[Federal Register Volume 63, Number 191 (Friday, October 2, 1998)]
[Notices]
[Pages 53266-53269]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 98-26614]



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Part VI





Department of Transportation





_______________________________________________________________________



Federal Transit Administration



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Joint Partnership Program for Deployment of Innovation; Notice

  Federal Register / Vol. 63, No. 191 / Friday, October 2, 1998 / 
Notices  

[[Page 53266]]



DEPARTMENT OF TRANSPORTATION

Federal Transit Administration


Joint Partnership Program for Deployment of Innovation

AGENCY: Federal Transit Administration (FTA), DOT.

ACTION: Notice.

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SUMMARY: This Notice announces establishment of a new public/private 
Joint Partnership Program for Deployment of Innovation (JPP) in the 
mass transportation industry, describes the statutory bases of the JPP, 
requests comments on the proposed approach, and solicits initial 
proposals for JPP consideration. Section 3015 of the Transportation 
Equity Act for the 21st Century (TEA-21), signed into law by President 
Clinton on June 9, 1998, creates a new Section 5312(d) in Title 49, 
United States Code, which authorizes the Secretary of Transportation to 
enter into grants, contracts, cooperative agreements, and other 
agreements, with competitively selected consortia to promote the early 
deployment of innovation in mass transportation services, management, 
operational practices, or technology that has broad applicability. 
Under the JPP, competitively selected consortia will share costs, 
risks, and rewards of early deployment of innovation in the transit 
environment.

FOR FURTHER INFORMATION CONTACT: Dr. A.M. (Tony) Yen, Deputy Associate 
Administrator for Research, Demonstration and Innovation (TRI-2), at 
(202) 366-0264, or Donald R. Durkee, Acting Director, Office of 
Technology, at (202) 366-0942.

DATE: Proposals (2 copies) must be received by December 1, 1998.

ADDRESSES: Proposals shall be submitted to Donald R. Durkee, Acting 
Director, Office of Technology, (TRI-20), Federal Transit 
Administration, 400 Seventh Street, SW., Room 6429, Washington, DC 
20590 and shall reference JPP.

SUPPLEMENTARY INFORMATION:
    Table of contents
1. Background
2. General Authority
3. Joint Partnership Agreements
4. Definition Of Consortium
5. Financing
6. Technical Areas
7. Selection And Evaluation
8. Industry Consultation
9. Submission of Candidate Proposals
Attachment. List of Federal Transit Administration Regional Offices

1. Background

    The U.S. Department of Transportation has long been recognized as a 
national and international leader in promoting the benefits of 
innovation in all fields of transportation. The Federal Transit 
Administration (FTA), likewise, has been recognized as a leader in 
sponsoring innovation in the field of mass transportation. Evidence of 
FTA's support can be found in all areas, including FTA's Research, 
Planning, Capital and other assistance programs. However, like many 
Federal assistance programs, FTA's leadership in technology 
introduction has been characterized as dealing with other stakeholders 
at arm's-length, under sometimes inflexible policies, procedures and 
practices which emphasize insulation of FTA from technological and 
financial risk. Similarly, Federal intellectual property rules 
governing ownership and access to intellectual property have tended to 
discourage the private sector from investing in FTA supported 
activities.
    Increasingly, however, the benefits of partnering and assignment of 
risk according to ability to best manage and control risk factors have 
been recognized. This has been particularly evident in the FTA's 
efforts to accelerate the deployment of innovation in mass 
transportation. By accepting some share of the financial risks 
involved, FTA has been able to bring significant amounts of new capital 
into the industry. Innovative financing techniques, such as cross-
border leasing, well known in the airline industry, but relatively 
little used in mass transportation, are a prime example. Another 
example is the FTA's Turnkey Demonstration Program. FTA's Joint 
Partnership Program for Deployment of Innovation is intended to further 
develop and institutionalize this trend. In exchange for a greater 
sharing of costs and risks of early deployment of innovation, FTA and 
its partners will also share more equally in the rewards. For example, 
Section 3015 of TEA-21 gives FTA greater flexibility to negotiate terms 
and conditions for a JPP, such as those involving ownership and access 
to intellectual property, than is available under FTA's other research 
and capital programs.

