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

Below is the uncorrected machine-read text of this chapter, intended to provide our own search engines and external engines with highly rich, chapter-representative searchable text of each book. Because it is UNCORRECTED material, please consider the following text as a useful but insufficient proxy for the authoritative book pages.

Module 3.1: Grant Administration ADVANCED COURSES AND IN-DEPTH RESOURCES FTA Region Training Some FTA Regional Offices offer guidance and/or training for their recipients. Examples include: • Region IV State Programs Team “FTA University” classroom training provided at FTA regional meetings approximately every 2 years. An online slide show is available here: http://www.fta.dot.gov/documents/FTA_ALDODT_GDOT_Training_April_2012_FINAL.pdf • Region IV webinars, including recorded webinars on TEAM, Grant Development, and Program Management http://www.fta.dot.gov/region4_12240.html Other FTA Guidance FTA C 5010.1D - “Grant Management Requirements” http://www.fta.dot.gov/legislation_law/12349_8640.html FTA Funding Program Circulars http://www.fta.dot.gov/13716.html FTA TEAM-Web Users Guide http://ftateamweb.fta.dot.gov/static/userguide.html LEVEL III - PAGE III-1

FTA TrAMS Guidance Check www.fta.dot.gov for forthcoming user guidance for TrAMS, FTA’s new web-based Transportation Transit Award and Management system, which is anticipated to replace TEAM beginning in FY 2015. Rural NTD Reporting Information http://www.ntdprogram.gov/ntdprogram/rural.htm NTI Rural NTD Reporting Webinar - not currently offered, but check http://www.ntionline.com/courses/list.php for future NTI offerings related to Rural NTD. Module 3.1: Grant Administration LEVEL III - PAGE III-2

Module 3.2: Financial Management ADVANCED COURSES AND IN-DEPTH RESOURCES FTA Training Some FTA Regional Ofϐices offer guidance and/or training for their recipients. Examples include: • Region IV State Programs Team “FTA University” classroom training provided at FTA regional meetings approximately every 2 years. An online slide show is available here: http://www.fta.dot.gov/documents/FTA_ALDODT_GDOT_Training_April_2012_FINAL.pdf • Region IV webinars, including recorded webinars on TEAM, Grant Development, and Program Management http://www.fta.dot.gov/region4_12240.html FTA Financial Management Oversight Workshop http://www.fta.dot.gov/grants/12899.html • FTA Financial Management Oversight Workshop FY 2013 Powerpoint www.fta.dot.gov/images/content_images/FTA_FMO_Format_3-18-13.pptx Other Courses • Fundamental Financial Management Training for Rural and Small Urban Public Transit Providers, MTAP Course http://scopt.transportation.org/Pages/FundamentalsofPublicTransportation.aspx LEVEL III - PAGE III-3

• Financial Management for Transit Operators, SURTC/NDSU Training-on-Demand Workshop www.surtc.org/training/topics.php?id=4 • Financial Planning in Transportation, NTI Course http://www.ntionline.com/courses/courseinfo.php?id=83 Other Guidance and Resources • FTA C 5010.1D - “Grant Management Requirements” http://www.fta.dot.gov/legislation_law/12349_8640.html • FTA TEAM-Web Users Guide http://ftateamweb.fta.dot.gov/static/userguide.html • FTA TrAMS Guidance Check www.fta.dot.gov for forthcoming user guidance for TrAMS, FTA’s new web-based Transportation Transit Award and Management system, which is anticipated to replace TEAM beginning in FY 2015. • Fundamental Financial Management for Rural and Small Urban Public Transit Providers, MTAP/National RTAP Training Guide http://demopro.nationalrtap.org/emailResource.aspx?design=1&ϐileid=191 Also see recommendations for core skills training on ϔinancial management in the Core Skills and Recruiting module. Module 3.2: Financial Management LEVEL III - PAGE III-4

