Detailed Information on the
Federal Transit Administration - Formula Grant Programs Assessment

Administration will work with FTA to evaluate ways to improve national ridership rates.

FTA implemented several new initiatives to promote ridership and recognize transit agencies that developed innovative and successful programs to increase ridership. In 2007, FTA formally recognized 12 transit agencies that experienced the highest growth in ridership as a result of implementing changes in their fare structures, operations, marketing, partnerships, or service coverage.

Measure: Ridership - Average percent change in transit boardings per transit market (150 largest transit agencies), adjusted for changes in employment levels. The ridership target was revised FY 2005 to 1.0 percent, based on the results of two years of data (FY 2003 and FY 2004) with the new measure.

Explanation:This measure is geared towards increasing transit ridership in every community, while recognizing the impact of economic conditions on ridership. However, for ease of calculation, the goal is based on the 150 largest systems, which carry the bulk of the riders.

Measure: Accessibility - Increase the percentage of bus fleet that are ADA compliant (lift-equipped, ramp-equipped, or low floor).

Explanation:This measure is aimed at increasing the accessibility of all Americans to public transportation. The measure is to have 100 percent of the bus fleet ADA compliant (lift equipped, ramp equipped, or low floor) by 2006.

Measure: Accessibility - Increase the percentage of key rail stations that are ADA compliant. The remaining key rail stations tend to be those that require the most significant amount of work, to comply witih the ADA. As a result, more time will be required to complete the necessary modifications. The virtually flat level of growth in the percentage of key stations made accessible between 2003 and 2004 reflected these realities and led FTA to lower its previous projection for achieving full key station accessibility beyond FY 2004.

Explanation:The measure is aimed at increasing the accessibility of all American's to public transportation. In 1996, only 19% of the 690 key rail stations in 33 systems were accessible. FTA has made significant progress in the last five years but as older rail systems begin to address their ADA compliance, FTA believes they will require more complex and costly modifications. Even so, FTA believes the other 147 stations,which were subject to Voluntary Compliance Agreements due to the extraordinarily expensive structural modifications will be compliant by 2020.

Measure: Condition - Stabilize and improve the condition of bus fleet which is measured using a scale of 1 (poor), 2 (marginal), 3 (fair), 4 (good), and 5 (excellent).

Explanation:This measure is aimed at improving the transportation infrastructure, which will improve service, ridership and other factors that determine mobility. Our primary goal is not to allow the condition of the bus fleet to slip below "fair" or 3 on the scale. We hope to achieve this by setting an annual goal that moves the condition up the fair range to 3.24. However, to reach the level of 4 (good), would require a substantial increase in the Federal investment.

Measure: Condition - Stabilize and improve the condition of rail fleet which is measured using a scale of 1 (poor), 2 (marginal), 3 (fair), 4 (good), and 5 (excellent).

Explanation:This measure is aimed at improving the transportation infrastructure, which will improve service, ridership and other factors that determine mobility. Our primary goal is not to allow the condition of the rail fleet slip below "fair" or 3 on the scale. We hope to achieve this by setting an annual goal that moves the condition up to the "fair" range to 3.55. However, to reach the level of 4 (good) would require a substantial increase in the Federal investment.

Measure: Grants Processing - Percentage of transit grants obligated within 60 days after submission of a completed application.

Explanation:This measure is aimed at reducing the time to obligate transit grants, so that they can spend the funds necessary to improve the condition and accessibility of the transit system, which helps improve ridership.

Measure: Average number of days to complete grant processing after the submission of a completed application

Explanation:

Is the program purpose clear?

Explanation: The Section 5307 Urbanized Area and Section 5309 Fixed Guideway Modernization Formula Programs provide capital and limited operating assistance to maintain and improve public transit service and infrastructure in urbanized areas, as designated by the US Census.