2. General Authority

    Chapter 53 of Title 49, United States Code, Section 5312(d) 
authorizes the Secretary, under terms and conditions that the Secretary 
prescribes, to enter into grants, contracts, cooperative agreements, 
and other agreements with consortia, to promote the early deployment of 
innovation in mass transportation services, management, operational 
practices, or technology that has broad applicability. This program is 
intended to be carried out in consultation with the transit industry by 
merit-based competitively selected consortia that will share costs, 
risks, and rewards of early deployment of innovation.
    3. Joint Partnership Agreements
    Historically, FTA has supported research, development, 
demonstration, and deployment of innovation through the use of grants 
and cooperative agreements. Since 1994, FTA has acted as agent for the 
Defense Advanced Research Projects Agency (DARPA), which pioneered use 
of ``other agreements'' as an alternative to grants and cooperative 
agreements. These ``other agreements'' have proven successful in 
situations where the other funding instruments did not provide 
sufficient flexibility to induce non-government, particularly 
commercial, entities to participate in partnership with the Government. 
FTA sought and received ``other agreement'' authority in TEA-21. In 
selecting from among grants, cooperative agreements and other 
agreements, FTA will select the instrument best suited to the goals and 
objectives of each Joint Partnership Project. Generally speaking, an 
``other agreement'' will be used in those instances where one of the 
more traditional instruments is determined, in consultation with the 
potential partners, to be inappropriate for one or more reasons.
    The Joint Partnership Program transcends all other FTA assistance 
programs. As long as a proposed project meets the statutory 
requirements of both the JPP and the other program (e.g., a Section 
5308 clean fuels program project) it is an eligible candidate for Joint 
Partnership assistance. In many cases, it may be preferable for both 
the recipient and the Government to proceed as partners through use of 
``other agreement'' authority afforded under a JPP to proceed under the 
traditional relationship.

4. Definition of Consortium

    An eligible consortium will be made up of:
    (a) One or more public or private organizations located in the 
United States that provide mass transportation service to the public, 
and one or more businesses of any size incorporated in a State, 
offering goods or services, or willing to offer goods and services, to 
mass transportation operators; and
    (b) as additional members that are public or private research 
organizations

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located in the United States or State or local governmental 
authorities.

5. Financing

    (a) Cost Sharing. Section 5312(d)(3) provides that a consortium 
assisted under the JPP shall provide not less than 50 percent of the 
costs of any joint partnership project. Any business, organization, 
person, or governmental body may contribute funds to a Joint 
Partnership Project. FTA intends to apply the same non-Federal share 
rules to the JPP as apply to other FTA assistance programs in most 
cases. Cash or in-kind contributions applicable to grants and 
cooperative agreements with state and local governments (49 CFR part 
18) or its companion (49 CFR Part 19) applicable to non-profit or 
educational institutions, are acceptable.

    Note: This program is not an independent source of funds. FTA 
funding for JPP projects will come from other eligible funding 
sources including specific annual congressional appropriations.

    (b) Revenue Sharing. To the maximum extent practicable, a portion 
of the revenues resulting from sales of an innovation project funded 
under this program shall be made to the FTA. Such revenues are 
authorized to be used for further funding of the Joint Partnership 
Program. Similarly, FTA would expect all partners to negotiate 
equitable revenue sharing commensurate with their own contributions to 
a project.

