Frequently Asked Questions for Transportation Pooled Fund Studies
- I have a great idea for a pooled fund study and would like to post a solicitation. How do I make this happen?
- What is the process of organizing a pooled fund study request?
- How long may a solicitation remain posted on the TPF web site?
- Generally speaking, how long does it take to obtain approval for a pooled fund study?
- May private organizations contribute funds to pooled fund studies?
- How do States contribute funds to a pooled fund study?
- Is there a minimum contribution required for pooled fund studies?
- Must all contributions to pooled fund studies be monetary?
- After I submit the funds, how may I verify the receipt of my State's contribution to a pooled fund study?
- What forms should the State use to request reimbursement of funding?
- Where should the PR-20 voucher be sent?
- The study in which my State contributed funding is now complete. May we deobligate the remaining funds and close the study?
- What is the role of the FHWA Technical Liaison?
- How do States keep their partners posted on the progress of studies?
- What are the responsibilities of a lead State?
- What is the role of the Technical Advisory Committee?
- How do I contribute funds to the FHWA lockbox for a study?
- What is the quarterly reporting scheduled for pooled fund studies?
- What is the appropriate format for submitting a quarterly report?
1. I have a great idea for a pooled fund study and would like to post a solicitation. How do I make this happen?
TPF studies must be sponsored by either a State DOT or the FHWA. Within each State DOT and the FHWA, specified individuals are authorized to post a solicitation on the TPF website, www.pooledfund.org; typically, it is the AASHTO Research Advisory Committee member in the State.
Once established, State-led pooled fund studies are usually conducted under contracts awarded in accordance with State acquisition regulations and managed by the lead State. With regard to FHWA-led studies, Federal acquisition regulations will apply, which include considering proposals through a competitive process, before selecting a research contractor to conduct the pooled fund study. States also have the option of asking TRB to administer a study for them.
2. What is the process of organizing a pooled fund study request?
To start the process for a pooled fund study, one should develop a proposal, describing the following:
- What you want to study
- Your planned process
- The estimated costs
- The estimated period of performance
- A study contribution for each participating State
The proposal should indicate who would lead the study (a State or the FHWA) and the lead organization's financial contribution.
Submit proposal and request to establish a pooled fund study and the use of 100% SP&R funding.
State-led: Submit the proposal and request through your local FHWA Division office. The division office will submit the request to William Zaccagnino, FHWA, along with its endorsement of the proposal.
FHWA-led: Submit the proposal and request via e-mail to William Zaccagnino.(William.Zaccagnino@fhwa.dot.gov).
Upon submitting the proposal and request to establish the study, the lead agency may post their pooled fund solicitation on the TPF web site.
3. How long may a solicitation remain posted on the TPF website?
A solicitation may remain posted on the TPF web site for up to 1 year. Sponsors 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. The solicitation withdrawn section of the website contains lists of studies and study descriptions that did not receive sufficient funding to be initiated. This feature is intended as a reference for potential sponsoring agencies of similar research to help them decide whether to pursue the effort.
4. Generally speaking, how long does it take to obtain approval for a pooled fund study?
The process to approve the proposed study and use of 100% SP&R funding typically takes 3-4 weeks. However, a study number will not be assigned until a sufficient level of commitments has been received to cover the estimated cost of the proposed study.
5. May private organizations contribute funds to pooled fund studies?
Whether private organizations may contribute funds to pooled fund studies depends on the rules and regulations of the lead State. For States that allow private company participation, the contributions 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 study.
6. How do States contribute funds to a pooled fund study?
Submission of a commitment to the sponsoring agency is an acknowledgement by a study partner that it will formally obligate funding to the pooled fund study. Commitments are made online at the TPF website. Each federal, state, regional, or local agency will use the obligation forms that are generally used to obligate funds for research, planning, or technology innovation study's that use federal funding sources. This process is the official obligation of funds on behalf of the study partners and the means by which these funds are made available for use for the pooled fund study. States obligate their Federal funds for pooled fund studies through their local FHWA Division offices in the Fiscal Management Information System (FMIS). For private industry, foundations, and colleges/universities, the obligation of private funds will be considered on a case-by-case basis.
7. Is there a minimum contribution required for pooled fund studies?
No. There is no general minimum contribution required for pooled fund studies. Individual sponsoring agencies may note a minimum contribution in their solicitations based on the estimated cost of the study and the anticipated number of partners who will sign onto the project. Some potential partners also find these proposed minimum contributions as a useful guide in making their decisions on whether to participate or not in the study.
In deciding to propose a minimum contribution for new studies, sponsoring agencies should not only keep in mind the funding needs of the project but also potential partners' ability to pay (e.g., States with smaller research budgets). Potential partners who cannot meet the proposed minimum but who are interested in the study should contact the sponsoring agency contact to discuss a smaller contribution that would better fit the potential partner's budget.
8. Must all contributions to pooled fund studies be monetary?
No. Although the typical partner contributions are monetary, some studies may require other resources (e.g., equipment, facilities, test roadway, etc.) and expertise that would be beneficial to conducting the study. Potential partners who want to offer resources other than funds or as a complement to a monetary contribution should contact the sponsoring agency contact to discuss an alternative contribution that might fit the needs of the study.