Evidence: 49 U.S.C. 5307(b)(1) 49 U.S.C. 5309(a)(1)(E)Sec. 5309. FTA Circular 9030.1C, October 1, 1998 'Urbanized Area Formula Program: Grant Application Instructions'FTA Circular 9300.1A October 1, 1998 'Capital Program: Grant Application Instructions'; Chapter IV 'Fixed Guideway Modernization'IV.2. Eligible Projects.Program Summary Fact Sheets ' www.fta.dot.gov

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

Explanation: Transit plays a vital role in the nation's public transportation infrastructure system. With approximately 9 billion boardings annually, transit moves people to jobs and other destinations, and helps to relieve road congestion and air pollution in urbanized areas as well as reducing the nation's reliance on foreign oil. Transit provides a lifeline for persons with disabilities, the elderly, and low-income individuals without automobile transportation. Most public transit services are not economically sustainable without governmental subsidies to meet capital and operating costs. Nearly half of the combined amounts spent by local, State, and Federal entities on public transportation infrastructure are comprised of funding from FTA. Where transportation services are profitable, they continue to be provided by the private sector.

Evidence: 2002 Conditions and Performance Report 49 U.S.C. 5301(b)(4) 49U.S.C. 5301(b)(5) 49 U.S.C. 5301(b)(7) 49 USC 5301(f)((3) Publication: Conserving Energy and Preserving the Environment: The Role of Public Transportation,' by Robert J. Shapiro, Kevin A. Hassett, and Frank S. Arnold, 2002.

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

Explanation: The Formula Program complements, without duplication, the efforts and responsibilities at the State and local level as well as other Federal transportation programs. Transit operators depend on Federal sources to supplement, not replace, their spending on transit capital investment. The program includes requirements for local grant recipients to encourage private sector participation to the maximum extent feasible and to provide for the coordination of efforts with services from other Federal programs. The FTA Bus and New Starts discretionary programs address capital needs that cannot be met through these two formula programs. FTA also has the lead for coordinating 62 disparate programs under ten Federal agencies, which fund transportation to support client access to human service programs. DOT, DHHS, DOL, and ED recently launched a five-part initiative called 'United We Ride', to improve transportation across programs.

Evidence: 2002 Conditions and Performance Report 49 USC 5306 ' Private Enterprise Participation; 49USC 5307(c) ' coordination with other Federally assisted transportation Coordinating Council on Access and Mobility ' www.fta.dot.govExecutive Order 13330, issued 2/24/2004 'Human Service Transportation Coordination49 USC 5307(e) ' local share requirement. TCRP Research Results Digest, July 2003 ' Number 60: Characteristics of State Funding for Public Transportation 2002

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

Explanation: The current programs are structured to provide a predictable funding source for public transit based on factors that represent relative need. Formula programs promote local priority setting and decision-making. The Section 5307 Urbanized Area and Section 5309 Fixed Guideway Modernization Formula Programs are based on formulas, which rely heavily on population and surrogates for ridership as their base. The formula is calculated annually and is thus able to shift funds automatically to the areas with growing needs.

Evidence: Federal Register/ Vol. 69, No. 28, February 11,2004: FTA Fiscal Year 2004 Apportionments, Allocations and Program Information; NoticeTransferability: 49 USC 5336(f-g) Programming/Planning: Joint Federal Highway Administration (FHWA)/Federal Transit Administration (FTA) regulations, "Planning Assistance and Standards," 23 C.F.R. Part 450 and 49 C.F.R. Part 613 (specifically, Subpart B "Statewide Transportation Planning," and Subpart C Metropolitan Transportation Planning and Programming") Statistical Summaries Report: FY 2003

Is the program effectively targeted, so that resources will reach intended beneficiaries and/or otherwise address the program's purpose directly?

Explanation: All Formula funds are apportioned to the States (for Urbanized Area's (UZA) under 200,000 population) and directly to UZA's over 200,000, according to a statutory formula. Funds are distributed based on relative need and reward efficiency. Fixed Guideway Modernization funds are distributed to UZA's over 200,000 by statutory formula based on Fixed Guideway Factors for segments more than seven years old. The identification of a designated recipient for each UZA ensures that funds apportioned to the urbanized area are distributed according to local priorities and reach the appropriate transit operators in the urbanized area.

