Curriculum for New State DOT Transit Grant Managers in Administering Federal and State Transit Grants (2014) / Chapter Skim
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Module 2.1: Introduction to FTA Grants KEY CONCEPTS • Introduction to Public Transit • A Brief History of Federal Transit Funding • Regulatory Structure • The Role of the States in FTA Programs • The Programs: S 5307, 5310, 5311, 5339 • FTA Cross-Cutting Requirements IMPORTANCE FOR STATE DOT STAFF FTA provides funding under a variety of formula based and discretionary programs.
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Public Transportation (also called transit, public transit, or mass transit) : deϐined in MAP-21 as "regular, continuing sharedride surface transportation services that are open to the general public or open to a segment of the general public deϐined by age, disability, or low income." The MAP-21 deϐinition also speciϐically excludes Amtrak intercity passenger rail transportation, intercity bus service, charter bus service, school bus service, sightseeing service, courtesy shuttle service for patrons of speciϐic establishments, and intra-terminal or intra-facility shuttle services.
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Historically, the expression mass transit was commonly used as a synonym for public transit, but this expression has fallen out of favor with the emergence of types of specialized public transportation that move relatively small volumes of people. Public transit takes many forms, often referred to in industry jargon as modes, such as local bus service, express bus commuter rail, subway, light rail, bus rapid transit, curb-to-curb paratransit, etc.
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• Paratransit or Demand-Response modes are characterized by the use of passenger automobiles, vans, or small buses powered by diesel, gasoline, battery, or alternative fuel engines contained within the vehicle, which operate on streets and roadways. • Heavy Rail is a mode of transit service (also called metro, subway, rapid transit, or rapid rail)
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• Finally, specialized transportation serves those whose needs are not met by more traditional public transit, including the elderly and individuals with disabilities. The Enhanced Mobility of Seniors and Individuals with Disabilities Program (S.
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Regulatory Structure When a document (or an online curriculum...) starts throwing around terms like "CFR this" or "USC that," it may be tempting to skim ahead.
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The Role of the States in FTA Programs FTA provides funding under a variety of formula based and discretionary programs. As a recipient of program funding, the state is responsible for administering and managing grants in compliance with all relevant federal regulations.
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actual practices, and include the elements outlined in the program circulars [states will soon need to update their SMPs for MAP-21; FTA issued proposed updated circulars for S
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Additionally, some states are designated recipients for large urbanized transit service, and they themselves operate (or contract for the operation of) transit service.
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• Some have National Transit Database (NTD) reporting requirements (S.
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Farebox revenue cannot be used as local match; instead, farebox revenue is deducted from the total project cost to determine operating deϐicit, and federal and local match percentages are applied to this deϐicit rather than the total project cost. Contract revenue (e.g., from human service agencies)
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Module 2.1: Introduction to FTA Grants Who: States or designated recipients: a designated recipient is responsible for administering the program for UZAs over 200,000; some states are responsible for all UZAs between 50,000 and 200,000. Subrecipients are state/local government authorities.
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SecƟ on 5310 – Enhanced Mobility of Seniors and Individuals with DisabiliƟ es For more information, see FTA Circular 9070.1G (proposed)
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SecƟ on 5311 – Formula Grant for Rural Areas For more information, see FTA Circular 9040.1F [not yet up-to-date under MAP-21]
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SecƟ on 5339 – Bus and Bus FaciliƟ es For more information, see FTA Circular 9300.1B [not yet up-to-date under MAP-21]
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Highlights of MAP-21 Program Changes New • Safety Authority (5329) • State of Good Repair Grants (5337)
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FTA Cross-Cuƫ ng Requirements In addition to program-speciϐic requirements, state DOTs and their subrecipients must meet numerous other FTA and federal requirements. These include: • Americans with Disabilities Act (ADA)
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• Disadvantaged Business Enterprises (DBE) - States and subrecipients must create a level playing ϐield on which disadvantaged businesses (i.e., those owned by minorities or women)
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• Procurement - a host of federal requirements and restrictions kick in when FTA funds are used to purchase supplies, equipment, or services. States and subrecipients must have written procurement policies and procedures that meet numerous requirements and provide for full and open competition.
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Recipients of funding under the S 5307 program are subject to these additional speciϐic requirements: • Drug-Free Workplace - States and direct recipients are required to maintain a drug-free workplace for all employees and to have an ongoing drug-free awareness program.
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LINKS/INFO • FTA Circulars. http://www.fta.dot.gov/legislation_law/12349.html.
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KEY CONCEPTS • Subrecipient Legal Authority • Role of the Governing Body and Advisory Committee • Subrecipient Certiϐications and Assurances • Suspension/Debarment • Lobbying Restrictions In addition to having your subrecipients sign their annual certiϐications and assurances, two additional actions are required of you as the state agency -- one dealing with the restrictions on lobbying and another dealing with ensuring that subrecipients are not barred from doing business with the federal government. These are outlined below.
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Lobbying Restrictions • 1989 Byrd Anti-Lobbying Amendment, 31 USC 1352, as amended by the Lobbying Disclosure Act of 1995 • 49 CFR Part 20, "New Restrictions on Lobbying" IMPORTANCE FOR STATE DOT STAFF Establishing that your subrecipients are authorized to receive FTA funds is a critical part of every state's transit program. The certiϐications and assurances are generally handled as part of the state's annual grant application process and are intended to ensure that subrecipients comply with federal regulations as outlined in the FTA Master Agreement.
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S. 5336 to urbanized areas of 200,000 or more in population; or (B)
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SUMMARY OF FTA REQUIREMENTS Subrecipient Legal Authority States are the designated recipient for FTA funds under: • S
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Counsel (signed by their attorney) afϐirming their legal authority.
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The authorized representative of the recipient must make the requisite certiϐications. The person signing the annual certiϐications should be the same person/position/title designated in the transit agency's authorizing resolution.
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Lobbying RestricƟ ons The use of federal funds for lobbying is prohibited. Recipients (and their contractors and subrecipients)
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ensuring that subrecipients ϐile certiϐications and disclosure forms, as well as ϐiling for themselves, and also that subrecipients pass the requirements on to their contractors and subcontractors for awards exceeding $100,000. For both the employees of recipients and others that recipients hire (most likely consultants or trade association representatives)
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SUPPLEMENTAL NOTES The failure to obtain lobbying certiϐications from subrecipients is a widely reported State Management Review and Triennial Review ϐinding. Recipients may also be cited for providing insufϐicient oversight, having an outdated Standard Form LLL, or not including the certiϐication in agreements/procurement solicitations.
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Role of the Governing Body and Advisory Committee • Boards That Perform, National Rural Transit Assistance Program module (2008)
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QUIZ 1. When does FTA require an authorizing resolution to be submitted by a subrecipient to a state?
