Transportation pooled Fund Program

A TPF pooled fund study is intended to address a new area of research, planning and technology innovation or to provide information that will compliment or advance previous efforts in these areas.

To qualify as a pooled fund study, more than one state transportation agency and/or federal agency, in addition to an agency such as a municipality, metropolitan planning organization, college/university or a private company must find the subject important enough to pledge funds or other resources to conduct the research, planning, and/or technology innovation activity. The proposed work must also be documented in the State’s work program.

If the subject has been previously studied, the proposed project must provide new information that will complement or advance previous investigations of the subject matter.

Within the TPF Program, the typical source of funding is State Planning and Research (SP&R) funds. The normal match for State Planning and Research (SP&R) funds is at least 20 percent non-Federal with maximum participation being 80 percent Federal funding.

Yes; Section 505(b)(2) of 23 USC allows the U.S. Secretary of Transportation to waiver the funds match requirement for a project administered under the TPF mechanism. The authority to waive the funds match requirement has been delegated to the FHWA Associate Administrator for Research, Development and Technology, for research-related projects; and the Associate Administrator for Planning and Environment, for planning-related projects. Please Note: The receipt of the SP&R waiver is not automatically granted; a request for the waiver must be submitted to the TPF Program Manager via your local FHWA Division office.

To establish a pooled fund project,

1. A pooled fund project proposal must be developed that includes the following:
• The identification of the lead agency for the proposed project.
• Your planned process
• The estimated cost of the project
• The estimated duration of the project
• The requested funding contribution from each potential partner

The proposal should indicate who would lead the pooled fund project (a State DOT or the FHWA), as well as the lead agency’s contribution (financial or otherwise).

2. Consider your interest in obtaining approval for the use of 100% SP&R funding on the proposed pooled fund project. If interested, follow step “c”
3. Submit the request to establish a pooled fund project and (if interested) approval for the use of 100% SP&R funding as follows:

State-led Projects: Submit the pooled fund project proposal and (if interested) the request for approval for the use of 100% SP&R funding via your local FHWA Division office. Your local FHWA Division office will process the request. Upon the Division’s endorsement, the request will be sent to the TPF Program Manager for further consideration and approval.

FHWA-led Projects: Submit the project proposal and (if interested) the request for approval for the use of 100% SP&R funding via e-mail to the TPF Program Manager.

Yes; the lead agency may post their pooled fund solicitation on the TPF website while the request to approve the project and use of 100% SP&R funding is being considered. In the meantime, the status of the SP&R waiver will read as “pending” on the TPF website.

The process to approve the proposed project and (if requested) the use of 100% SP&R funding typically takes 3-4 weeks. Please Note: A project number will not be assigned until a sufficient level of commitments has been received to cover the estimated cost of the proposed project.

State DOT and their Financial Representatives

The approval of additional authorized users from a State DOT is at the discretion of their American Association of State and Highway Transportation Officials (AASHTO) Research Advisory Committee (RAC) representative. The current list of AASHTO RAC members can be found at the following link: http://research.transportation.org/Pages/RACRoster.aspx. Please contact the appropriate AASHTO RAC member for your State, for further consideration in gaining access to the authorized user section of the TPF website.

FHWA

FHWA staff leading or participating in a pooled fund project are granted access to the authorized user section of the TPF website. Additionally, Financial Managers in FHWA Program and Division offices are granted access to the authorized user section of the TPF website, with the role of “Funding Contact.” This role will enable them to review their State DOT’s funding pledges. FHWA staff interested in obtaining access to the authorized user section of the TPF website, but not participating in a pooled fund project or serving as the Funding Contact, should contact the TPF Program Manager for assistance.

Roles and Responsibilities

The lead agency manages the research of the pooled fund study and performs its related administrative functions. The contracting laws and regulations of the lead agency will drive and govern the actual selection process. The lead agency must ensure that the project partners receive all reports and deliverables in a timely manner. All reports must be made available on the pooled fund website. Project information that is maintained on the pooled fund website should be regularly reviewed and updated, as necessary. Additionally, it is imperative that the lead agency maintain reliable financial records regarding the project expenditures in the event of an audit by the FHWA.

