will permit FTA to analyze administrative cost inputs in comparison to research outputs and outcomes.

Evidence: FY05 Strategic Business Plan Goal 13 lays out the goal to award all FY05 research earmarks by the end of FY 2005: http://www.fta.dot.gov/documents/Strategic_Business_Plan_FY05_Deliverables.doc; FY06 Performance Appraisal samples.; Quarterly Review Summary.

Does the program collaborate and coordinate effectively with related programs?

Explanation: FTA and other DOT Operating Administrations coordinate research through the Research, Development and Technology Planning Council and Teams. The Team annually produces a fiscal year Research, Development and Technology Plan. In addition, in March 2005 DOT produced Research Activities of the Department of Transportation: A Report to Congress, outlining this collaboration and coordination. FTA actively makes presentations on the goals of its research program through outreach at the Transportation Research Board Annual Meeting and at industry meetings.

Evidence: DOT RD&T FY05 Plan: http://www.volpe.dot.gov/infosrc/strtplns/dot/rdtpln6/rdtplan6.pdf; Research Activities of the Department of Transportation: A Report to Congress: http://www.rita.dot.gov/publications/research_activities_of_the_department_of_transportation_a_report_to_congress/

Does the program use strong financial management practices?

Explanation: Projects developed through the budget process and program planning process or enacted by Congressional earmark are included in annual allotments of budgetary resources. Projects are controlled in the Transportation Electronic Award and Management (TEAM) system. Obligations and "Authorized Disbursements" are passed to the Delphi accounting system. Individual projects are assessed for support to performance goals of the agency. No material weaknesses were reported in the most recentannual audit of the Highway Trust Fund (HTF) (September 2005). For additional explanatory support for this question, see the explanation and evidence cited for question 3.3.

Evidence: Department of Transportation Highway Trust Fund Independent Auditor's Report and Financial Statements September 30, 2005 and 2004. -- Clifton Gunderson Certified Public Accountants.

Has the program taken meaningful steps to address its management deficiencies?

Explanation: No material weaknesses have been identified in either independent or internal evaluations of program management. FTA uses the Strategic Business Plan (SBP) Quarterly Organizational Assessment to evaluate program management and correct deficiencies in a timely manner once they are identified. Key agency executives are briefed every 90 days on the status of the agency's performance, planned activities in future quarters, and on corrective actions that need to be taken. FTA's Executive Management Team (EMT) meets quarterly to review progress in meeting key deliverables and program managers use these monthly management reports and their associated financial data to make key resource decisions that keep the agency on track to meet its goals. FTA's Transit Trends Report and the SBP Quarterly Assessment are key to ensure that data is used strategically to achieve the goals, and that goals are being achieved in the most efficient manner. Baselines, targets, key performance measures, and results are tracked, analyzed and reported and the results are made available to all FTA personnel, grantees, and partners through the publication of these reports on the FTA website, and are summarized on an annual basis in the DOT Green Plan.

Evidence: Transit Trends Report, DOT Green Plan, and the Strategic Business Plan Quarterly Organizational Assessment.

For R&D programs other than competitive grants programs, does the program allocate funds and use management processes that maintain program quality?

Explanation: This question is not applicable. FTA does not allocate funding for intramural research or allocate funds to Federally-funded Research and Development Centers without using a competitive process.

Evidence:

Has the program demonstrated adequate progress in achieving its long-term performance goals?