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4. Suspension and debarment exclusions are limited to procurement transactions.
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KEY CONCEPTS • Interfacing with FTA • Life Cycle of Grant • State Management Plans • Program of Projects • Grant Application Process • Using TEAM-Web • Milestone Progress Reports • National Transit Database • Grant Modiϐications • Grant Close-Out The statutes and regulations governing grants administration and ϐinancial management requirements include: • Federal Transit Laws, Title 49, USC, Ch. 53 • 2 CFR Part 225 (OMB Circular A-87)
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• 49 CFR Part 18, "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments" • 49 CFR Part 630, "Uniform System of Accounts and Records Reporting System" • 51 CFR 552, "Federal Agencies Responsible for Cost Negotiation and Audit of State and Local Government" • Ofϐice of Management and Budget Open Government Directive - Federal Spending Transparency • P.L. 109-282 Federal Funding Accountability and Transparency Act of 2006 Key guidance documents are: • FTA Master Agreement, Sections 4 - 12 • FTA C 5010.1D - Grant Management Requirements • FTA grant program-speciϐic circulars • National Transit Database Reporting Manual (www.ntdprogram.gov)
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States may also be found deϐicient in a SMR if they do not: submit timely, accurate, and complete reports to FTA; reconcile data in MPRs with FFRs; allocate funds during their period of availability; or initiate grant close-out on a timely basis. DEFINITIONS Program of Projects (POP)
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Life Cycle of a Grant Each FTA grant has a life cycle, which is useful to understand before getting into the grants management requirements that apply to various stages of the cycle. An overview of the FTA-to-state grant life cycle is provided in the text box to the right.
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By explaining (among many other subjects) its processes for enforcement, oversight, and technical assistance, the SMP serves as a guide for subrecipients.
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FTA Program POP Development Requirements S
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FTA Program POP Development Requirements S 5311 A state's S
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Once the state receives the notiϐication of grant award, the state executes the grant in TEAM/TrAMS. The electronic execution of the FTA grant agreement signiϐies the grant is active.
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in the POP into standard activity line items (ALIs)
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applicable federal requirements, not all applications to the state may be complete at the time the state forwards its annual program of projects to FTA. To expedite grant award, FTA allows states to separate projects and funds included in its POP into three different categories, depending on how completely the subrecipients have met federal requirements.
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Once funds have been programmed in Category A or B, they should not be reprogrammed as Category C [Note that the 2013 proposed circulars for S
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FTA reporting requirements may vary depending on the size of the grantee, the type of funding, or the amount of funding a grantee receives. FTA uses these reports to monitor grant status and compliance elements, such as: • The purposes of the grant are being achieved; • The project is progressing on time and within budget; • The grantee is demonstrating competence and control in executing the project; • The project meets all program requirements; • Any problems developing that may require FTA resources to resolve.
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5. Actual completion dates for completed milestones.
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If necessary, attachments can accompany FFRs and MPRs by using the "paperclip" feature in TEAM. (TrAMS will also have document upload capability.
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Subrecipients of FTA S 5307 grants submit their NTD reports directly to FTA.
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For changes that affect the budget line items in the grant budget, the grantee will notify FTA by setting up a budget revision in TEAM/ TrAMS. For those changes that only affect the POP (and not the project scope)
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TIPS ON RELATIONSHIPS TO OTHER MODULES This module is very closely related to Subrecipient Grant Administration, FTA Financial Management, and Subrecipient Financial Management. LINKS/INFO • 49 CFR Part 18, "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments." http://www.ecfr.gov • Ofϐice of Management and Budget Open Government Directive - Federal Spending Transparency.
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QUIZ 1. When amending the State Management Plans, for which program(s)
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4. Which of the following compliance elements does FTA use MMRs and FFRs?
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KEY CONCEPTS • Subrecipient Grant Applications • Subrecipient Funding Allocations/Project Selection • Subrecipient Grant Agreements • Subrecipient Reporting and Tracking • Subrecipient Project Close-Out • 49 CFR Part 18, "Uniform Administrative Requirements for Grants and Cooperative Agreements to State and Local Governments" • Ofϐice of Management and Budget Open Government Directive - Federal Spending Transparency • P.L. 109-282 Federal Funding Accountability and Transparency Act of 2006 INTRODUCTION This module addresses FTA grant administration requirements related to allocating funds to subrecipients, subrecipient grant applications and agreements, subrecipient reporting requirements, and project/grant close out when project activity is completed, as well as the state's role in oversight of these requirement areas.
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Key guidance documents are: • FTA Master Agreement • FTA C 5010.1D - Grant Management Requirements (Rev. 1, August 27, 2012)
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SUMMARY OF FTA REQUIREMENTS The Life of a Subrecipient Grant Each FTA grant has a life cycle, which is useful to understand before getting into the grants management requirements that apply to various stages of the cycle. It is also useful to remember that states have two major roles in administering and managing grants: 1)
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Subrecipient Grant ApplicaƟ ons States typically have a subrecipient grant application process for determining which projects should receive FTA grant funding. States develop their own local grant application policies, procedures, formats, and means of submission.
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Subrecipient Funding AllocaƟ ons/Project SelecƟ on State Project SelecƟ on Criteria Each FTA grant program has its own set of requirements related to how states should distribute funds among local projects. Each state determines its own subrecipient funding allocation formulas and project selection criteria for the FTA and state grant programs it administers.
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SecƟ on 5311 When selecting projects for the S 5311 program, states need to: • Provide for fair and equitable distribution of the apportionment in the state, including Indian reservations.
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-at least one percent is used for public transportation security projects (unless all security needs are certiϐied as being met)
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Subrecipient ReporƟ ng and Tracking Each state establishes its own ϐinancial and project progress reports required for its subrecipients, as well as reports on data needed for rural NTD submission. State staff who are responsible for preparing the MPRs and FFRs for FTA should review subrecipient reports to ensure that: • the required local match has been provided, and comes from an allowable source • the expenses for which reimbursement is requested are eligible for funding under the grant/project • the operating data, project progress reports, and accompanying documentation adequately support/justify the amount of reimbursement requested by the subrecipient.
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TIPS ON RELATIONSHIPS TO OTHER MODULES This module is very closely related to FTA Grant Administration, FTA Financial Management, and Subrecipient Financial Management. LINKS/INFO • FTA Circulars.