The Technical Advisory Committee (TAC) is comprised of a representative from each project partner, is a panel of experts that oversee the conduct of the pooled fund project and will serve for the duration of the project. The role of the committee can include drafting and approving the project work statement, identifying the best qualified researchers to conduct the work on the project, the review of project progress reports and annual reports, the acceptance of project deliverables and final projects, and recommending implementation activities. Please Note: The ultimate activities of the TAC are subject to the lead agency’s contracting rules and regulations.

The FHWA Technical Liaison is provided as a resource to the project’s Technical Advisory Committee (TAC), but is not an actual member of the TAC. The use of the FHWA Technical Liaison is optional. FHWA Technical Liaisons give initial feedback on the proposed project and, upon request, may provide technical guidance from the context of the national research and technology program. Liaisons may participate in the activities of the Technical Advisory Committee by e-mail, teleconference, webinars, or in person (as their office’s travel funds permit). Please Note: It is not appropriate for the FHWA Technical Liaison to be involved in the business decisions of a State DOT or conduct administrative functions on behalf of the TAC. Business decisions or administrative functions include serving on a review panel with the purpose of selecting the contractor for a project that will be managed by a State DOT.

Project Solicitation

TPF studies must be led by either a State DOT or the FHWA. Within these agencies, specific individuals are authorized to post a solicitation on the TPF website, www.pooledfund.org. Typically, the American Association of State and Highway Transportation Officials (AASHTO) Research Advisory Committee (RAC) member in a State DOT is authorized to post a solicitation on behalf of their agency; while the TPF Program Manager is authorized to post project solicitations on behalf of the FHWA.

The list of AASHTO RAC members can be found at the following link: http://research.transportation.org/Pages/RACRoster.aspx, and can be used to determine the RAC member(s) for your State DOT. Please contact the appropriate AASHTO RAC member to discuss your interest in posting a pooled fund solicitation. If after reviewing the list you’re unable to identify the appropriate RAC member, please contact the TPF Program Manager for further assistance.

A solicitation may remain posted on the TPF website for up to 1 year. Lead agencies are asked to review their solicitations quarterly. If the solicitation does not garner an adequate amount of funding to be initiated, the sponsoring agency may withdraw and repost the solicitation at a later date.

Not to worry; the solicitation will be automatically extended for an additional 60 days if it has not yet advanced to an active project. The automatic extensions will continue until the anniversary date of the solicitation. If the solicitation has not advanced to an active project after the first year of its initial posting, it will be withdrawn.

Funding Contributions

In most cases, the participation of a foreign government in a pooled fund project is welcomed. However, the level of contributions to pooled fund projects by such partners and/or the actual receipt of funds may be limited by the rules and regulations of the lead agency (State DOT or FHWA).

For States that allow private organization participation, the contribution should not be at a level that would affect or even appear to affect the outcome of the research, conference, etc., that is the intended product of the project. Similarly, private organization contributions to an FHWA-led project will be considered on a case-by-case basis in consultation with the FHWA Office of Chief Counsel and/or Office of International Programs.

State-led Projects

State DOT’s or private organizations that are interested in contributing non-federal funds to a State-led pooled fund project must contact the lead agency to discuss the options that are available for making such a contribution. Note: The FHWA is not involved with the transfer of non-federal funds to a State DOT. Therefore, the funds are to be submitted directly to the lead agency.

FHWA-led Projects

PAY.gov is a system provided by the U.S. Department of Treasury, to make secure electronic payments to Federal Government Agencies. Note: The use of PAY.gov is not available for contributing funds to State-led pooled fund projects.

To contribute non-Federal funds to an FHWA-led project, the contributing organization may do so as follows:

1. Go to the homepage: www.PAY.gov
2. See the section “Find Public Forms” on the left side of the screen.
3. In quotes, type the words “FHWA Pooled Funds” in the blank box and press enter.
4. Click on the listing “Federal Highway Pooled Funds.”
5. Fill out the form, “Federal Highway Pooled Fund Request Payment” to complete the electronic transfer.
6. Once the form has been completely filled in, select submit. You will be taken to another screen to provide additional information which includes bank account, debit or credit card information, and complete the transaction.
7. Upon completion of the aforementioned steps, you will receive a summary sheet of your transaction. Please print out the summary sheet for your information and future reference.
8. An advice of funds will be issued to program office within FHWA who is managing the pooled fund project. The advice of funds indicates that the funds are now available for use on the project.