Module 3.3: Project Management and Grantee Oversight ADVANCED COURSES AND IN-DEPTH RESOURCES Subrecipient Oversight - S.5307/5339 • Triennial Review Workshop. http://www.fta.dot.gov/grants/12897.html • Triennial Review Workshop Workbook. http://www.fta.dot.gov/grants/12897.html Subrecipient Oversight - Other FTA Programs • FTA State Management Review Workshop. http://www.fta.dot.gov/grants/12310_8461.html • State Management Review Workshop Workbook. http://www.fta.dot.gov/grants/12310_8461.html • NCHRP Research Results Digest 341: Compliancy Monitoring Tools. http://www.trb.org/Publications/Blurbs/163185. aspx Project Management • NTI Project Management for Transit Professional. http://www.ntionline.com/courses/courseinfo.php?id=42 • FTA Project Management Oversight Guidance Resources. http://www.fta.dot.gov/grants/13923.html • FTA Quality Management System Guidelines (2012 Update) • FTA Project and Construction Management Guidelines (2011 update) • Construction Project Management Handbook (March 2012) LEVEL III - PAGE III-5

Module 3.4: Procurement ADVANCED COURSES AND IN-DEPTH RESOURCES NTI courses recommended for state transit program managers with SUBRECIPIENT OVERSIGHT RESPONSIBILITIES: Procurement for Small and Medium Transit Systems http://www.ntionline.com/courses/courseinfo.php?id=209 Length: 2 days. Geared toward small and medium transit system administrative staff involved with procurement, state agency representatives, and FTA regional staff. Limited to transit agencies that are recipients of S. 5307 (less than 50 vehicles), S. 5310 or S. 5311 funds. • Highlights FTA procurement requirements • Examines the procurement processes • Provides an overview of best procurement practice in light of FTA requirements Bus Procurement Workshop http://www.ntionline.com/courses/courseinfo.php?id=23 Length: 2 days. Target audience: procurement managers, project managers who work on bus procurements • Highlights FTA procurement requirements • Examines bus procurement processes • Reviews the 2011 APTA Standard Bus Procurement Guidelines document • Provides opportunities for dialog between manufacturers and agencies LEVEL III - PAGE III-6

NTI courses recommended for state transit staff RESPONSIBLE FOR STATE PROCUREMENTS: Procurement Series - I - OrientaƟ on to Transit Procurement http://www.ntionline.com/courses/courseinfo.php?id=21 Length: 3.5 days. First of a four-part series, intended for those currently engaged in procurement for federal-funded transit agencies, contract administrators, project managers, procurement and contracting personnel wishing to improve their skills, transit suppliers, and FTA regional staff who review third-party contracting. Covers: • Procurement “Best Practices” • Teaming and Partnering • Organization of the Procurement Function • Functions and Principles of Procurement • Acquisition Planning • Option Year, Piggy-backing, and Cross-Border Leasing • Writing Speciϐications and Statements of Work • General Contract Provisions • Procurement Integrity • Debrieϐing and Protests • FTA’s Role in the Procurement Process Procurement Series - II - Risk Assessment and Basic Cost or Price Analysis http://www.ntionline.com/courses/courseinfo.php?id=18 Length: 3.5 days. Second of a four-part series. Covers: • Price or Cost Analysis • Effect of Price or Cost Analysis on Types of Contracts • Contract Modiϐications • Determination of Fair and Reasonable Price • Methods of Conducting Cost Comparison • Role Risk Plays in Pricing • Effect of Contract Type on Allocation of Risk • Effect of Speciϐication Type on Risk Allocation • FTA’s Role in the Procurement Process Module 3.4: Procurement LEVEL III - PAGE III-7

Procurement Series - III - RFPs and CompeƟ Ɵ ve Contract NegoƟ aƟ ons http://www.ntionline.com/courses/courseinfo.php?id=16 Length: 3 days. Third of four-part series. Covers: • Acquisition Planning and Strategy • Competitive Proposal Negotiations • Non-Competitive and Emergency Contract Negotiations • Negotiating Architectural/Engineering Service Contracts • Other Negotiated Procurement Methods • Negotiation Skills • Concessions Procurement Series - IV - Contract AdministraƟ on http://www.ntionline.com/courses/courseinfo.php?id=22 Length: 3.5 days. Fourth of four-part series. Covers: • The Contracting Environment • The Contract Administration Team • Proactive Contract Administration • Managing Contractor-Agency Communication • The Inϐluence of Pre-award Activity on Contract Administration • Modifying or Changing the Contract • Contractual Remedies Addressing Performance Issues • Resolution of Disputes • Contract Closeout Disadvantaged Business Enterprise Course http://www.ntionline.com/courses/courseinfo.php?id=9 Length: 3 days. Includes: • Federal requirements regarding DBEs • Setting annual DBE goals • Accounting for and reporting DBE participation • Certiϐication of DBEs • Agency speciϐic DBE requirements • FTA’s role in the DBE process • Disputes and appeals under the DBE requirements Module 3.4: Procurement LEVEL III - PAGE III-8