Evidence: Program guidance: FTA C 9030.1C and FTA C 9300.1AApportionment formulas: 49 USC 5336(a-c) for S. 5307 and 49 USC 5337 for S. 5309 FGMFederal Register, February 11, 2004. FTA Fiscal Year 2004 Apportionments, Allocations, and Program Information; Notice.Designated Recipient : 49 USC 5307(a)(2)Joint Federal Highway Administration (FHWA)/Federal Transit Administration (FTA) regulations, "Planning Assistance and Standards," 23 C.F.R. Part 450 and 49 C.F.R. Part 613 (specifically, Subpart B "Statewide Transportation Planning," and Subpart C Metropolitan Transportation Planning and Programming").FY 03-04 operating assistance for areas affected by 2000 census: Pub. L 107-232; and Surface Transportation Extension Act to 2003 Surface Transportation Extension Act of 2003.

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: Three FTA performance measures are designed to focus on increased mobility and accessibility for all Americans, and improvement of the transportation infrastructure, an essential element to improving mobility and accessibility. The measures are: Increase by 2 percent annually the average transit passengers (boardings) per transit market (150 largest transit agencies), adjusted for changes in employment levels; achieve 100% accessibility for the bus fleet and key stations by 2006; and stabilize and improve the condition of the bus and rail fleets, so that it does not fall below 3 but increases to and stabilizes at 3.24 and 3.55 respectively, where 3 represents fair on a scale of 1 (poor), 2 (marginal), 3 (fair), 4 (good), and 5 (excellent).

Evidence: DOT Strategic Plan 2003 to 2008, the DOT Strategic Plan for 2000 to 2005, the FTA Strategic Plan for 1998 to 2002 FTA Budget Justification for FY 2005.

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

Explanation: FTA uses a 5-year timeline for achieving its very ambitious targets. The target for ridership is an annual increase of 2% a year, where the average annual increase from 1990 to 2000 was only 0.5%. The transit accessibility measures are to have 100 percent of the bus fleet ADA compliant (lift equipped, ramp equipped or low floor) and 100 percent of the 547 key rail stations ADA compliant by 2006. This goal was established in 1996, when only 63% of the bus fleet and 19% of the key rail stations were accessible, following passage of the ADA in 1990. When the transit condition goal was established in 1999 the bus fleet was at 3.13 and the rail fleet at 3.14, where 3.0 represented a fair condition level. While our goal is to move the condition up the 'fair' range, it would require a substantial increase in the Federal investment to reach the level of 4 (good).

Evidence: Department of Transportation's (DOT) Strategic Plan for 2003 to 2008, DOT Strategic Plan for 2000 to 2005, DOT Performance Plans for FY 2002 and FY 2003, FTA Strategic Plan for 1998 to 2002 FTA Budget Submissions FTA Strategic Business Plan FTA Executive Core Accountabilities, FTA budget justification for FY 2005 DOT FY 2003 Performance and Accountability Report. FTA Performance Plans and budget documents from FY 2002 2002 Conditions and Performance Report.

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 uses annual measures appropriate to each goal that allow us to judge our progress toward goal achievement. For ridership, the annual measure is the same as the long-term goal (a 2% increase per year). For accessibility, the annual measure is incrementally increased in order to achieve 100% by 2006. For condition, the annual measure required slight increases in order to improve and then stabilize the condition of the bus and rail fleets. (See measures tab for the annual goals.)+E27

Evidence: FTA FY 2005 Budget Submission FTA Strategic Business Plan FTA Executive Core Accountabilities