9. After I submit the funds, how may I verify the receipt of my State's contribution to a pooled fund study?
A report from the FHWA's Fiscal Management Information System (FMIS), is posted monthly on the password-protected area of the website. Additionally, each State may verify the obligation of funds to a pooled fund study through FMIS by contacting their local FHWA Division Office.
10. What forms should the State use to request reimbursement of funding?
States should submit form PR-20, "Voucher for Work Performed Under Provisions of the Federal Aid and Federal Highway Acts, as Amended." This form is available through your local FHWA Division office.
11. Where should the PR-20 voucher be sent?
The PR-20 voucher should be sent to your local FHWA Division Office for approval. The Division Office then submits the voucher to William Zaccagnino at the FHWA's Turner-Fairbank Highway Research Center, to verify satisfactory program progress. After which, the voucher will be forwarded to FHWA Headquarters Finance Division for payment so proper distribution of study expenditures may be made among study partners.
Questions regarding the status of payment for a PR-20 voucher should be directed to your local FHWA Division office, or Mark Tessier (Mark.Tessier@fhwa.dot.gov) of the FHWA Headquarters Finance Division.
12. The study in which my State contributed funding is now complete. May we deobligate the remaining funds and close the study?
When a study is completed, the lead agency must certify that the contractor has fulfilled the terms of the contract by updating the status as "OBJECTIVES FULFILLED" on the pooled fund website. The lead agency must also notify the R&T Contact in their local FHWA Division office of the study's status and indicate that all bills have been paid. The FHWA Finance Division's Reconciliation Team will indicate when the study's financial records have been closed, and instruct the FHWA Division offices to deobligate and return any remaining funds to the participating States. The pooled fund website will then be updated to reflect the status of the study as "CLOSED."
Questions regarding the financial status of a study identified as completed should be referred to your local FHWA office or the Finance Division Reconciliation Team in FHWA's Washington Headquarters. The Washington contact is Jon Yonaitis (Jon.Yonaitis@fhwa.dot.gov), (202) 366-6340.
Important Notice: States should not deobligate funding from any pooled fund study until the FHWA Finance Division Reconciliation Team directs them to do so.
13. What is the role of the FHWA Technical Liaison?
An FHWA Technical Liaison is assigned to each pooled fund study at the initiation of the study. Liaisons give initial feedback on the proposed study and provide technical advice/input as appropriate to the study 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 or in person (as travel funds permit).
14. How do States keep their partners posted on the progress of studies?
It is the responsibility of the lead agency to keep their partners informed of the progress of the study. The lead agency, on a calendar quarter basis, will provide study status and progress reports. These periodic reports are integral to successful communication with study partners about the progress within the study and to communication with the transportation community at large about research in progress. All progress report information, including reports on studies managed by the TRB or FHWA, will be posted on the pooled fund program web site. Report information may be password-protected if the study is of a confidential nature.
15. What are the responsibilities of a lead State?
The lead State performs or contracts for the research and performs the administrative functions of the study. The contracting laws and regulations of the lead State will drive and govern the actual selection process. As the process owner of the study monitoring activities, the lead State must ensure study partners receive all study reports and deliverables in a timely manner. All reports must be made available on the pooled fund website to provide a broad availability of the reports. Additionally, study information maintained on the pooled fund website should be regularly reviewed and updated.
The lead State will front the cost of the research and periodically submit requests for reimbursement of work performed. When doing so, the vouchers must be submitted via the lead State's local FHWA office. It is imperative that the lead State maintain reliable financial records, in the event the records are needed for verification.
Upon the completion of the study, the lead State must inform the FHWA R&T Contact in their local FHWA office and the TPF Manager, and provide written confirmation to the FHWA Division that all bills have been paid, so that remaining funds, if any, can be deobligated.
16. What is the role of the Technical Advisory Committee?
The Technical Advisory Committee (TAC) is a panel of experts that oversees the conduct of the study. The TAC will serve for the duration of the study. The roles of the committee include drafting and approving the study work statement, selecting the best qualified researchers to conduct the study, review of study progress reports and annual reports, acceptance of project deliverables and final reports, and recommending implementation activities.
17. How do I contribute funds to the FHWA lockbox for a study?
Nonfederal contributions to an FHWA-led pooled funds study are to be sent to FHWA’s lockbox as follows:
Funds other than Federal-aid funds may be contributed to an FHWA-led study by sending a check to the FHWA's lock box in Atlanta, GA. Checks are to be made payable to the FHWA and must record the pooled fund study number on the check and accompanying paperwork to ensure the funds are properly credited to the study.
Address of Lock Box:
Federal Highway Administration
P.O. Box 404368
Atlanta, GA 30384-4368
Overnight or Express Mail:
Federal Highway Administration
Lockbox 404368
1075 Loop Road
College Park, GA 30337
Additionally, please provide a notice of the check to the following offices/contacts:
- Lead Agency Contact (See study information for address)
- William Zaccagnino (Federal Highway Administration, Turner-Fairbank Highway Research Center, 6300 Georgetown Pike, routing code: HRTM-2, McLean, VA 22101)
- Chris Shehade, (same as above, routing code: HRRM-1)
18. What is the quarterly reporting scheduled for pooled fund studies?
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)
19. What is the appropriate format for submitting a quarterly report?
There is no required format for submitting quarterly reports. However, many lead agencies prefer to use the one-page design 
for reporting.
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