6. Technical Emphasis Areas

    (a) Notice. FTA will periodically give public notice of the 
technical areas for which joint partnerships are solicited, required 
qualifications of consortia desiring to participate, the method of 
selection, and evaluation criteria to be used in selecting 
participating consortia and projects, and the process by which 
technology innovation projects will be awarded. Initially, FTA will 
focus on introduction of innovative technologies and related 
innovations, in such areas as Intelligent Transportation Systems, 
magnetic levitation technology, composite materials as applied to 
vehicles or facilities, clean fuels, communication based train control, 
energy storage systems (such as batteries, etc.), chemical and 
biological agent detection, other environmentally beneficial propulsion 
technologies, integration software, construction methods, condition 
testing of structures, and vehicle systems and subsystems which appear 
sufficiently advanced as to be ready for deployment in the mass 
transportation industry in the relatively near term, i.e., within five 
years. Other technologies and related innovations which may be expected 
to be ready for deployment further into the future will continue to be 
supported through FTA's other research, development and demonstration 
initiatives. As the Joint Partnership Program develops, consideration 
will be given to partnership projects in mass transportation services, 
management, and operational practices that are not technology based, as 
well.
    (b) Sample Technology Emphasis Areas. Energy Storage Devices. 
Hybrid-electric transit bus designers have identified the need for 
affordable, compact, and light-weight energy storage systems. A hybrid-
electric bus uses an internal combustion engine-generator set in 
combination with an energy storage device to provide for hotel and 
propulsion power requirements over a variety of transit duty cycles. 
The hybrid system is designed such that charging or replacement of the 
energy storage device is only required at a minimum of six year 
intervals. Significant improvements in current hybrid-electric bus 
operating performance and efficiency will be possible with an 
affordable high-power density energy storage system to replace 
conventional battery packs now in use (i.e., lead-acid and nickel-
cadmium). Further development and testing of promising technologies 
such as ultra-capacitors, advanced battery chemistries, advanced 
battery construction such as spiral wound thin film batteries, and 
flywheel technology are potential candidates for hybrid-electric 
transit bus applications.
    Advanced Train Control. Several efforts are underway to develop and 
test Communications-Based Train Control (CBTC) systems to improve 
capacity and safety in rail rapid transit without additions to existing 
infrastructure. CBTC systems have the potential to improve safety at 
grade crossings while minimizing disruption to traffic flow and 
concurrently improve train throughput for commuter and light rail 
systems which operate in dedicated right of way. CBTC systems offer 
great flexibility in operations for schedule adherence and recovery, 
quick turn-around in coupling or decoupling of trains, and ancillary 
functions such as energy management and real-time customer information. 
Additional work is needed to exploit full potential of CBTC systems in 
different rail transit modes.
    Magnetic Levitation. Numerous studies around the world have focused 
on cost and feasibility of high speed (up to 300 mph) Maglev systems. 
Due to increasing metropolitan area traffic congestion, air pollution, 
and relatively stagnant rail technology, there is increasing interest 
in the potential of low speed (less than 50 mph) Maglev technology to 
serve as an alternative to the existing family of rail technologies. 
Low speed Maglev systems might operate in an intracity or city-to-
suburb type of service. Additional tests, evaluation and demonstration 
of components, subsystems, vehicles and systems are needed to bring the 
technology to the point where a reliable revenue service system could 
begin.
    Composites: FTA is interested in further testing and validation of 
the long-term structural integrity, maintainability, and life-cycle 
costs of vehicles manufactured utilizing a composite primary bus 
structure in a transit operating environment. Proposals for two or 
three pre-production quality, light-weight composite, low-floor, heavy-
duty transit buses are solicited. All Joint Partnership Projects must 
contribute to the accomplishment of one or more goals of the FTA 
Strategic Plan through one or more Program Areas of the FTA Research 
and Technology Five-Year Plan. This Plan, developed in consultation 
with the U.S. transit industry and other stakeholders, is specifically 
designed to contribute to accomplishment of the FTA Strategic Plan and 
the U.S. Department of Transportation Strategic Plan.

(c). FTA Strategic Goals

    (1) Safety and Security--Promote the public health and safety by 
working toward the elimination of transit-related deaths, injuries, 
property damage, and the improvement of personal security and property 
protection.
    (2) Mobility and Accessibility--Shape America's future by ensuring 
a transportation system that is accessible, integrated, efficient, and 
offers a flexibility of choice.
    (3) Economic Growth and Trade--Advance America's economic growth 
and competitiveness domestically and internationally through efficient 
and flexible transportation.
    (4) Human and Natural Environment--Protect and enhance communities 
and the natural environment affected by transit.
    (5) Quality Organization--Ensure a quality organization that is 
responsive to employees' needs, empowers its employees, and provides 
excellence in customer service.