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

Explanation: FTA's baseline is set when the goal is first established and reflects ambitious targets based on the information used to set the goal. The two percent change in ridership is based on a comparison of the prior year's ridership and the current year's ridership. The annual goal is the same as the long-term goal and was based on a ten-year trend (1990-2000) in which ridership increased 2% in only 2 of those years and actually declined in 5 of the years. The bus and key stations use 1996 as the baseline, when only 63 percent of the bus fleet was wheelchair accessible only 19 percent of the 547 of key rail stations were ADA compliant. FTA is approaching full attainment of these accessibility measures, and will be developing new ambitious goals for the next cycle. The current measures for bus and rail fleet condition were established in 2000, replacing 'average age of the bus and rail fleet, as the measure of transit condition with a rating system from 1 (poor) to 5 (excellent). The baseline for bus fleet condition was 3.13 and for rail fleet was 3.14. FTA's goal is to not have the condition of the fleet fall below an 'adequate' level and to move as far up the adequate scale as our financial resources will permit.

Evidence: FTA FY 2005 Budget Submission FTA Strategic Business Plan FTA Executive Core Accountabilities

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: In order to ensure that all partners are committed to working toward our goal, FTA communicates its goals through a number of media, such as speeches and Federal Register and on-line notices and either annually or biannually, reviews each urbanized areas Transportation Improvement Program (TIP). The TIP is the main mechanism that grantees, subgrantees, and units of government (state, regional and local) use to show their commitment to FTA's goals. The TIP is a 3-5 year fiscally constrained plan for expending all surface transportation funds in a given urbanized area, which documents agreements on how the funds will be spent on an annual basis. Criteria for programming the funds must take into account compliance with ADA, upon which the accessibility goal is based. Since ridership is one of the factors used in apportioning formula funds, improvements in ridership are a natural focus for investment decisions. Finally, maintaining and improving the condition of the infrastructure is one of the planning factors considered in preparing the TIP.

Evidence: 23 CFR Part 450.324((g)(7) (TIP requirements on accessibility) Strategic Business Plan ' www.fta.dot.gov Statement of Jennifer L. Dorn, FTA Administrator, before the Committee on Banking, Housing, and Urban Affairs, United States Senate, Hearing on the FY 2005 Budget of FTA, March 25, 2004 Ridership Kit ' www.planning.dot.gov 4/2/04 Ridership Demonstration Announcement- www.fta.dot.gov 2002 and 2003 Federal Register Notice of Apportionments

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: The Conditions and Performance Report is a biennial report to Congress on the state of the transportation industry as a whole but it also provides raw data and trend analysis that support decisions on how well the needs of the transit industry are being met and provides insight into what changes are needed. Furthermore, as part of this report, each year a team of independent engineers from Booz-Allen conducts physical inspections of a national sample of a particular type or types of transits assets. These physical inspections give first hand information on the conditions of transit assets for specific agencies and are used to improve the asset deterioration schedules used by the model, TERM (Transit Economic Requirements Model), which estimates condition levels and future investment requirements. Beginning in FY2005, FTA will establish the parameters for an on-going program evaluation process, including scheduling evaluations for each of FTA's programs.

Evidence: 2002 Conditions and Performance Report Section 502(g) of Title 23, USC and Section 308(e) of Title 49 USC FTA Budget Estimates, FY 2005

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: FTA's budget is performance based on and specifically ties to our annual and long-term goals. In FY 2005, nearly 99 percent of the budget request for Urbanized Area Formula Grants and Fixed Guideway Modernization contribute to the DOT strategic goals of improving mobility and accessibility and improving the condition of the fleet.

Evidence: FY 2005 Budget Submission

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

Explanation: FTA works with transit operators to improve their performance with respect to FTA's ridership goal and gathers information on successful methods to improve ridership. An FTA Web site will provide case studies of successful efforts. Additional transit operators conducted a national 'webanar (on line seminar), in cooperation with APTA, to promote these efforts and encourage implementation. In addition, FTA participates in the Transportation Planning Capacity Building program (TPCB) with FHWA+E41 which is a program of technical assistance and training support services designed to respond to documented deficiencies in the metropolitan planning programs, particularly the Transportation Improvement Program, that support investment decisions for the Section 5307 and 5309 programs. The TPCB supports the development and dissemination of informational materials, training courses, and facilitated peer exchanges focused on topics and grantees with demonstrated need.