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KEY CONCEPTS • Budgeting • Accounting • Financial Reporting and Financial Status Reports • Funds Management • Federal Financial Interest in Assets Agreements to State and Local Governments" • 49 CFR Part 630, "Uniform System of Accounts and Records Reporting System" • 51 CFR 552, "Federal Agencies Responsible for Cost Negotiation and Audit of State and Local Government" • Ofϐice of Management and Budget Open Government Directive - Federal Spending Transparency • OMB Circular A-133, "Audits of States, Local Governments, and Non-Proϐit Organizations" INTRODUCTION This module addresses FTA requirements related to how the state manages FTA funds. The state must demonstrate the ability to match and manage FTA grants and expend FTA funds only on eligible activities.
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• P.L. 109-282 Federal Funding Accountability and Transparency Act of 2006 • Single Audit Act Amendment of 1996 Key guidance documents are: • FTA Master Agreement • FTA C 5010.1D - Grant Management Requirements • FTA Grant program-speciϐic circulars • ECHO Web User Manual for FTA and FAA grantees (http://www.fta.dot.gov/documents/ECHO_Web_Grantee_User_Manual_ May_21_2012_version_2.4.pdf)
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a particular scope approved as part of a grant. ALIs under each scope are informational and are used as tools for FTA and the grantee to manage the grant.
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project. State FTA program managers are challenged with developing budgets that address FTA grant requirements while ϐitting into the state's own budgeting processes, and also incorporating subrecipient grant/project budgets into the state's POP.
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1 through September 30 (the federal ϐiscal year)
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the speciϐic grant. The state should have procedures for coordinating the development of and reconciling the data in MPRs and FFRs before submitting them to FTA, and follow these procedures.
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• Reporting terminology used in ϐinancial reports to FTA should be consistent with receipt and expense classiϐications included in the latest approved project. • Federal cash on hand at the end of period (the amount of federal cash receipts not disbursed at the end of the reporting period)
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• Reports are due even when there is no grant activity. • FTA may withhold payment for failure to submit either FFRs or MPRs in a timely manner.
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Program funds remain available to the states for obligation for the number of federal ϐiscal years indicated. A state need not apply for all its funds the year the funds are apportioned, but states must obligate funds before the period of availability ends.
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large urbanized areas; 20 percent to states for small urbanized areas; and 20 percent to the states for rural areas under 50,000 in population. Funds apportioned to small urbanized areas or rural areas may be transferred to projects in large urbanized areas if a state's governor certiϐies that objectives of the S
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timed so as to be in accord only with the actual, immediate cash requirements of the grantee in carrying out the approved project. Before a potential grantee requests funds, it should verify in TEAM that funds are available for the project.
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submission within the ECHO-Web system. The FTA ECHO-Web User Manual provides detailed instructions on using ECHO-Web (http://www.fta.dot.gov/documents/ECHOWebGranteeUserManual.pdf)
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TIPS ON RELATIONSHIPS TO OTHER MODULES This module is very closely related to FTA Grant Administration, Subrecipient Grant Administration, and Subrecipient Financial Management. LINKS/INFO • FTA Circulars.
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1. How frequently must a state submit FFRs and MPRs on open grants?
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INTRODUCTION This module addresses the FTA requirements that subrecipients must comply with related to how grant funds are handled, accounted for, reported, and matched, as well as the state's role in oversight of this requirement area. Prior to reviewing this module, it is recommended that state staff review the following: FTA Grant Administration, Subrecipient Grant Administration, and FTA Financial Management.
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IMPORTANCE FOR STATE DOT STAFF It is important that your subrecipients have the ϐinancial capacity to manage the federal (and state) transit grants that they are awarded by your agency.
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SUMMARY OF FTA REQUIREMENTS Subrecipient Financial Capacity Annually, the state certiϐies to FTA (as part of the annual certiϐications and assurance process) that it and its subrecipients have the ϐinancial capacity to carry out its proposed program of projects.
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and federally recognized Indian tribes. Title 2 CFR Part 230, also known as OMB Circular A–122, establishes cost principles for nonproϐits.
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any state-speciϐic guidelines on how to review subrecipient reimbursement requests/invoices, state FTA program managers or their staff need to cross check what has been requested in the invoice against the supporting documentation provided (such as receipts, expense reports, operating data, etc.) to ensure that: • All required forms and documentation have been submitted, are complete, and the ϐinancial calculations are correct.
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An approved cost allocation plan is required to support the distribution of a subrecipient's indirect costs to the FTA grant program. The cost allocation plan must be approved by FTA or the federal agency that provides the most funding to the subrecipient (referred to as the "cognizant" federal agency)
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All of the local share must come from non-U.S. DOT sources, except for Federal Lands Highway Program funds.
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(without returning the federal share) if the income is used for eligible transit capital and operating expenses.
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Audit Requirements and Review Non-federal entities that expend $500,000 or more in a year in federal awards must have a single or program-speciϐic audit conducted for that year in accordance with the provisions of OMB Circular A-I33, "Audits of States, Local Governments, and Non-Proϐit Organizations," downloadable through http://www.whitehouse.gov/omb/circulars_default. The state must ensure that subrecipients that meet this threshold comply with this requirement.
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• Federal Audit Clearinghouse. http://harvester.census.gov/sac/ QUIZ 1.
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4. A subrecipient is using force account work for a capital grant project with estimated labor costs of $8,000 and estimated total project costs of $12,000.
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KEY CONCEPTS • FTA Compliance Reviews of States • State Reviews of Subrecipient Compliance • Project Management of Facility Construction or Rehabilitation Projects INTRODUCTION This module addresses general requirements and responsibility related to oversight of FTA recipients and subrecipients, as well as the state's responsibility for technical oversight of subrecipient capital projects (covered in the State Management Review workbook in the "Project Management" section)
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State DOTs must ensure the continuous management of FTA funded projects, whether the projects are conducted by the state or by its subrecipients. Management of capital projects requires technical knowledge.
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(K) mobility management consisting of short-range planning and management activities and projects for improving coordination among public transportation and other transportation service providers (excluding operating public transportation services)
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Ofϐice of Oversight and Program Guidance will be divided. Program Guidance will join the Grants Management ofϐice, while Program Oversight will become part of a new parent Ofϐice of Safety & Oversight.]
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• Procurement System Review - Procurement system reviews focus on the state's compliance with federal procurement requirements as detailed in FTA Circular 4220.1F - Third Party Contracting Guidance. State DOTs that operate urban transit systems funded with S
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• Inspection of facilities. • Vehicle inspections.
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Project Management of State-Level Facility ConstrucƟ on and RehabilitaƟ on In many cases, state DOTs contract out for facility construction or facility rehabilitation projects. They must provide technical oversight of the contractor, including regular meetings to review the project status.
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• Contracting a consultant to provide project management oversight. • Reviewing the request for proposals and construction contracts.