Additional information is available in Chapter 14 of the TPF Program Procedures Manual (Final Draft: April 2010)

The financial contribution to a pooled fund project this is led by a State DOT is a two-step process. The process includes: 1) making a funding commitment (pledge) on the TPF website, and 2) submitting a funding transfer form (FHWA-1575 for State-to-State transfers or FHWA -1576 for State-to-FHWA transfers) via your local FHWA office. Details regarding the two-step process are as follows:

1. Funding Commitment

The posting of a funding commitment (pledge) on the TPF website is an acknowledgement by a potential partner that it will formally transfer funding to the lead agency of the pooled fund project once the solicitation has been cleared. Funding commitments are posted by a Funding Contact identified by the State DOT. The Funding Contact will log onto the password protected area of the TPF website and enter the funding commitment information. **If you are uncertain as to the name of the Funding Contact for your State DOT, please contact the TPF Program Manager at FHWAPooledFund@fhwa.dot.gov.

Detailed instructions that outlines the steps for posting a funding commitment online can be found in Chapter of 11 of the TPF Program Procedures Manual (Final Draft: April 2010).

2. Funding Transfer

Participating State DOT’s that will be transferring Federal (apportioned) funding to a pooled fund project must prepare and submit a transfer request (FHWA-Form 1575 for State-to-State transfers or FHWA-1576 for State-to-FHWA transfers), and attach a copy of the lead agency’s acceptance memo, to their respective FHWA Division Office for concurrence. A copy of the acceptance memo is available in the project description on the TPF website. If the acceptance memo is not posted, please contact the lead agency for assistance.

Funding Transfers

A spreadsheet showing the status of all funding transfers received by the FHWA in Washington, D.C., is provided their Office of the Chief Financial Officer (OCFO) on a weekly basis (Monday morning) and posted in the Tools section of the TPF website, located on the right-hand side of your screen. If the transfer is not evident in the report, it has not been received by the OCFO, and you should follow up with the contributing organization.

PAY.gov Receipts

Please contact the Financial Manager in the applicable FHWA Program office for the status of PAY.gov payments to an FHWA-led project.

No; there is no general minimum contribution required for pooled fund projects. However, it is suggested that the lead agency specify a minimum contribution in their solicitation based on the estimated cost of the project and the anticipated number of potential partners.

In deciding to propose a minimum contribution for new studies, lead agencies should not only keep in mind the funding needs of the project, but also the potential partners’ ability to pay (e.g., States with smaller research budgets). Potential partners who are unable to meet the minimum funding requirements of the proposed project, but are interested in participating may contact the lead agency contact to discuss the possibility of contributing a smaller amount that’s in line with their budget.

No. Although typical partner contributions are monetary, some studies may require other resources (e.g., equipment, lab facilities, test roadway, etc.) and expertise that would be beneficial to the project. Potential partners who are interested in offering an alternative contribution should contact the lead agency to discuss options that might fit the needs of the project.

Project Initiation

Once the required level of funding commitments has been reached, the lead agency must log onto the TPF website and change the option “Sufficient Commitments Received” to YES. This action will trigger a notice that is sent to the TPF Program Manager indicating that you are ready to advance the solicitation to an active pooled fund project.

Within three business days, you will be contacted by the TPF Program Manager to establish the project and assign a project number. Once the project number is assigned, the lead agency must prepare an acceptance memo, indicating their acceptance of the role of Lead Entity and agreeing to receive partner contributions. The acceptance memo must be posted on the TPF website as part of the project information. Sample acceptance memo’s can be found on pages 60-61 of the TPF Program Procedures Manual (Final Draft: April 2010).

Project Invoicing

RASPS or Current Billing

If the funds within the project have been transferred to the lead agency under the new pooled fund transfer process, invoices for State-led projects can be paid through RASPS or current billing. Note: If you’re uncertain as to whether or not the funds within the project have been reconciled, please contact the TPF Program Manager for assistance.