In-Depth Resources 49 CFR Part 18 Uniform AdministraƟ ve Requirements for Grants and CooperaƟ ve Agreements to State and Local Governments, § 18.36 Procurement http://www.ecfr.gov/cgi-bin/text-idx?c=ecfr&tpl=/ecfrbrowse/Title49/49cfr18_main_02.tpl FTA C 4220.1F - “Third Party ContracƟ ng Guidance” Circular http://www.fta.dot.gov/legislation_law/12349_8641.html FTA Procurement System Self-Assessment Guide http://www.fta.dot.gov/12831_6326.html FTA FY2013 Procurement System Review Workshop Workbook http://www.fta.dot.gov/grants/12900_14157.html Check for updated workbooks on http://www.fta.dot.gov/grants/12900.html FTA Best PracƟ ces Procurement Manual http://www.fta.dot.gov/grants/13054_6037.html Last updated in October 2005; until the next update, this manual should not be regarded as representing current FTA regulations but nonetheless provides useful practices and guidance. APTA Standards Recommended PracƟ ce - The Process of Transit Procurement (March 2013) http://www.apta.com/resources/standards/Documents/APTA-PS-PP-RP-007-13.pdf This recommended practice describes a process for a typical procurement from inception through contract close out and warranty. The major steps in that process are: identify and explore the need; evaluate options and establish need for procurement; select procurement method; develop ϐinal solicitation; execute solicitation; and contract administration. Module 3.4: Procurement LEVEL III - PAGE III-9

APTA Standard Bus Procurement Guidelines RFP (May 2013) http://www.apta.com/resources/standards/Documents/APTA%20Bus%20Procurement%20Guidelines.pdf This document outlines a request for proposals for a negotiated bus procurement contract. A request for proposals is generally used when the scope of work or speciϐication is less well-deϐined. In addition, this type of procurement may be used in cases where the vehicle involves “emerging” technology or there is a requirement to discuss warranty provisions or design considerations. APTA Standards Recommended PracƟ ce - In-Plant InspecƟ on for Bus Procurements (March 2011) http://www.apta.com/resources/standards/Documents/APTA-BTS-II-RP-001-11.pdf This recommended practice establishes recommended minimum bus inspection requirements for new bus inspections and details what speciϐic documentation is required during the bus procurement and manufacturing phase. APTA Standards Technology Terms and CondiƟ ons (June 2011) http://www.apta.com/resources/standards/Documents/APTA-PS-TP-WP-001-11.pdf This document discusses the risks and beneϐits of technology-related terms and conditions which can be included in IT procurement contracts. NaƟ onal RTAP ProcurementPRO http://webbuilder.nationalrtap.org/WebApps/ProcurementPRO.aspx This web-based application guides rural and Tribal grantees and state DOTs through FTA procurement procedures. Using basic project information entered by the user, the program provides the required Federal clauses and certiϐications that must be included in procurement documents. Checklists, guidance, and a template for the procurement ϐile are also provided. Module 3.4: Procurement LEVEL III - PAGE III-10

Module 3.5: State and Metropolitan Planning ADVANCED COURSES AND IN-DEPTH RESOURCES State and Metropolitan Planning • Introduction to Statewide Transportation Planning, NTI http://www.ntionline.com/courses/courseinfo.php?id=78 • Introduction to Metropolitan Transportation Planning, NTI http://www.ntionline.com/courses/courseinfo.php?id=85 • State and Metropolitan Transportation Programming, NTI http://www.ntionline.com/courses/courseinfo.php?id=77 • State and Metropolitan Transportation Programming (Online), NTI http://www.ntionline.com/courses/courseinfo.php?id=218 • FTA Circular 8100.1C, Program Guidance for Metropolitan Planning and State Planning and Research Program Grants http://www.fta.dot.gov/legislation_law/12349.html. Public Involvement in Planning • Public Involvement in Transportation Decision-making, NTI http://www.ntionline.com/courses/courseinfo.php?id=86 LEVEL III - PAGE III-11