Evidence: The TPCB Annual Report documents a variety of statistics that are applicable here including: - the number of training courses delivered and participants, - the number of peer exchanges facilitated, the topics involved, and participants, - the number of website queries to access informational materials, - other similar quantifiable parameters.

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: In accordance with the statute, recipients of FTA urbanized area formula/block grants are required to report under the National Transit Database (NTD) which collects data annually on transit service extent, cost, quality and reliability. Information is used to develop measures of cost efficiency and effectiveness. This data is used by the transit industry for modal comparisons as well as comparisons between individual transit operators. The data is also used in FTA's Transit Economic Requirements Model (TERM) that is used in the development of the DOT Condition and Performance Report to Congress. In addition, data is used to develop the justifications for FTA's annual Congressional Budget Submission.

Evidence: NTD data and an analysis of the data are published annually on FTA's web site, www.fta.dot.gov.www.fhwa.dot.gov/policy/2002cpr

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: FTA uses a variety of performance monitoring systems to both track and enforce cost, schedule and performance results by FTA staff and its grantees. Grantees are required to self-certify they will comply with all applicable Federal requirements at the beginning of each Fiscal Year. Grant agreements and the grantee's program of projects contain costs and schedules that are monitored by FTA through quarterly and annual milestone reports. FTA's triennial review oversight program reviews grantee compliance with both these requirements. Grantees are also subject to annual audits in compliance with the Single Audit Act. Findings related to FTA programs are reviewed to ensure timely resolution. FTA Regional Offices follow up on findings and resolve issues with grantees. The performance of the Regional Offices in closing findings is monitored each month. For FTA's Executive Management Team, executive core accountabilities including ridership and grants management are used to justify performance awards.

Evidence: Grantee findings in the triennial review program are entered in an Oversight Tracking System (OTRAK) computer program. Status of Regional Office progress in closing triennial review findings is reported on FTA internal web site, www.fta.dot.gov, each month as a regional core accountability.FTA's Executive Core Accountabilities:(1) Ridership ' By the end of FY 2004, the average number of transit passenger miles traveled per market (urbanized area) will have increased by 2.0 percent over the previous year, controlling for changes in the economy.(2) Grants Management ' By the end of FY 2004 80 percent of FTA grants will have been obligated within 60 days after submission of a completed application.

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

Explanation: In FY 2003, 92% of Section 5307 grants were obligated within 60 days of receipt of a complete application, with an average processing time of 34 days and 91% of Section 5309 FGM grants were obligated within 60 days of receipt of a complete application, with an average time of 38 days. Section 5307 and Section 5309 Fixed Guideway Modernization (FGM) program funds are available for obligation for a period of four years, including the year of appropriation. Funds not obligated within that period (lapsed funds) are reapportioned for the same program, together with lapsed recoveries and newly appropriated funds, in a subsequent year. On average, only .03% of formula funds lapsed. Eligibility of items and activities included in each grant is determined during FTA's review of the grantee's application and compliance with all Federal requirement is confirmed during the Triennial review process.

Evidence: Table of FY 5307 and 5309 FGM obligations within period of availabilityFY 2003 Grant Processing Report as of 9/30/2003, For Selected ProgramsTriennial Review ' order and guidance

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: In January 2002, FTA determined that improvements in the timeliness of grant processing should be an important component of its effort to be more customer-focused and results-oriented. A long-term performance goal has been established which is also measured annually to document progress. All FTA Executives were accountable for grant processing performance as a core accountability upon which performance awards were based. Other program execution related performance measures included grant closeouts and closing of findings from grantee reviews.

Evidence: The annual performance is contained in the DOT Performance and Accountability Report, and the FTA Budget Justifications TEAM Instructions ' www.ftateamweb.fta.dot.gov Grant Management Guideline ' www.fta.dot.gov Urbanized Area Formula Program ' www.fta.dot.gov

Does the program collaborate and coordinate effectively with related programs?