Explanation: FTA is on track to meet all of the long-term performance measures. In FY 2005, transit ridership measured by the 150 largest transit systems increased by 1.4 percent over the previous year which is double the increase in FY 2004 compared to FY 2003. This equates to an increase in the number of transit boardings nationwide by 126 million riders, without relying on additional taxpayer funding. FTA therefore is on track to meet its target of a one percent increase per year, through 2008, which would add 360 million new riders. FTA research supported this effort through projects such as the pilot ridership assistance projects, United We Ride program, transit ridership toolkits, and research and dissemination of best practices using a ridership Website. For Safety, the number of fatalities per 100 million passenger-miles traveled decreased from .467 in 2004 to .428 in 2005. The 2004 and 2005 actual performance rates are updates to the preliminary actual performance data provided in the Department of Transportation FY 2005 Performance and Accountability Report, and the FY 2007 Budget Justification. The total number of transit caused fatalities in 2004 was 196 with 41.90 billion passenger miles traveled. The total number of transit caused fatalities in 2005 was 183 with 42.74 billion transit passenger miles traveled. This overall decrease in the rate of transit related fatalities was achieved at the same that the transit passenger miles traveled increased by .84 billion. With 6 products per year in 2004 and 2005, FTA is also on track to deliver 30 research products, innovations, and technologies that support FTA Strategic Research goals by 2010.

Evidence: The Safety and Ridership (Mobility) performance measures are reported in the FY 2007 Budget Estimates (pp. 223-224) and the DOT 2005 Performance and Accountability Report. The Safety section is found on page 84 at: http://www.dot.gov/perfacc2005/pdf/11safety.pdf. The preliminary 2004 and 2005 safety fatality data in these documents have been revised. The 2005 revised fatality rate (0.428) uses 12 months of preliminary data for all major modes of transit, including commuter rail statistics from both the National Transit Database (NTD) and the Federal Railroad Administration (FRA) Rail Accident Reporting System (RAIRS). The Ridership section is found at page 92 at: http://www.dot.gov/perfacc2005/pdf/12mobility.pdf. Transit caused fatalities in 2000 are found in the 2004 National Transit Summaries and Trends (p. 20) at: http://www.ntdprogram.com/NTD/NTST/2004/PDFFiles/2004%20National%20Transit%20Summaries%20and%20Trends%20(NTST).pdf. The analysis of the number of deliverable research products, innovations, and technologies prepared by FTA identifies baseline information for FY 2001 to FY 2005.

Does the program (including program partners) achieve its annual performance goals?

Explanation: FTA achieved all of its annual performance goals. It met the annual safety targets of less than .487 transit fatalities per 100 million passenger-miles traveled in 2004 and .482 transit fatalities per 100 million passenger-miles traveled in 2005, with actual rates of .468 and .428 respectively. The 2004 and 2005 actual performance rates are updates to the preliminary actual performance data provided in the DOT FY 2005 Performance and Accountability Report, and the FY 2007 Budget Justification. FTA exceeded the 2005 ridership target to increase transit boardings per transit market (150 largest transit agencies) by 1 percent in 2005, adjusted for changes in employment, with an actual rate of a 1.4 percent increase in 2005. This equated to an increase in the number of transit boardings nationwide by 126 million riders in 2005.

Evidence: The Safety and Ridership (Mobility) performance measures are reported in the FY 2007 Budget Estimates (pp. 223-224) and the DOT 2005 Performance and Accountability Report. The Safety section is found on page 84 at: http://www.dot.gov/perfacc2005/pdf/11safety.pdf. The preliminary 2004 and 2005 safety fatality data in these documents have been revised. The 2005 revised fatality rate (0.428) uses 12 months of preliminary data for all major modes of transit, including commuter rail statistics from both the National Transit Database (NTD) and the Federal Railroad Administration (FRA) Rail Accident Reporting System (RAIRS). The Ridership section is found on page 92 at: http://www.dot.gov/perfacc2005/pdf/12mobility.pdf.

Does the program demonstrate improved efficiencies or cost effectiveness in achieving program goals each year?