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SUPPLEMENTAL NOTES Compliance Monitoring Tools for Subrecipient Oversight An electronic library of monitoring tools is available to assist state transit programs in developing their own monitoring tools for subrecipients. Developed in 2009 and based on the FTA State Management Review Workbook in use at the time, this toolkit was published as National Cooperative Highway Research Program (NCHRP)
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TIPS ON RELATIONSHIPS TO OTHER MODULES • Topic-speciϐic oversight of subrecipients is discussed in many of the modules. • Force account requirements (which FTA includes in the Project Management section of the SMR workbook)
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QUIZ 1. Under NEPA, capital projects that are projected to have minimal to no adverse impact require an Environmental Assessment (EA)
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INTRODUCTION FTA grantees (and subrecipients) use their own procurement procedures that reϐlect applicable state and local laws and regulations, provided that the process ensures competitive procurement and the procedures conform to applicable federal law, including 49 CFR Part 18 (speciϐically Section 18.36)
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KEY CONCEPTS FTA procurement requirements are complex and designed to achieve numerous goals including: • Ensuring consistent and fair approaches to procurement by following written policies and procedures and a code of standards of conduct. • Ensuring cost-efϐicient purchases (requiring an independent cost estimate when planning the purchase, and a cost or price analysis for each purchase)
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IMPORTANCE FOR STATE DOT STAFF States are responsible for establishing and following their own federally-compliant procurement policies and procedures for making their own purchases (or purchases on behalf of subrecipients) , as well as for verifying that subrecipients do this as well.
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purchasing schedule or contract, a joint procurement is not drafted for the purpose of accommodating the needs of other parties that may later choose to participate in the beneϐits of that contract. Recipient: the public or private entity to which FTA awards federal assistance through a grant, cooperative agreement, or other agreement.
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procurement of architectural engineering (A&E) services, and awards to responsible contractors.
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The state is responsible for ensuring that these organizations are aware of and comply with the requirements for procurements funded with FTA funds. FTA considers all metropolitan planning organizations (MPOs)
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• Comply with lobbying requirements. • Comply with piggybacking requirements.
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FTA Guidelines for Monitoring Subrecipient Compliance (Source: 2013 SMR Workbook, pages 5-12 to 5-13) State monitoring of subrecipient compliance with FTA third party contracting requirements requires a review of procurement procedures, either through site visits or a periodic review of written procurement manuals.
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TIPS ON RELATIONSHIPS TO OTHER MODULES Other modules pertaining to procurement include: • Procurement Policies, Process and History • Disadvantaged Business Enterprise (DBE) • Buy America and Vehicle Procurement Requirements Other areas of FTA compliance and various other certiϐications that recipients must sign and pass on to their contractors ("lower tier certiϐications")
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QUIZ 1. Which of the following relationships are subject to FTA procurement requirements?
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INTRODUCTION FTA grantees (and subrecipients) use their own procurement procedures that reϐlect applicable state and local laws and regulations, provided that the process ensures competitive procurement and the procedures conform to applicable federal law, including 49 CFR Part 18 (speciϐically Section 18.36)
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To make best use of funds, it is also important to purchase from vendors who have the capability to deliver the goods or services they promise. Full and Open CompeƟ Ɵ on States and subrecipients must provide qualiϐied vendors fair opportunity to obtain contracted work through full and open competition.
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DEFINITIONS The following are terms that are used throughout this module. Additional deϐinitions for terms used in a speciϐic section of the requirements will be provided in context of that section.
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Lower tier: a subcontract, below a higher-tier or prime contract in the hierarchy of contracts. Option: a unilateral right in a contract by which, for a speciϐied time, a recipient may acquire additional equipment, supplies, or services than originally procured.
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SUMMARY OF FTA REQUIREMENTS Compliance with Federal Requirements as an Overarching Principal Before a subrecipient may use FTA assistance to support the acquisition of property or services, it must comply with all applicable federal laws and regulations, whether or not addressed in the Common Grant Rules. Some of those laws and regulations will affect the third party contractor providing the property or services, or even determine which entities may qualify as a third party contractor.
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WriƩ en Policies and Procedures Subrecipients must have written policies and procedures that ensure full and open competition for FTA -funded procurements. The recipient's procurement procedures are expected to address the following items: • Clear Yet Non-Restrictive Solicitation Descriptions - When a recipient solicits quotes, bids, proposals, etc.
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for acquiring property and determine the more economical alternative. The recipient may use FTA capital assistance to ϐinance the costs of leasing eligible property if leasing is more cost effective than full ownership.
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the recipient seeks to use FTA assistance to support the costs of settlements or other resolutions of protests, disputes, claims, or litigation. FTA has its own appeals process for reviewing protests of a recipient's procurement decisions, after a protester exhausts administrative remedies through the recipient's protest procedures.
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and FTA's latest Master Agreement for a list of applicable requirements. • Other Federal Requirements Affecting the Bidder or Offeror and the Contractor.
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$100,000 (based on the Common Rule threshold for governmental recipients at the time this curriculum was drafted)
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deadline for submission of proposals, publicly advertising the solicitation with enough time for suppliers to respond, soliciting proposals from suppliers, evaluating the proposals received by the deadline, engaging in separate discussions with individual offeror(s) if needed, and awarding the contract to the responsible offeror whose proposal is most advantageous to the recipient's program with price and other factors considered.
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• Force account, which is the recipient's own labor forces and equipment. The use of force account labor is a project management function, rather than a procurement and contract administration function, except in the general sense of the recipient's ability to perform work with its own forces rather than contracting with another entity to acquire the property or services it needs, and the cost implications of the recipient's decision.
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services to facilitate recovery from a major disaster. The recipient must ensure all federal requirements, required clauses, and certiϐications (including Buy America)
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• Debarment and Suspension. Each grantee is required to ensure to the best of its knowledge and belief that none of its principals, afϐiliates, subrecipients, or third party contractors is suspended, debarred, ineligible, or voluntarily excluded from participation in federally assisted transactions or procurements.
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recipient to include a justiϐication for each noncompetitive award. For procurements exceeding the simpliϐied acquisition threshold, a non-governmental recipient must state its reasons for contractor selection, but need not state its reasons for contractor rejection.
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• Non-proϐit Entities. OMB Guidance for Grants and Agreements "Cost Principles for Non-Proϐit Organizations (OMB Circular A-122)
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-In awarding a contract that will include options, FTA expects the recipient to evaluate bids or offers for any option quantities or periods contained in a solicitation if it intends to exercise those options after the contract is awarded. • Before Exercising Options.
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Third-party contracts must include provisions for FTA requirements, and grantees are responsible for ensuring that their contractors and subcontractors comply with applicable requirements. As noted earlier, FTA-required contract provisions are indicated by contract type in Appendix D of FTA C 4220.1F (pages D-1 through D-7)
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-Environmental Justice -Limited English Proϐiciency (LEP) - described under the Title VI module.
