FAQ for Pooled Fund Studies, State Planning and Research Field Handbook

1. I have a great idea for a pooled fund project and plan to convince various state officials to support their state's participation. How do I make this happen?

A study must be proposed by a State or the FHWA to be included in the formal Transportation Pooled Fund Program.

A State would propose the establishment of a pooled fund study to the FHWA [Associate Administrator for Research Development Technology (HRPD-01), Turner-Fairbank Highway Research Center, Federal Highway Administration, 6300 Georgetown Pike, McLean, Virginia 22101]. Part of the process is a review by a knowledgeable FHWA technical staff member and continued involvement of FHWA staff on the Technical Advisory Committee overseeing the study. Once established, State-led pooled fund studies are usually conducted under contracts awarded in accordance with State acquisition regulations and managed by the State.

FHWA uses Federal acquisition regulations, which include considering proposals through a competitive process, before selecting a research contractor to conduct the pooled fund study.

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:

Additionally, if the study will be led by the FHWA, you should indicate the level at which FHWA will be participating.

If you determine that you'd like to initiate the study, the State would send a request to the appropriate FHWA Division Office, who would send a request to the Associate Administrator for Research Development Technology.

3. Generally speaking, how long does it take (start to finish) to obtain approval for a pooled fund project?

The overall process time is within 2-4 weeks.

4. How do States contribute funds to a specific pooled fund project?

States may contribute Federal-aid funds, such as State Planning and Research Program (SPR) funds, by obligating them in FHWA's Fiscal Management Information System (FMIS). Funds are obligated to the project number assigned to the pooled fund study. Pooled fund numbers in the format SPR-2(###) or SPR-3(###) are recorded in FMIS as 0002### or 0003###. Pooled fund numbers in the format TPF-5(###) are recorded in FMIS as TPF5###.

Funds other than Federal-aid funds may be contributed to a study by check sent to FHWA's lockbox. Checks are made payable to Federal Highway Administration and must record the pooled fund study number on the check or accompanying paperwork to ensure the funds are properly credited to the study.

The address of the lockbox is:*

Federal Highway Administration
P.O. Box 100147
Atlanta, GA 30384-0147

*Additionally, please provide a notice of the check to the following offices/contacts:

5. May private organizations contribute funds to pooled fund studies?

One of the main issues to keep in mind with private contributions to pooled fund studies is that we don't want the contributions to 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.

The following is from the Transportation Pooled Fund Program procedures document relative to private contributions:

For private industry, foundations and college/universities the obligation of funds will need to be handled on a case-by-case basis. These organizations may choose to provide their funds directly to the sponsoring agency in accordance with relevant regulatory requirements. If a check is being sent to the FHWA for this purpose, accompanying paperwork should note the formal study number (e.g., SPR-3(123)) and be mailed to Federal Highway Administration, P.O. Box 100147, Atlanta, Georgia 30384-0147.

6. How does an organization other than a State contribute funds to a specific pooled fund project?

Organizations other than States submit contributions to a pooled fund study by sending a check to the FHWA lockbox payable to the Federal Highway Administration. On the check, please indicate the specific pooled fund study number and title. Please send the check to the FHWA's lock box at the following address*:

Federal Highway Administration
P.O. Box 100147
Atlanta, GA 30384-0147

*Additionally, please provide a notice of the check to the following offices/contacts:

9. Once submitted, how would I verify receipt of my State's contribution to a pooled fund study?

Each State may verify the obligation of funds to a pooled fund study through the FHWA's Fiscal Management Information System (FMIS) in its local FHWA Division Office. Lead organizations for a specific pooled fund study may contact the FHWA's Transportation Pooled Fund Program Coordinator, Lisa Williams at (202) 493-3166.

10. Which accounting system should I use for keeping track of these pooled fund studies?

All pooled fund studies are recorded into the FMIS accounting system.

11. The project in which my State contributed funding has been completed.
May we deobligate the remaining funds?

No. Although the tasks of a project have been completed, it may not have been formally closed out with regard to funding. For this reason, participating States should not deobligate funding from a specific study until the FHWA's Office of Budget and Finance directs them to do so.

12. What are the rules for invitational travel related to a pooled fund study?

Invitational travel is decided under the individual pooled fund study more than a general rule. Typically, it is limited to one representative from each State providing funds. If a State wishes to attend a panel meeting, but hasn't contributed to the pooled fund study, the lead State or the partnering States will need to decide whether the non-contributing State's participation in the meeting is necessary or warranted.

Generally, invitational travel may only be used for the first Technical Advisory Committee (TAC) meeting. Beyond that, the lead organization should make some contractual or other provision to pay for travel for TAC members and research related travel. The TAC may set limitations on the amount of funds from the pooled funds that may be used for travel.

13. How does the new numbering system for pooled funds work?

In an effort to alleviate some confusion between State-led and FHWA-led pooled Fund studies, all pooled fund studies will now be numbered with the prefix TPF. This prefix replaces the old "PNF" and "SPR" prefix. The format of pooled fund study projects will be TPFXXXX, where "XXXX" is the actual pooled fund number. All expenses should be vouchered against this number in order to be reimbursed.

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