Explanation: FTA's research efficiency goal is to ensure that at least 90% of all research projects are on-time and on-budget. In November 2004, 87% of the research projects were on-time and on-budget. This increased to 92% in September 2005. To achieve this improvement, FTA tracks projects on a quarterly basis. Project managers must report on all projects that are not on-time or on-budget and what steps can be taken to improve performance. FTA was successful in delivering on its key 2005 deliverables identified in Transit Trends, which reflects its corporate business management processes and are used to focus agency decision making on a set of four core accountabilities and 12 key deliverables for which the entire FTA senior executive team is jointly accountable. FTA also uses the Strategic Business Plan (SBP) Quarterly Organizational Assessment to brief key agency executives every 90 days on the status of the agency's performance, planned activities in subsequent quarters, and corrective actions for areas of slippage. FTA's Executive Management Team (EMT) meets quarterly to review progress in meeting the key deliverables and program managers use these monthly management reports and their associated financial data to make resource decisions that keep the agency on track to meet its goals. FTA's Transit Trends Report, used in conjunction with the SBP Quarterly Assessment, are key management tools to ensure that financial goals are critical and are used to manage agency programs, that data are used strategically to achieve the goals, and that success is measured to provide evidence that the desired goals are being achieved in the most efficient manner. Baselines, targets, key performance measures, and results are tracked, analyzed and reported and the results are made available to all FTA personnel, grantees, and partners through publication of these reports on the FTA website, and are summarized on an annual basis in the DOT Green Plan.

Evidence: FTA tracks progress through its Research database. The quarterly summary sheet shows the progress from November 2004 to September 2005. Transit Trends Report, DOT Green Plan, Strategic Business Plan Quarterly Organizational Assessment.

Does the performance of this program compare favorably to other programs, including government, private, etc., with similar purpose and goals?

Explanation: This question is not applicable. As stated in question 1.3, there are no other programs, either at the local, state or federal level; nor are any there any undertaken by private institutions or universities with similar goals to FTA's research programs. FTA is the only entity undertaking public transportation research from a national perspective. All other research undertaken addresses only limited and targeted needs or problems and is not comparable.

Evidence:

Do independent evaluations of sufficient scope and quality indicate that the program is effective and achieving results?

Explanation: The first Transit Analysis Research Committee's (TRAC) Letter Report to FTA reports that "in the committee's judgment, the four strategic research goals in FTA's plan that were listed in the preceding section clearly articulate appropriate high-level objectives for a federal research program." It also finds that "FTA is well positioned to encourage stakeholders to work with the agency on research aimed at common needs." The committee concurs with ""FTA's objective, articulated in the preamble to the plan, of 'investing scarce public funds in relevant, useful research projects that will improve [the] Nation's public transportation system.'" It also states that "FTA, as the federal agency responsible for transit, has an important role to play in supporting research that is unlikely to be undertaken by the private sector, including studies on policy issues, models, and travel behavior, as well as long-term, high-risk investigations of new technologies." In terms of project evaluation, "the committee commends FTA on its initial efforts to develop an evaluation system for project selection that aims to provide clarity . . . and consistency in establishing a research portfolio." The second TRAC Letter Report to FTA "commends the Office of Research, Development and Innovation on the very substantial progress reflected in the September 30, 2005, version of FTA's strategic research plan," and states that "the Committee is pleased that FTA adopted the recommendation from the first TRAC letter report to add as a goal that the agency provide national leadership in transit research. It also states that FTA now has an effective plan. The Report also remarks on actions FTA has taken in advance of the PART process including developing performance measures. The TRAC is composed of 12 members from various components of the transit industry who meet at least twice a year to discuss FTA's research programs. The TRAC follows the guidelines of the National Academies of Sciences and the Federal Advisory Committee Act to ensure its independence. FTA does not have input into the development of the Letter Reports.

Evidence: First letter report of the Transit Research Analysis Committee (June 2, 2005, pp. 5, 3, 9, 10) http://trb.org/publications/reports/trac_june_2005.pdf; Second letter report of the TRAC (March 10, 2006, pp 2-3) http://trb.org/publications/reports/trac_March_2006.pdf. TRAC Project Instruction and Committee Membership. TRAC Certificate of Compliance with Section 15 of the Federal Advisory Committee Act.