Module 3.5: State and Metropolitan Planning • Environmental Justice and Public Participation, SURTC / NDSU “training on demand” workshop http://www.surtc.org/training/topics.php?id=28 • Limited English Proficiency, SURTC / NDSU “training on demand” workshop http://www.surtc.org/training/topics.php?id=29 Environmental Planning • Environmental Impact Assessment Part A: NEPA as a Decision-Making Tool in Planning, NTI / Rutgers Online http://www.ntionline.com/courses/courseinfo.php?id=89 • Environmental Impact Assessment Part B: The Environmental Impact Statement and Related Topics, NTI / Rutgers Online http://www.ntionline.com/courses/courseinfo.php?id=87 • Introduction to Transportation Conformity, NTI http://www.ntionline.com/courses/courseinfo.php?id=84 • Environmental Justice and Public Participation, SURTC / NDSU “training on demand” workshop http://www.surtc.org/training/topics.php?id=28 LEVEL III - PAGE III-12

Module 3.6: Local Planning ADVANCED COURSES AND IN-DEPTH RESOURCES Specialized Transportation Coordination Planning • Managing Community Mobility, NTI. http://www.ntionline.com/courses/courseinfo.php?id=44 • SURTC, NDSU’s Transit Coordination: Finding Coordination Partners and Breaking Down Barriers “Training on Demand” workshop. http://www.surtc.org/training/topics.php?id=5 • TCRP Report 105: Strategies to Increase Coordination of Transportation Services for the Transportation Disadvantaged. http://www.tcrponline.org/PDFDocuments/TCRP_RPT_105.pdf • NCHRP Research Results Digest 331: Preparing Coordinated Transportation Plans: A Guidebook for State Departments of Transportation. http://www.tcrponline.org/PDFDocuments/NCHRP_RRD_331.pdf • TCRP Report 101: Toolkit for Rural Community Coordinated Transportation Services. http://www.tcrponline.org/ PDFDocuments/TCRP_RPT_101.pdf Transit Service Planning • Introduction to Transit Service Planning, NTI. http://www.ntionline.com/courses/courseinfo.php?id=223 • BRT Workshop, NTI. http://ntionline.com/courses/courseinfo.php?id=215 LEVEL III - PAGE III-13

Module 3.6: Local Planning TCRP Resources - The following resources can be ordered or downloaded through www.tcrponline.org: • TCRP Report 70: Guidebook for Change and Innovation at Rural and Small Urban Transit Systems • TCRP Report 101: Toolkit for Rural Community Coordinated Transportation Services • TCRP Report 116: Guidebook for Evaluating, Selecting, and Implementing Suburban Transit Services • TCRP Report 140: A Guide for Planning and Operating Flexible Public Transportation Services • TCRP Report 147: Toolkit for Estimating Demand for Rural Intercity Bus Services • TCRP Report 161: Methods for Forecasting Demand and Quantifying Need for Rural Passenger Transportation: Final Workbook Transit Performance Evaluation • Transit Dollars and Sense: Sound Fiscal Management Using Performance Measures, SURTC / NDSU “training on demand” workshop. http://www.surtc.org/training/topics.php?id=25 TCRP Resources - The following resources can be ordered or downloaded through www.tcrponline.org: • TCRP Report 136: Guidebook for Rural Demand-Response Transportation: Measuring, Assessing, and Improving Performance • TCRP Report 165: Transit Capacity and Quality of Service Manual, 3rd Edition • TCRP Report 88: A Guidebook for Developing a Transit Performance-Measurement System • TCRP Research Results Digest 56: A Summary of TCRP Report 88: A Guidebook for Developing a Transit Performance-Measurement System • TCRP Report 6: Users’ Manual for Assessing Service-Delivery Systems for Rural Passenger Transportation LEVEL III - PAGE III-14