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-Compliance with applicable provisions of the Clean Air Act and Clean Water Act, and not using facilities included in the Environmental Protection Agency's "List of Violating Facilities" in any third party contract at any tier exceeding $100,000. -Providing a competitive preference for recycled products (required for governmental recipients)
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From page 255... ...
Financial Assistance Programs," 49 CFR Part 26. DBE requirements are addressed in the DBE module.
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From page 256... ...
• Intelligent Transportation Systems. Intelligent transportation system (ITS)
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or reimburse project costs, or use local share funds for project costs. FTA general interest is indicated via the grant award for the project, "preaward authority" for the project through a Federal Register notice, or a "Letter of No Prejudice" (LONP)
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SUPPLEMENTAL NOTES • States can require their subrecipients to comply with state-speciϐic procurement requirements as well as the FTA requirements. Sources for guidance on how your state's procurement requirements ϐlow through to your state's FTA subrecipients can include the S
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LINKS/INFO • The 2-day NTI course "Procurement for Small and Medium Transit Systems" is recommended for "Level 3" training for state transit program managers with subrecipient oversight responsibilities. • For "Level 3" training for state transit staff responsible for state procurements, the following NTI courses are recommended: -Procurement Series - I - Orientation to Transit Procurement (3.5 days)
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QUIZ 1. Sealed bidding is recommended when factors other than price will be used to decide on the best offer.
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5. What is the dollar threshold at which grantee must check the Excluded Parties Listing System (EPLS)
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KEY CONCEPTS • DBE Program Threshold • DBE Goals • Administrative Requirements (Fostering Small Businesses, Public Participation, Uniform Report, etc.) • Oversight of Subrecipients and Contractors • Certiϐication INTRODUCTION States and their subrecipients must ensure nondiscrimination in the award and administration of DOT-assisted contracts, as described in 49 CFR Part 26.
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From page 263... ...
receive DOT funding if they fail to establish an approved DBE program or overall goal, or if they fail to implement the program in good faith. The recipient's DBE program is incorporated by reference in its certiϐications and assurances.
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Socially and Economically Disadvantaged Individual: US citizens or lawfully admitted permanent residents who are: Black Americans, Hispanic Americans, Native Americans, Asian-Paciϐic Americans, Subcontinent Asian Americans, or women. Individuals can be deemed socially and economically disadvantaged on a case-by-case basis, and additional groups may be designated by the Small Business Administration.
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Policy Statement States must issue a signed and dated policy statement that expresses commitment to the DBE program and outlines its objectives and implementation. This statement must circulate throughout the agency and to DBE and non-DBE contractors.
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U.S. DOT has a national goal that not less than 10 percent of authorized funds are to be expended with DBEs.
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The submission must also estimate the portion of the goal the state expects to meet through race/gender-neutral means (as opposed to race/gender-conscious means)
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From page 268... ...
contracts that have subcontracting possibilities. The goal for a speciϐic contract may be higher or lower than that percentage level of the overall goal, depending on such factors as the type of work involved, the location of the work, and the availability of DBEs for the work of the particular contract.
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From page 269... ...
size that small businesses, including DBEs, can reasonably perform, rather than self performing all the work involved. • Identify alternative acquisition strategies and structuring procurements to facilitate the ability of consortia or joint ventures consisting of small businesses, including DBEs, to compete for and perform prime contracts.
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From page 270... ...
and corrective actions for approval. All others must retain the analyses and corrective actions for three years in case the FTA requests to review them.
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• Ensure that subrecipients exceeding the $250,000 threshold prepare and submit a DBE program, which the state is responsible for reviewing and approving. • Monitor subrecipients requiring a DBE program to ensure that they: -designate a DBELO who has direct, independent access to the subrecipient's CEO concerning DBE matters.
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SUPPLEMENTAL NOTES One of the objectives of the DBE regulations is to help remove barriers to the participation of DBEs in DOT-assisted contracts. However, in some cases, DBE ϐirms may be overconcentrated in a certain ϐield of work to such an extent that they unduly burden the opportunity of non-DBE ϐirms to participate.
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From page 273... ...
• FTA Disadvantaged Business Enterprise Website. http://www.fta.dot.gov/civilrights/12326.html.
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From page 274... ...
3. Which of the following are strategies recommended by FTA to support participation by DBEs and small businesses?
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From page 275... ...
INTRODUCTION Federal funds may not be obligated unless steel, iron, and manufactured products used in FTA funded projects are produced in the United States. Grantees must conduct pre-award and post-delivery audits of purchases of revenue rolling stock (vehicles)
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IMPORTANCE FOR STATE DOT STAFF States are responsible for monitoring that subrecipients establish and follow their own federally-compliant procurement policies and procedures for making purchases. FTA reserves the right to decline to participate in (i.e., deny funding for)
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Manufacturing process means the application of processes to alter the form or function of materials or of elements of the product in a manner adding value and transforming those materials or elements so that they represent a new end product functionally different from that which would result from mere assembly of the elements or materials. Post-delivery: The period during the procurement process beginning with the signing of a formal contract with the selected contractor.
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From page 278... ...
and software and purchases under $100,000. The small purchase limitation is based on the value of the procurement, not the price of the item.
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From page 279... ...
is met) , the proposed ϐinal assembly location, and manufacturing activities that will take place during ϐinal assembly.
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From page 280... ...
CerƟ fi caƟ on of Compliance with Federal Motor Vehicle Safety Standards (FMVSS) When purchasing motor vehicles, 49 CFR 663.41 requires that the grantee: • Obtain, at both the pre-award and post-delivery stages, certiϐication from the manufacturer that the vehicle complies with relevant FMVSS (49 CFR Part 571)
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From page 281... ...
A recipient of FTA capital assistance is responsible for: • Determining whether a vehicle it plans to acquire is subject to the requirements of Part 665, and if it is, how to achieve compliance with those requirements. • Certifying to FTA that any new bus model acquired with ϐinancial assistance from FTA has been tested in accordance with the requirements of Part 665.
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From page 282... ...
FTA requirements that apply to vehicle procurements (including general requirements such as FTA contract clauses, not just vehicle-speciϐic requirements)
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From page 283... ...
• FTA's Best Practices Procurement Manual. http://www.fta.dot.gov/grants/13054_6037.html • FTA Bus Testing web page.
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From page 284... ...
KEY CONCEPTS • Introduction to FTA-Required State and Local Planning Activities and their Inter-Relationships • MPO Planning • Statewide and Nonmetropolitan Planning • State and Regional Public Participation Methods • State Program of Projects • Transit Performance Evaluation INTRODUCTION Transportation planning plays a fundamental role in a state, region, or community's vision for its future. Effective transportation planning includes a comprehensive consideration of possible strategies, an evaluation process that encompasses diverse viewpoints, the collaborative participation of relevant transportation-related agencies and organizations, and open, timely, and meaningful public involvement.
