Curriculum for New State DOT Transit Grant Managers in Administering Federal and State Transit Grants (2014)

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Introduction and How to Use this Curriculum INTRODUCTION AND HOW TO USE THIS CURRICULUM - Page 0-1 INTRODUCTION The public transit divisions within the state departments of transportation (DOTs) manage a variety of federal and state transit programs. The functions needed to administer transit programs at the state level are complex, not well understood outside the state transit arena, and create many challenges for state transit directors, challenges that have increased in recent years. The purpose of this curriculum is to provide state transit directors with a comprehensive resource with which to train new individuals on their staff in Federal Transit Administration (FTA) program management and subrecipient oversight. This curriculum is designed to be used by experienced state DOT transit program personnel who train new staff members, as well as by new staff in a self-study approach. The curriculum covers the FTA requirements for states that administer of the following FTA programs authorized under Moving Ahead for Progress in the 21st Century (MAP-21): • Section 5307 - Small Urbanized Area Formula Grants • Section 5310 - Enhanced Mobility of Seniors and Individuals with Disabilities • Section 5311 - Rural Area Formula Grants • Section 5339 - Bus and Bus Facilities Program A note about information currency: the curriculum covers the FTA requirements for grantees and subrecipients that were in place at the time the final draft of the curriculum was prepared (November 2013). Because detailed or finalized FTA guidance was not yet available on some programs and requirements established under MAP-21, guidance on these items is necessarily limited in this edition and is noted as such. State transit program staff are advised to refer to current FTA circulars and other guidance, since requirements tend to change with each new authorizing legislation and may also change at interim times.

Introduction and How to Use this Curriculum As grouped in the FY2013 SMR workbook, there are 14 knowledge areas in which FTA evaluates state program compliance. Many, but not all, of the SMR knowledge areas align with the 18 knowledge areas in the FY2013 Triennial Review workbook for S. 5307 recipients (and for which states are responsible for oversight of S. 5307 subrecipients). Rather than paralleling the SMR or Triennial Review structures, this curriculum incorporates the FTA knowledge areas in a functional organization, grouping functionally similar areas together when logical. Modules This curriculum is organized into a series of modules and submodules covering all FTA SMR and Triennial Review topic areas, as well as supplemental information that state transit staff should be familiar with. The modules include:1. Introduction to FTA Grants - describes each program and provides a brief introduction to overarching program requirementsthat are addressed in more depth in later modules. This module should be completed before proceeding to other modules.2. Legal Authority and Annual Certifications - addresses subrecipient legal authority, certifications and assurances, suspension/debarment, and lobbying restrictions. 3. Grant Administration - divided intotwo submodules: FTA Grant Administration (addresses state-to-FTA requirements) and Subrecipient Grant Administration. 4. Financial Management - divided into two submodules: FTA Administration (addresses state-to-FTA requirements) and Subrecipient Financial Management. ORGANIZATION OF THE CURRICULUM INTRODUCTION AND HOW TO USE THIS CURRICULUM - Page 0-2

Introduction and How to Use this Curriculum 5. Project Management and Grantee Oversight - covers FTA compliance reviews of states, state reviews of subrecipientcompliance, and project management of facility construction or rehabilitation projects.6. Procurement - divided into four submodules: Introduction; Policies, Process, and History; Disadvantaged Business Enterprise (DBE); and Buy American and Vehicle Requirements. 7. Planning - divided into three submodules: State and Metropolitan Planning; Local Planning; and Public Participation.8. Asset Management - covers real property, equipment, maintenance, and transit asset management planning and reportingrequirements established by MAP-21. 9. Safety and Security - addresses public transit agency safety plans, state safety oversight, public transportation safety certification training program, and more.10. Subrecipient Personnel-Related Issues - divided into three submodules: Equal Employment Opportunity (EEO); Labor Protection/Special Warranty; and Drug and Alcohol Testing and Drug-Free Workplace Act Programs.11. Subrecipient Service Requirements & Restrictions - divided into six submodules: Americans with Disabilities Act (ADA); Title VI; Half-Fare; Ensuring FTA-Funded Services are Open to the Public; Charter Bus; and School Bus.12. Training and Technical Assistance - addresses FTA-required training for subrecipients, building technical capacity ofsubrecipients, and the Rural Transit Assistance Program (RTAP). INTRODUCTION AND HOW TO USE THIS CURRICULUM - Page 0-3