(d) FTA Research and Technology Five-Year Plan Program Areas

(1) Safety & Security
    Railroad Grade Crossing Safety
    Information Security
    Crime Prevention and Anti-Terrorism

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(2) Equipment & Infrastructure
    Bus Technology
    Advanced Technology Subsystems
    Small Durable Bus
    Bus Testing
    Fuel Cell Transit Bus
    Hybrid Electric and Electric Vehicle
    Rail Equipment and Systems
    Communication-Based Train Control Systems
    Light Weight Rail Transit Vehicles
    Specialty Guided Technologies
    Civil Infrastructure
    Infrastructure Project Delivery Innovations
    Tunnel Design and Construction
    Transit Station Design
    Advanced Simulation
    Design
    Testing
    Training
    Innovative Financing
(3) Fleet Operations
    Transit Capacity and Quality of Service
    Transit Intelligent Transportation Systems
    Bus Rapid Transit
    Mixed Rail Corridor Operations
(4) Specialized Customer Services
    Welfare to Work
    Accessibility for Persons with Disabilities
    Elderly Services
    Low Density Transportation Services
    Mobility Management
(5) Planning and Policy
    Transportation Institutional Reform
    Multimodal System Evaluation
    Planning Technology
    Sustainable Development
    Livable Communities Initiative
    Smart Growth
    Intermodal Connectivity
(6) Professional Capacity Building
    Attracting a Quality Workforce
    Training a Quality Workforce
    Retraining a Quality Workforce
    Technology Sharing

    (e) FTA Investment Principles. FTA's approach to technology 
investments is guided by several fundamental principles. In making R&D 
investment decisions, FTA will:
     Favor investments that focus on both the short and long 
term, potentially high-payoff activities and outcomes that may not 
occur in the absence of a Federal presence.
     Favor activities that employ merit-based competitive, 
peer-review processes.
     encourage collaborative arrangements with other government 
agencies, transit agencies, industry, academia, non-profit 
organizations, state and local governments, and appropriate overseas/
foreign counterparts.

7. Selection And Evaluation

    (a) Candidate Pools. Joint partnership projects shall be selected 
from two candidate pools: (1) new merit-based competitive proposals, 
and (2) renegotiation of existing assistance agreements previously 
awarded through a merit-based competitive process by either FTA or an 
FTA grant or cooperative agreement recipient.
    (b) Selection Process. FTA envisions a two step selection and 
evaluation system for establishing partnerships with candidates from 
each pool. In step one, proposed projects would be described at a broad 
conceptual level which would be subjected to an initial screening 
process. Sponsors of projects determined by FTA following initial 
screening that warrant further consideration for partnership will be 
invited to submit detailed proposals to include such elements as: 
statements of work, technical risk, benefits to transit, milestones 
associated with accomplishment of specified tasks, financing plans, 
deployment/commercialization plan, etc.
    (1) Initial screening. Proposed projects will be screened by a 
combination of Federal, state, or local officials, and representatives 
of private industry, who will be invited to evaluate proposed candidate 
projects within discrete technological groupings such as ITS, 
propulsion, clean fuels, bus, rail, electronics, etc. The reviewers 
would provide their individual assessments of the relative merits of 
proposed projects against established criteria.
    (2) Final evaluation and selection. Utilizing the information 
provided by the reviewers, FTA will further screen the proposals and 
invite candidates for partnership to submit detailed proposals as a 
basis for negotiation of a JPP agreement.
    (c) Selection Criteria. In screening and selecting partnership 
candidates, FTA will employ the following criteria:
    (1) New Initiatives:

a. Relevance to goals of the FTA Research and Technology Five-Year Plan 
and FTA R&D Investment Criteria
b. Management Capability
c. Technical Expertise
d. Cost and benefits (payback) of proposed work
e. Time to complete test and evaluation of the concept or technology.
f. Realistic probability of achieving production (commercialization)
g. Relative technical and financial risk

    (2) Renegotiation: Deployment of technological innovations 
involving ongoing research, development, and demonstration projects 
awarded through a merit-based competitive process prior to enactment of 
TEA-21, will also be considered for inclusion in the JPP, and will be 
evaluated against the same criteria as new projects.