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From page 285... ...
IMPORTANCE FOR STATE DOT STAFF State DOTs must coordinate the statewide planning process with the planning activities of their MPOs, as well as with local ofϐicials and regional organizations responsible for transportation in non-metropolitan areas. Likewise, they must ensure that MPOs carry out the metropolitan planning process in coordination with the statewide process and with "due consideration of other related planning activities within the metropolitan area." State DOTs are also responsible for statewide transit planning and for transit planning efforts in non-urbanized areas, i.e., development of the STIP.
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From page 286... ...
State Planning and Research Program (SPRP) : the federal ϐinancial assistance provided by FTA under S
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From page 287... ...
4) Increase the accessibility and mobility of people and for freight; 5)
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From page 288... ...
Key MPO planning functions include: • Preparing a long-range transportation plan (LRTP) , aka metropolitan transportation plan (MTP)
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From page 289... ...
5. A ϐinancial plan for implementation 6.
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From page 290... ...
Statewide and Nonmetropolitan Planning See 49 USC 5304 (Statewide and Nonmetropolitan Transportation Planning) and 49 USC 5305 (State Planning and Research Program)
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From page 291... ...
The STIP must include the following for each project or project phase: 1. A project description 2.
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From page 292... ...
State and Regional Public ParƟ cipaƟ on Methods Transportation planning is a cooperative process designed to foster involvement by all users of the system, such as businesses, community groups, environmental organizations, the traveling public, freight operators, and the general public, through a proactive public participation process. Both the state and its MPOs have responsibilities regarding public participation while carrying out statewide and metropolitan planning processes (see 23 CFR 450.210 and 450.316 for more details)
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From page 293... ...
• Hold public meetings at convenient and accessible locations and times • Employ visualization techniques to describe proposed plans • Make public information available in electronically accessible formats and means • Demonstrate explicit consideration and response to public input during plan development • Include a process for seeking out and considering the needs of those traditionally underserved by existing transportation systems, such as low- income and minority households • Periodically review the effectiveness of the public involvement process to ensure that it provides full and open access to all interested parties, revising as appropriate The state and the MPO must also consult interested parties when developing or revising the plan itself, allowing at least a 45 day review and comment period before adopting major changes to public involvement procedures. Subrecipients also have public participation requirements that are addressed in the Public Participation and Local Planning modules.
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From page 294... ...
Performance targets must be included in FTA-required plans (the LRTP/MTP, TIP, LRSTP, and STIP) , and should: 1.
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From page 295... ...
QUIZ 1. MPOs are required in urbanized areas with populations of 50,000 or more.
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From page 296... ...
KEY CONCEPTS • Subrecipient Applications/Local POPs • Relationship of Local Application/Local POP to STIP/TIP • Specialized Transportation Coordination • Transit Services Planning • Transit Performance Evaluation • City/County/Regional Planning • Land Use Planning • Planning Requirements for ITS Projects INTRODUCTION Planning can mean different things at different levels of the funding and organizational hierarchy, such as: • Broad-brush multi-year projections of funding needs. • Selecting the optimum location for a new transit center.
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From page 297... ...
transportation plan. State transit staff should be familiar with basic transit service planning and evaluation concepts, to enable them to provide guidance to their subrecipients in planning local services, as well as to evaluate subrecipient services and systems using any state-established performance standards.
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From page 298... ...
DETAILS ON FTA REQUIREMENTS Subrecipient ApplicaƟ ons/Local POPs As noted in the State and Metropolitan Planning module, the state develops its annual POP based on the subrecipient grant applications (as well as the locally developed public transit-human services transportation plans)
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From page 299... ...
Inclusion in the TIP Where local projects exist or are being proposed within an MPO's current planning/study area boundaries (which may include areas that are currently nonurbanized, but are expected to become urbanized within the next 20 years) , the local projects must be included in the MPO's TIP.
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From page 300... ...
Transit Services Planning Transit service planning by individual transit providers often occurs as a result of state DOT requirements. With input from a board of directors and/or a transportation advisory committee, local systems or regional entities develop speciϐic short-term transit plans, sometimes referred to as a transportation development plan (TDP)
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From page 301... ...
transportation plan. Transit Performance EvaluaƟ on As noted in the State and Metropolitan Planning module, MAP-21 legislation requires that states and MPOs establish performance targets to use in tracking progress towards the attainment of critical outcomes, integrating other performance-based plans (e.g., plans developed by subrecipients)
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From page 302... ...
There are a several excellent resources listed at the end of this module for learning more about calculating performance measurements and how to interpret the measures. City/County/Regional Planning Planning at the city and county level involves local elected ofϐicials and local government staff.
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From page 303... ...
Section 5303, 20005(b) of MAP-21 highlights the land use-transportation link with a Transit-Oriented Development Planning (TOD)
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From page 304... ...
What is Regional ITS Architecture? As noted above, FTA-funded ITS projects and programs are also required to be a part of a locally approved Regional ITS Architecture.
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From page 305... ...
TCRP 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 CoordinaƟ on resources: • NTI's Managing Community Mobility course.
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From page 306... ...
Resources on Transit Performance Measurement • SURTC, NDSU's Transit Dollars and Sense: Sound Fiscal Management Using Performance Measures "Training on Demand" workshop. http://www.surtc.org/training/topics.php?
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From page 307... ...
QUIZ 1. Coordinated planning requirements applied to S
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From page 308... ...
KEY CONCEPTS • Program of Projects Public Participation Requirements • Public Participation in the Coordinated Public Transit-Human Services Transportation Planning Process • Public Comment on Fare and Service Changes • Title VI Public Participation Requirements • Public Review and Comment for Capital Projects (Environmental Planning) INTRODUCTION Each applicant for a S
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From page 309... ...
Applicable regulations and guidance: • 49 USC Chapter 53, Federal Transit Laws • FTA proposed Circular 9030.1D, "Urbanized Area Formula Program: Program Guidance and Application Instructions" • FTA proposed Circular 9040.1G, "Formula Grants for Rural Areas: Program Guidance and Application Instructions" • FTA proposed Circular 9070.1G, "Enhanced Mobility of Seniors and Individuals with Disabilities Program Guidance and Application Instructions" • Executive Order 13166 • DOT LEP Guidance • FTA C 4702.1B, Ch. III, Section 8 IMPORTANCE FOR STATE DOT STAFF State DOTs are responsible for ensuring that the state and its subrecipients involve the public in a meaningful way as decisions are made on transit programs, services, and fares.