Module 3.6: Local Planning Land Use Planning • Transit-Oriented Development, NTI. http://www.ntionline.com/courses/courseinfo.php?id=82 • Transportation and Land Use, NTI. http://www.ntionline.com/courses/courseinfo.php?id=72 ITS Project/Technology Planning • Implementing Rural Transit Technology, NTI. http://www.ntionline.com/courses/courseinfo.php?id=63 • Systems Engineering for Technology Projects, NTI. http://www.ntionline.com/courses/courseinfo.php?id=67 • Using Regional ITS Architecture(s), NTI. http://www.ntionline.com/courses/courseinfo.php?id=68 • Transit ITS Workshop, NTI. http://www.ntionline.com/courses/courseinfo.php?id=66 • Geographic Information Systems in Transit, UMW. http://www4.uwm.edu/sce/course.cfm?id=5141 LEVEL III - PAGE III-15

ADVANCED COURSES AND IN-DEPTH RESOURCES • Public Involvement in Transportation Decision-making, NTI http://www.ntionline.com/courses/courseinfo.php?id=86 • Public Involvement Techniques for Transportation Decision-Making, FHWA http://www.fhwa.dot.gov/planning/public_involvement/publications/techniques/ • Environmental Justice and Public Participation, SURTC / NDSU “training on demand” workshop http://www.surtc.org/training/topics.php?id=28 • Limited English Proficiency, SURTC / NDSU “training on demand” workshop http://www.surtc.org/training/topics.php?id=29 Module 3.7: Public Participation LEVEL III - PAGE III-16

Module 3.8: Asset Management ADVANCED COURSES AND IN-DEPTH RESOURCES • Introduction to Transit Asset Management, NTI archived webinar http://ntionline.com/courses/courseinfo.php?id=240 • Transit Asset Management Principles for Small Systems, NTI archived webinar http://www.ntionline.com/courses/courseinfo.php?id=250 • Transit Asset Management Principles for Large Bus/Paratransit Systems Webinar, NTI archived webinar http://ntionline.com/courses/courseinfo.php?id=251 • Monitoring and Managing Your Maintenance Program, SURTC / NDSU “training on demand” workshop http://www.surtc.org/training/topics.php?id=15 • Vehicle Maintenance Management and Inspection (VMMI) Certification Training, CTAA http://web1.ctaa.org/webmodules/webarticles/anmviewer.asp?a=37&z=116 LEVEL III - PAGE III-17

Module 3.9: Safety and Security ADVANCED COURSES AND IN-DEPTH RESOURCES • Certified Safety and Security Officer (CSSO) Certification Training, CTAA http://web1.ctaa.org/webmodules/webarticles/anmviewer.asp?a=41&z=116 • Safety, Security and Emergency Management, SURTC / NDSU “training on demand” workshop http://www.surtc.org/training/topics.php?id=30 • TSI Courses related to Transit Safety and Security http://www.tsi.dot.gov/Transit.aspx • NTI Courses related to Workplace Safety and Security http://ntionline.com/courses/list.php?program_id=5 • FTA Safety & Security Publications http://www.fta.dot.gov/TSO/12537.html LEVEL III - PAGE III-18

Module 3.10: Equal Employment Opportunity (EEO) ADVANCED COURSES AND IN-DEPTH RESOURCES • FTA Circular 4704.1 - Equal Employment Opportunity http://www.fta.dot.gov/legislation_law/12349_5951.html • FTA Civil Rights Training Materials http://www.fta.dot.gov/civilrights/12885.html • The department or office in your state government responsible for EEO in state employment LEVEL III - PAGE III-19

Module 3.11: Drug and Alcohol Testing ADVANCED COURSES AND IN-DEPTH RESOURCES • FTA Drug and Alcohol Training. http://transit-safety.fta.dot.gov/DrugAndAlcohol/Training/Default.aspx • FTA Substance Abuse Training Sessions. http://transit-safety.fta.dot.gov/Training/new/CourseDetails.aspx?csid=50 • Annual FTA Drug and Alcohol Program National Conference - register for the next conference and find presentations from the previous conference through the FTA website. http://transit-safety.fta.dot.gov/DrugAndAlcohol/ • FTA Drug and Alcohol Regulation Updates Newsletter. http://transit-safety.fta.dot.gov/DrugAndAlcohol/Newsletters/ Topics.aspx • FTA Implementation Guidelines for Drug and Alcohol Regulations in Mass Transit. http://transit-safety.fta.dot.gov/ Publications/order/singledoc.asp?docid=61 • FTA Drug and Alcohol Publications. http://transit-safety.fta.dot.gov/Publications/order/default.asp LEVEL III - PAGE III-20