Introduction and How to Use this Curriculum LevelsIn general, for each module, there are three levels of detail: • Level 1 provides summary information that all state transit staff members should be familiar with. Level 1 is intended to be completed first, for all modules in sequence, to provide a brief, initial orientation to all knowledge areas before progressing toLevel 2. Level 1 is formated with green. • Level 2 provides a foundation course with the degree of detail that many state transit staff members will need. Level 2 is intended to be experienced after a new employee has completed Level 1 in all areas, and the first module of Level 2 should becompleted before other modules. At this level, learners are welcome to complete other modules out of sequence to best meettheir individual needs. Level 2 is formatted with blue. • Level 3 provides intensive training for those state transit staff members who need to develop a special expertise in an FTA requirement area with particular complexity. Whether or not an individual needs Level 3 training will depending upon their position’s specific responsibilities. For most modules, Level 3 training needs will be met by another training course to which this curriculum will merely refer, rather than attempt to reinvent a very complex wheel. Level 3 is formatted with orange. Note that not all knowledge areas have three module levels. For knowledge areas that typically do not require special expertise among state transit program staff (e.g., School Bus), Level 3 modules are not included. For the Training and Technical Assistance module, a Level 1 and Level 3 are presented, while Level 2 is not. Also, for some knowledge areas, concepts combined in a single Level 1 module (e.g., Procurement) are broken into multiple Level 2 submodules because of the extensive amount of information covered. A reference table indicating all the modules and levels in the curriculum can be found at the end of this introduction. INTRODUCTION AND HOW TO USE THIS CURRICULUM - Page 0-4

Introduction and How to Use this Curriculum ELEMENTS WITHIN EACH MODULEEach Level 1 module contains:1. A brief overview of the FTA requirements pertaining to this knowledge area2. A list of key concepts addressed in the module 3. Definitions of essential terminology introduced in the module 4. Reasons why state transit staff need to be familiar with the knowledge area5. An introduction to what will be covered in more detail in Level 2Each Level 2 module contains: • Level 1 items 1-4, with definitions of additional terminology when appropriate • Detailed information on FTA requirements pertaining to this knowledge area - with a level of detail corresponding to FTAcirculars • Supplemental notes when appropriate • Tips on how this module relates to other modules • A brief quiz to confirm understanding of key concepts and requirements; an answer key is included as a separate module • Links and contact information for additional resources and reference materialsEach Level 3 module contains: • Referral to the appropriate intensive course(s) (if they exist) developed and conducted by FTA, NTI, TSI, or other federally- funded program. Because these courses are often 3 or more days in classroom training with an expert in the knowledge area,and may require a registration fee, the curriculum will not incorporate these courses except by way of reference and links tothe course registration. INTRODUCTION AND HOW TO USE THIS CURRICULUM - Page 0-5

Introduction and How to Use this Curriculum HOW TO USE THE CURRICULUMIt is recommended that states use this curriculum as a supplement to their own State Management Plans, standard operating procedures, written policies, subrecipient guidance, and any internal staff training already conducted, as well as training that may be available to state program staff from your FTA Regional Office. Level 1 is designed to be able to be used in self-study. However, the curriculum can also be used to conduct individualized training by a mentor, or even classroom training, should a state have several new staff members or wish to collaborate with other states. It is anticipated that Level 2 training will be provided by mentors in some states and through self-study in other states. Classroom training could also be conducted through a conference session for a single knowledge areas or clustering of several Level 2 courses into a full day of classroom training. Where courses exist for training at this level, they will be referenced and, if feasible, incorporated into the curriculum if available and appropriate. The level of detail in this training is comparable to the guidance found in FTA circulars. Level 3 provides no new content; instead, references are made to existing courses in the industry designed to provide more intensive training on specialized areas of expertise. This curriculum is not intended to duplicate some very successful and effective training courses or materials that currently are available within and outside the transit industry. As part of the research leading to the development of this curriculum, the research team compiled and assessed existing courses on the topics covered in the modules (Appendix A). INTRODUCTION AND HOW TO USE THIS CURRICULUM - Page 0-1 INTRODUCTION AND HOW TO USE THIS CURRICULUM - Page 0-1 INTRODUCTION AND HOW TO USE THIS CURRICULUM - Page 0-6

Introduction and How to Use this Curriculum LINKS WITHIN THE DOCUMENT TO ELEMENTS OF THE CURRICULUM Each of the following links moves the learner to an element within the document. Table of Contents First, below is a link to the table of contents for use with a printed curriculum. Table of Contents Introductory Materials Next are introductory materials for before the FTA knowledge areas are presented. Introduction and How to Use this Curriculum—provides information, without the links, in a printer-friendly format. Hiring for Core Skills—This is not actually part of the training curriculum. Rather, it provides guidance to help state DOT transit managers hire new program staff. Answer Key for Level II Quiz Questions—The answers to all of the Level II quizzes can be found in this section. The Modules FTA knowledge area modules can be downloaded as stand-alone modules as well as compiled by level or knowledge area. Compiled by Level of Detail Level I—New state DOT transit staff may want to begin by reviewing this entire file before proceeding on to any Level II modules. Level II Level III INTRODUCTION AND HOW TO USE THIS CURRICULUM - Page 0-7