Explanation: Funding eligibility for the Section 5307 and 5309 programs requires all proposed strategies and projects to be developed through the federally required metropolitan planning process (MPP). This collaborative approach to decision-making ensures consensus and provides a safeguard against duplication of services. There is also strong collaboration between FHWA and FTA on the Congestion Mitigation and Air Quality Improvement (CMAQ) Program. Similarly, flexible funds can be used by local areas to fund projects based on local planning priorities, not on a restrictive definition of program eligibility. Flexible funds include Federal Highway Administration (FHWA) Surface Transportation Program (STP) funds and Congestion Mitigation and Air Quality Improvement Program (CMAQ) and Federal Transit Administration (FTA) Urban Formula Funds. During 2004, FTA, together with DHHS, DOL, and Ed implemented a five-part initiative called 'United We Ride' to promote and facilitate coordination of the 62 human services transportation programs funded across ten Federal agencies.

Evidence: FTA Circular 5010.1C, Chapter 4 www.fta.dot.gov/legal/guidance/circulars

Does the program use strong financial management practices?

Explanation: Both the Section 5307 and 5309 programs utilize the agency's TEAM (Transportation Electronic Award Management) system for management of grant obligations and the ECHO (Electronic Clearing House Operation) system for management of grantee payments to support day-to-day operations. In addition, the FTA has a strong process to review the financial management practices of individual grantees. An on site review of each grantee is conducted every three years. This review, by experienced contractors, includes a review of grantee financial management practices. If significant concerns are uncovered, FTA's financial oversight contractors undertake a detailed financial management system review of the grantee. Action plans have been prepared to address the two material weaknesses raised in the DOT OIG audit of the HTF FY2003 financial statements.

Evidence: FTA Circular 5010.1C, Chapter 4 www.fta.dot.gov/legal/guidance/circulars

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

Explanation: Management deficiencies are generally identified through internal or external audits. A recent DOT-wide OIG audit of Highway Trust Fund FY 2003 Financial Statements identified two weaknesses in FTA related to all of its grant programs. FTA has developed and is implementing action plans addressing the audit findings that will correct and strengthen these areas. With regard to computer security FTA has changed its electronic grant application process (TEAM) to provide better evidence of required sign-offs and by June 30, 2004 will have established an offsite site that can be used in the case of disaster recovery. With regard to the Single Audit Act, FTA will require our Regional office to track all Single Audit submittals on an annual basis.

Evidence: DOT Highway Trust Fund, Independent Auditor's Report and Financial Statement, September 30, 2003 and 2002, Clifton Gunderson, LLP, CPA and Consultants

Does the program have oversight practices that provide sufficient knowledge of grantee activities?

Explanation: FTA has established a framework for oversight practices that includes an annual grantee risk assessment, the development of oversight recommendations for each grantee, and the assignment of contractors to implement reviews. FTA uses the triennial review process as a general review in which grantees are reviewed on site every three years. Section 11 of the Triennial Review Circular and Section 8 b. of FTA's internal Oversight Reviews Order lists the sanctions that can be used for specific violations. FTA has an array of enforcement tools available to it and has exercised them based on the particular situation and grantee. To supplement these reviews, the annual grantee risk assessment conducted of each grantee by FTA's Regional offices and their staff, establishes specific technical reviews to be conducted of grantees in the areas of financial management, procurement, civil rights, safety and security, etc.

Evidence: The FTA Oversight Order O 5400.1 established the framework for oversight practices. FTA Triennial Reviews Order O 9010.1B provides guidance to FTA staff on the conduct of triennial reviews.

Does the program collect grantee performance data on an annual basis and make it available to the public in a transparent and meaningful manner?