Module 3.12: Americans with Disabilities Act (ADA) ADVANCED COURSES AND IN-DEPTH RESOURCES • Understanding ADA, NTI. http://www.ntionline.com/courses/courseinfo.php?id=13 • Paratransit Management & Operations Course, NTI. http://ntionline.com/courses/courseinfo.php?id=12 • Comprehensive ADA Paratransit Eligibility, NTI. http://ntionline.com/courses/courseinfo.php?id=8 • Easter Seals Project ACTION Training. http://www.projectaction.org/Training.aspx (Includes an extensive archive of recorded and transcribed webinars) • Easter Seals Project ACTION Publications. http://www.projectaction.org/ResourcesPublications.aspx • FTA Civil Rights Training Materials. http://www.fta.dot.gov/civilrights/12885.html LEVEL III - PAGE III-21

Module 3.13: Title VI ADVANCED COURSES AND IN-DEPTH RESOURCES • FTA Circular 4702.1B - Title VI. http://www.fta.dot.gov/legislation_law/12349_14792.html • FTA Circular 4703.1 - Environmental Justice. http://www.fta.dot.gov/legislation_law/12349_14740.html • Civil Rights & Title VI – What It Means for Transit Managers & Supervisors, SURTC / NDSU “training on demand” workshop. http://www.surtc.org/training/topics.php?id=27 • Environmental Justice and Public Participation, SURTC / NDSU “training on demand” workshop. http://www.surtc.org/ training/topics.php?id=28 • Limited English Proficiency, SURTC / NDSU “training on demand” workshop. http://www.surtc.org/training/topics. php?id=29 • NCHRP Research Results Digest 340: State DOT Best Practices for Title VI Compliance. http://www.trb.org/Publications/ Blurbs/State_DOT_Best_Practices_for_Title_VI_Compliance_162789.aspx • Reference Materials for State DOT Title VI Compliance: Appendices to NCHRP Research Results Digest 340. http://www. trb.org/Publications/Blurbs/162790.aspx • FTA Civil Rights Training Materials. http://www.fta.dot.gov/civilrights/12885.html LEVEL III - PAGE III-22

Module 3.14: Training and Technical Assistance ADVANCED COURSES AND IN-DEPTH RESOURCES Train-the-Trainer Programs for State DOT Staff who Conduct Subrecipient Training • NTI Annual Transit Trainers’ Workshop. http://www.ntionline.com/courses/courseinfo.php?id=176 • National RTAP Modules with a Train-the-Trainer Component: http://nationalrtap.org/ -Customer Driven Service -Emergency Procedures for Rural Transit Drivers -Essential Skills for Trainers -START Safety Training and Rural Transit • CTAA Passenger Service and Safety (PASS) Trainer and Driver Certification. http://web1.ctaa.org/webmodules/webarticles/anmviewer.asp?a=35&z=116 • Transportation Safety Institute’s Instructors Course in Bus/Paratransit Operator Training. https://tsilearn.dot.gov/pages/course/portal.aspx?courseid=91 Additional Training Resources Relevant for S. 5310, 5311, and Small Urban 5307 Subrecipients • Numerous National RTAP Resources: http://nationalrtap.org/ • CTAA Certification courses: http://web1.ctaa.org/webmodules/webarticles/anmviewer.asp?a=3054&z=116 LEVEL III - PAGE III-23

Module 3.14: Training and Technical Assistance • Other CTAA training courses: http://web1.ctaa.org/webmodules/webarticles//anmviewer.asp?a=3051&z=118 • Small Urban and Rural Transit Center, NDSU: http://www.surtc.org/training/ • Easter Seals Project ACTION: http://www.projectaction.org/ • National Transit Institute: http://ntionline.com/courses/list.php LEVEL III - PAGE III-24