8. Industry Consultation

    (a) Pre-Proposal Meeting. FTA will hold a pre-proposal meeting with 
interested parties at FTA headquarters in Washington, D.C., on a date 
to be announced. The purpose of the meeting is twofold: (1) to answer 
questions on the program as outlined in this notice, and (2) a 
listening session to receive industry input on how best to refine or 
recast the program to best serve the needs of the transit industry.
    (b) Continuing Consultation. As noted in section 7b(2) above, it is 
intended that proposed projects will be screened by a combination of 
Federal, state, or local officials, and representatives of private 
industry, who will be invited to evaluate proposed candidate projects 
within discrete technological groupings. FTA also intends to utilize 
these and other groups with experience in technology transfer such as 
the Transportation Research Board, and the American Public Transit 
Association, as a resource for continual assessment of the program 
focus and direction.

9. Submission of Candidate Concept Proposals

    FTA is soliciting initial concept proposals for the JPP. These 
preliminary proposals should outline the following In Abbreviated Form: 
(1) overview of the proposed effort, or proposed concept; (2) list of 
partners; (3) state of the technology; (3) work to be performed, (4) 
physical and/or operating characteristics of the innovation; (5) 
development of prototype equipment/process or pilot program; (6) 
project output; (7) schedule; (8) total project cost, including source 
of matching funds (private, non-profit, commercial, Title 49 
discretionary or formula, CMAQ, ITS, etc.); (9) assessment plan; (10) 
relationship to FTA Research and Technology Five-Year Plan program 
areas listed in paragraph 6(c) of this Notice and the FTA investment 
principles listed in paragraph 6(d).
    As previously mentioned, proposals (2 copies) must be received by 
December 1, 1998. Proposals should be sent to the name and address in 
the ``Addresses'' section of this Notice. A copy of the proposal also 
should be sent to the appropriate FTA Regional Office, whose addresses 
are listed at the end of this Notice.


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    Issued On: September 30, 1998.
Gordon J. Linton,
Administrator.
List of FTA Regional Offices
Mr. Richard H. Doyle, Regional Administrator, Region I, Federal Transit 
Administration, Volpe National Transportation Systems Center, Kendall 
Square 55 Broadway, Suite 920, Cambridge, MA 02142-1093, 617-494-2055 
Fax: 617-494-2865
Ms. Letitia A. Thompson, Regional Administrator, Region II, Federal 
Transit Administration, 26 Federal Plaza, Suite 2940, New York, NY 
10278-0194, 212-264-8162 Fax: 212-264-8973
Mr. Sheldon A. Kinbar, Regional Administrator, Region III, Federal 
Transit Administration, 1760 Market Street, Suite 500, Philadelphia, PA 
19103-4124, 215-656-7100 Fax: 215-656-7260
Ms. Susan E. Schruth, Regional Administrator, Region IV, Federal 
Transit Administration, Atlanta Federal Center, 61 Forsyth Street, SW, 
Suite 17T50, Atlanta, GA 30303-8917, 404-562-3500 Fax: 404-562-3505
Mr. Joel P. Ettinger, Regional Administrator, Region V, Federal Transit 
Administration, 200 W Adams Street, Suite 2410, Chicago, IL 60606-5232, 
312-353-2789 Fax: 312-886-0351
Mr. Lee O. Waddleton, Regional Administrator, Region VI, Federal 
Transit Administration, 524 E Lamar Boulevard, Suite 175, Arlington, TX 
76011-3900, 817-860-9663 Fax: 817-860-9437
Mr. Lee O. Waddleton, Acting Regional Administrator, Region VII, 
Federal Transit Administration, 6301 Rockhill Road, Suite 303, Kansas 
City, MO 64131-1117, 816-523-0204 Fax: 816-523-0927
Mr. Louis F. Mraz, Jr., Regional Administrator, Region VIII, Federal 
Transit Administration, Columbine Place, 216 16th Street, Suite 650 
Denver, CO 80202-5120 303-844-3242 Fax: 303-844-4217
Mr. Leslie T. Rogers, Regional Administrator, Region IX, Federal 
Transit Administration, 210 Mission Street, Suite 2210, San Francisco, 
CA 94105-1800, 415-744-3133 Fax: 415-744-2726
Ms. Helen M. Knoll, Regional Administrator, Region X, Federal Transit 
Administration, Jackson Federal Building, 915 2nd Avenue, Suite 3142 
Seattle, WA 98174-1002 206-220-7954 Fax: 206-220-7959

[FR Doc. 98-26614 Filed 10-1-98; 8:45 am]
BILLING CODE 4910-57-U