Explanation: Grantee performance data is collected annually through FTA's National Transit Database (NTD). Data is submitted by transit operators and validated through computer checks and by data analysts. Summaries of this data as well as the data itself is posted on an NTD website accessible through the FTA website. An operator transit profile is prepared with performance indicators allowing comparisons to be made to national averages. A number of practitioners and researchers utilize this data. The University of South Florida has made available summaries of the data for use nationwide.

Evidence: The NTD website, www.ntdprogram.com includes Indicators such as operating expense per vehicle revenue mile, operating expense per passenger mile, and passenger trips per vehicle revenue mile are developed by mode.The University of South Florida website, www.nctr.usf.edu, contains easily accessible NTD grantee performance data.

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

Explanation: Based on its annual performance, FTA has demonstrated that, barring unforeseen circumstances, it will meet or exceed its long-term goal to have the bus fleet and the 547 key stations fully accessible by 2006 and to have the condition of the rail fleet stabilized at the level of 3.55. While it will take a concerted effort, we are also likely to stabilize the condition of the bus fleet at or near 3.24. FTA's ridership goal was extremely ambitious and while we may not meet the goal we are moving in the right direction. See Measures Tab.

Evidence: The annual performance is contained in the DOT Performance and Accountability Report, and the FTA Budget Justifications.

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

Explanation: The annual transit ridership goal of 2% has not been met on a national basis, but has been met in specific cities and represents acceptable progress given the ten year trend analysis on which the goal was based. Both the bus and the key rail station targets have been met each year. The target for bus fleet ADA compliance in FY 2003 was 89 percent; the actual performance was 93% of the bus fleet with lift or wheel chair ramp equipped. The FY 2003 performance target for key rail station ADA compliance was 79 percent; actual performance was 82 per cent. The condition of transit is measured using a scale of 1 (poor), 2 (marginal), 3 (fair), 4 (good), and 5 (excellent). Even though the bus fleet has not met the annual targets established, the decline in the condition of the bus fleet has been reversed, and there has been a steady annual increase in the condition of the bus fleet. The annual targets for the condition of the rail fleet have been met each year.

Evidence: The annual performance is contained in the DOT Performance and Accountability Report, and the FTA Budget Justifications.

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

Explanation: The Urbanized Area and Fixed Guideway Formula programs demonstrate improved efficiencies and cost effectiveness in achieving program goals each year through internal management goals that are tied to employee performance evaluations and are focused on grant delivery and administration. In order to achieve the goals, the Formula program must be administrated efficiently and effectively. We have attached data, which shows how we have achieved efficiency in 1) grant obligations per full-time equivalent employee and 2) grants obligated within 60 days after submission of completed applications. Cost effectiveness is demonstrated through assuring grantee compliance with program requirements through 1) timely follow up on triennial review findings and 2) timely closeout of grants over five years old.

Evidence: The annual performance is contained in the DOT Performance and Accountability Report, and the FTA Budget Justifications. Report on Internal Management Performance Metrics for Measuring Improved Efficiencies and Cost Effectiveness, May 2004

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

Explanation: These program funds are used in conjunction with other Federal, state, and local programs which have similar purpose and goals. However, the state and local programs develop their own standards, if any, and we have not found a consistent basis for making comparisons across programs.

Evidence:  

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

Explanation: The Conditions and Performance Report is a biennial report to Congress on the state of the transportation industry as a whole but it also provides raw data and trend analysis that support decisions on how well the needs of the transit industry are being met and provide insight into what changes are needed. Furthermore, as part of this report, each year a team of independent engineers from Booz-Allen conducts physical inspections of a national sample of a particular type or types of transits assets. These physical inspections give first hand information on the conditions of transit assets for specific agencies and are used to improve the asset deterioration schedules used by the model, TERM (Transit Economic Requirements Model), which estimates condition levels and future investment requirements. Beginning in FY 2005, FTA will establish the parameters for an on-going program evaluation process, including scheduling evaluations for each of FTA's programs.

Evidence: 2002 Conditions and Performance Report Section 502(g) of Title 23, USC and Section 308(e) of Title 49 USC FTA Budget Estimates, FY 2005