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From page 310... ...
transportation planning process must include a proactive participation plan that provides complete information, timely public notice, reasonable public access to key decisions, and early and continuing involvement of the public in developing plans and Transportation Improvement Programs (TIPs)
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From page 311... ...
providers, and, as appropriate, local elected ofϐicials, reasonable and adequate opportunity to examine the proposed program and to submit comments on it and on the performance of the grantee. The public notice is published in the general circulation newspaper in the service area of the grantee and should indicate where citizens can examine the proposed program and budget in detail and submit comments on the proposed program and the performance of the grantee.
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From page 312... ...
proposed for S 5311 funding must be a product of the statewide and non-metropolitan transportation planning process and/or the metropolitan planning process speciϐied in 23 CFR part 450 and 49 CFR part 613.
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From page 313... ...
b. Participants in the Metropolitan and Statewide Planning Processes.
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From page 314... ...
state must also ensure that subrecipients follow the process and consider public comment when they raise fares or implement major service reductions. Although FTA only requires this public comment process for S
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From page 315... ...
• Providing opportunities for public participation through means other than written communication, such as personal interviews or use of audio or video recording devices to capture oral comments. The state is responsible for ensuring that subrecipients comply with Title VI requirements.
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From page 316... ...
opportunity to present views was given to all parties having a signiϐicant economic, social, or environmental interest in the project, and that FTA must make a written ϐinding to this effect. FTA notes the public hearing requirements of 49 USC 5323(b)
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From page 317... ...
QUIZ 1. Section 5307 grantees that rely on their own processes to satisfy POP public participation requirements must hold a public hearing to obtain the views of citizens on the proposed POP.
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From page 318... ...
INTRODUCTION States and their subrecipients must maintain control over real property, facilities, and equipment and ensure that they are used in transit service. States and subrecipients must keep federally funded equipment and facilities in good operating condition.
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From page 319... ...
Agency Safety Plan, and the Public Transportation Safety Certiϐication Training Program; Transit Asset Management" (10/3/13) • FTA Draft Circular 9030.1D IMPORTANCE FOR STATE DOT STAFF States are responsible for monitoring the use of FTA-funded real property, facilities, and equipment.
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From page 320... ...
limited non-transit use due to transit operating circumstances. Such use must be compatible with the approved purposes of the project and not interfere with intended public transportation uses of project assets.")
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From page 321... ...
KEY CONCEPTS State of Good Repair Generally speaking, the expression "state of good repair" refers to good, functional condition when describing a transit asset. Several years before MAP-21 was enacted, FTA became aware of a growing problem: the condition of the transit infrastructure in cities and communities across the nation has been deteriorating, which is a major challenge for providing safe and reliable transit services.
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From page 322... ...
Transit asset management planning can be conducted a different levels of complexity/maturity. The most basic kind of a transit asset management plan is an inventory of assets with a condition assessment for each asset.
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From page 323... ...
maintenance needed as well as minimize the risk that a vehicle will become inoperable (resulting in a loss of service) and unsafe (potentially resulting in an accident)
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From page 324... ...
Incidental Use FTA does, however allow limited incidental use of real property (and equipment) for non-transit uses that do not interfere with the intended public transportation uses or the grantee's continuing control over the use of the property, or compromise safety.
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From page 325... ...
Equipment Management and Control Certain management standards apply to FTA-funded equipment, supplies, and rolling stock purchased with federal funds. The state can rely on its own laws and procedures for managing and disposing FTA-funded equipment, and it may use the same procedures for public bodies and private nonproϐit organizations.
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From page 326... ...
Useful Life Standards States are responsible for establishing and implementing useful life standards for vehicles purchased with S 5310, 5311, 5316, or 5317 assistance.
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From page 327... ...
Leasing FTA-Funded Assets FTA-funded assets may be leased to other entities, such as local public bodies or agencies, private nonproϐit organizations, or private for-proϐit operators, if the lessee operates the assets on behalf of the state or subrecipient and provides transportation as described in the grant application for the asset. FTA requires states to exercise control over FTA-funded assets leased by subrecipients to ensure that they are used for project purposes.
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From page 328... ...
• A cross reference to a service agreement. A default under the lease is a default under the service agreement and vice versa.
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From page 329... ...
to ensure that the equipment is maintained in good operating order. Generally, subrecipient agreements require equipment to be maintained in good operating order.
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From page 330... ...
Transit Asset Management Planning and ReporƟ ng Requirements Established by MAP-21 MAP-21 established the following general transit asset management requirements for FTA grantees. The details of these requirements have not yet been determined.
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From page 331... ...
SUPPLEMENTAL NOTES • FTA has developed software to assist with transit asset management, known as Transit Economic Requirements Model Lite ("TERM Lite")
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From page 332... ...
5. set quality of service targets - on-time performance, miles between road calls 6.
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From page 333... ...
QUIZ 1. A 30' medium duty transit bus has been in revenue service for 5 years.
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From page 334... ...
KEY CONCEPTS • Public Transit Agency Safety Plans • State Safety Oversight • Public Transportation Safety Certiϐication Training Program • Funding for Employee Safety Training • Currently Available FTA Guidance • One Percent of S 5307 Funds on Security Projects • Safety-Related Elements in Other FTA Requirements INTRODUCTION Section 5329 of MAP-21 requires that all recipients of FTA funding develop an agency safety plan and certify that the plan meets FTA requirements.
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From page 335... ...
these responsibilities. In the interim, state staff should stay abreast of FTA development of regulations and follow your state's current policies and procedures related to subrecipient safety and security requirements.
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From page 336... ...
Public Transit Agency Safety Plans Within one year after FTA issues a ϐinal rule on the requirement to develop an agency safety plan and certify that the plan meets FTA requirements, each state or recipient of S
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From page 337... ...
MAP-21 also established the requirement for an FTA State Safety Oversight (SSO) Program speciϐically for oversight of rail systems.
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From page 338... ...
o Vehicle Maintenance o Drug and Alcohol Abuse Programs o Safety Data Acquisition and Analysis In addition to these six core elements, enhanced elements are recommended for recipients in urbanized areas. • FTA's Transit Bus Safety Program website provides numerous technical assistance resources for states and subrecipients.
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From page 339... ...
• Civil rights, because recipients of FTA funds must ensure that their emergency preparedness, disaster response, and disaster recovery planning and operations comply with federal civil rights laws, including Title VI of the Civil Rights Act of 1964 and the ADA. SUPPLEMENTAL NOTES • Anticipating the FTA safety requirements for small community transportation providers under MAP-21, the Community Transportation Association of America (CTAA)
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From page 340... ...