PR-20 Voucher

If the funds within the project have not yet been transferred to the lead agency under the new pooled fund transfer process, a State DOT serving as the lead of a pooled fund project should submit the form PR-20, “Voucher for Work Performed under Provisions of the Federal Aid and Federal Highway Acts, as Amended” to their local FHWA Division office for processing and payment. This form is available through your local FHWA Division Office. **Note, when submitting the PR-20 voucher, please ensure that the project’s quarterly report for the specified period of performance is posted on the TPF website. If the project’s quarterly report is not posted on the TPF website, processing of the voucher will be delayed.

Additional information regarding invoicing can be found in Chapter 16 of the TPF Program Procedures Manual (Final Draft: April 2010).

State DOT

A State DOT should send the PR-20 voucher to your local Division Office for approval and processing. Questions regarding the status of payment for a PR-20 voucher should be directed to your local FHWA Division office.

Local FHWA Division office

The local FHWA Division office will certify the availability of funds and then submit the PR-20 voucher to the following e-mail address for further processing and payment: 9-AMC-AMZ-FHWA-RASPS@faa.gov.

Project Quarterly Reporting

It is the responsibility of the lead agency to keep their partners informed of the progress of the project. The lead agency, on a quarter calendar basis, will provide an update of the project’s progress by posting a quarterly report on the TPF website. These periodic reports are integral to successful communication with project partners about the progress within the project and to communicate with the transportation community at large about research in progress. Report information may be password protected if the project is of a confidential nature.

The quarterly reporting schedule is as follows (period of performance is in parenthesis):

• Due: April 30 (January – March)
• Due: July 31 (April – June)
• Due: October 31 (July – September)
• Due: January 31 (October – December)

Recently, the quarterly reporting form has been standardized for use by the lead agency of pooled fund projects. The new form in Word or PDF can be found by clicking on “Forms” which is located in the top toolbar.

Project Close Out

1. If the funds within the project have not been transferred to the lead agency under the new pooled fund transfer process:
1. Confirm that all project-related bills have been paid and no additional invoices will be submitted.
2. Post the project’s final report on the TPF website
3. Log onto the TPF website and update the status of the project to “Objectives Fulfilled.”
4. Compile the financial records related to the project that outlines its expenditures. Be prepared to present this information to the FHWA Office of the CFO (OCFO) upon request.
5. Upon receipt of the final funding reconciliation spreadsheet from the OCFO, provide your confirmation them that the information is correct.
6. 6.g. An official closeout memo and funding spreadsheet will be issued by Debra Elston, Director; Office of Corporate Research, Technology and Innovation Management indicating that the project is officially closed, as well as the amount of funds (if any) that may be deobligated by each project partner. Upon receipt of the memo, you may consider the project officially closed.
2. If the funds within the project have been transferred to the lead agency in their entirety, under the new pooled fund transfer process:
1. Confirm that all project-related bills have been paid and no additional invoices will be submitted.
2. Post the project’s final report on the TPF website.
3. Log onto the TPF website and update the status of the project to “Objectives Fulfilled.”
4. Submit notification to the TPF Program Manager, formally acknowledging the completion of the pooled fund project. The notification must specifically state that that the work on the project is completed and can be identified as “closed” on the TPF website. The notification may be sent via e-mail to the TPF Program Manager.
5. Complete a funding reconciliation of the project’s financial records that outlines the receipt of funds from each project partner, expenditures and unobligated balances. The results of the funding reconciliation should be outlined in a spreadsheet similar to the FHWA funding reconciliation spreadsheet. An example of the FHWA funding reconciliation spreadsheet is provided in the “Forms” section of the TPF website’s toolbar.
6. Upon receipt of the close out memo from Debra Elston, Director; Office of Corporate Research, Technology and Innovation Management, the lead agency is to complete a transfer form FHWA-1575 for each project partner, and use this information to return (proportionally) any funds that are remaining.
7. Submit each form FHWA-1575 to your local FHWA Division office for processing. You may check the status of each transfer via the Funding Transfer Spreadsheet that’s located in the Tools section of the TPF website, on the right hand side of your screen. This spreadsheet is updated on a weekly (Monday) basis.
8. The project is now officially closed.