TIPS ON RELATIONSHIPS TO OTHER MODULES Safety-related items are addressed in the Drug and Alcohol, Asset Management, and Training and Technical Assistance modules. LINKS/INFO • April 2003 Model Bus Safety and Security Program Memorandum of Understanding-http://scopt.transportation.org/ Documents/signedmouscan.pdf • APTA Safety & Security web page - http://www.apta.com/resources/safetyandsecurity/Pages/default.aspx • APTA Manual for the Development of Bus Transit System Safety Program Plans - http://www3.cutr.usf.edu/bussafety/ documents/apta-sspp.pdf • CTAA - www.ctaa.org - click on "resources" and "certiϐication" • FTA Advanced Notice of Proposed Rulemaking, "The National Public Transportation Safety Plan, the Public Transportation Agency Safety Plan, and the Public Transportation Safety Certiϐication Training Program; Transit Asset Management" (10/3/13)
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From page 341... ...
QUIZ 1. Under MAP-21, states may draft/certify the public transit agency safety plans of both their S
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From page 342... ...
KEY CONCEPTS • Threshold for Subrecipients • Oversight of Applicable Subrecipients -EEO Ofϐicer Designation -Utilization analysis -Narrative and Statistical Assessment of Employment Practices -Monitoring and Reporting System INTRODUCTION State DOTs must ensure that their subrecipients do not discriminate against any employees or applicants for employment because of race, color, religion, national origin, sex, or age. In addition, recipients and subrecipients must take afϐirmative actions to employ minorities and women.
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From page 343... ...
DEFINITIONS Afϔirmative Action Plan: a written, detailed, results-oriented set of procedures designed to achieve prompt and full utilization of minorities and women at all levels in all parts of the recipient's work force. Concentration: a higher representation of minorities and/or women in a job category or department as compared to their representation in the labor market.
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From page 344... ...
required every three years and must be uploaded to TEAM. States upload the programs submitted by subrecipients into TEAM.
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From page 345... ...
-Meet with minority and female employees for suggestions about the program -Present EEO program during employee orientation and training programs • External dissemination methods (to regular recruitment sources) : -Employment agencies, unions, educational institutions, minority and women's organizations, civil rights organizations, and any agency that refers applicants -Public media sources like radio, television stations, newspapers, magazines, journals -All vacancy announcements/ads should state that the recipient is an EEO Employer 3.
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From page 346... ...
Given these responsibilities, subrecipients should assign responsibility for the EEO program with care; an EEO ofϐicer located in the human resources department could lead to conϐlicts of interest. In addition to the ofϐicer, all management level staff have the following responsibilities (C 4704.1 p III-4)
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From page 347... ...
[See a sample utilization analysis table to the right, Appendix A of FTA Circular 4704.1.]
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From page 348... ...
The assessment should include a detailed narrative description and analysis of the following procedures/practices: • Recruitment and selection (position descriptions, application forms, selection methods, etc.) • Seniority, promotions, transfers, and training • Compensation and beneϐits • Discipline and terminations • Testing used for employment selection The analysis component must also contain statistical data, including (at a minimum)
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From page 349... ...
1) Assesses accomplishments, 2)
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From page 350... ...
TIPS ON RELATIONSHIPS TO OTHER MODULES • EEO does not address employment discrimination against individuals with disabilities, but such discrimination is also prohibited (see the ADA module for more details)
|
From page 351... ...
QUIZ 1. A subrecipient has 20 full-time transit-related employees, 10 part-time transit-related employees, and received $1.5 million in operating assistance in the last ϐiscal year.
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From page 352... ...
3. Which of the following actions fails to meet the minimum responsibilities required of an EEO Ofϐicer?
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From page 353... ...
KEY CONCEPTS • Prevailing Wage Requirement • Employee Protective Arrangements - DOL Certiϐication - National (Model) Agreement - Special Warranty for Rural Areas - Special Warranty Notice to Employees INTRODUCTION All recipients (and subrecipients)
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From page 354... ...
IMPORTANCE FOR STATE DOT STAFF Federal law requires the protection of the rights and interests of transit employees who are impacted by projected FTA funding. Before FTA may award a grant for capital or operating assistance, fair and equitable arrangements must be in place for transit employees.
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From page 355... ...
Special Warranty: formalized by DOL and DOT in May 1979, the Special Warranty is the protective arrangement applicable to the S 5311 program.
|
From page 356... ...
Employees of S 5311 subrecipients are protected by a Special Warranty speciϐically for the S
|
From page 357... ...
NaƟ onal (Model) Agreement Employee protections can be developed through local negotiations between transit providers and employees/labor organizations.
|
From page 358... ...
the labor organizations representing the employees of those providers. The FTA then notiϐies the DOL of all funding approved under S
|
From page 359... ...
• Labor protection requirements arose from the passage of the Urban Mass Transportation Act of 1964. Transit unions were concerned about possible negative impacts of federal funding: technologies and automation could reduce the need for labor, and/or private employee rights (regarding wages, hours, working conditions, beneϐits, etc.)
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From page 360... ...
QUIZ 1. Do Section 5333(b)
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From page 361... ...
Module 2.19: Drug and Alcohol Testing and Drug-Free Workplace Act Programs KEY CONCEPTS • Drug and Alcohol Program for Safety-Sensitive Employees o Applicability o Required Policies o Substances Tested o Types of Testing o Pre-Employment Procedures o Random Testing Rates o Post Accident Testing o Monitoring Vendors • Drug-Free Workplace Act Policy and Program INTRODUCTION Recipients of S 5307, 5309, or 5311 funds must have a drug and alcohol testing program in place for all safety-sensitive employees.
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From page 362... ...
DEFINITIONS Accident: an occurrence associated with the operation of a vehicle, if as a result: (1) An individual dies; or (2)
|
From page 363... ...
Evidential Breath Testing (EBT) : An EBT approved by the National Highway Trafϐic Device Safety Administration (NHTSA)
|
From page 364... ...
FTA drug and alcohol testing requirements may not apply to grantees that receive FTA funds exclusively for facilities and do not operate service under S 5307, 5309/5339, or 5311 if these funds can be segregated from other program funds.
|
From page 365... ...
If taxicab companies are used to provide transit services (e.g., paratransit) , the applicability of drug and alcohol testing depends on the nature of the service.
|
From page 366... ...
are listed in 49 CFR Part 40 as amended or 49 CFR 40.191 as amended for urine collections and 49 CFR 40.261 as amended for breath tests. The policy should then state that a copy of 49 CFR Part 40 is available upon request.
|
From page 367... ...
with an alcohol concentration of 0.04 or greater. If the system has a second chance policy, a description of the evaluation and treatment processes must be included.
|
From page 368... ...
• Random • Post-accident • Reasonable suspicion • Return to duty (only for employers with a second chance policy -- direct observation required) • Follow-up (only for employers with a second chance policy -- direct observation required)
|
From page 369... ...
If the previous employer does not have information about the return-to-duty process (e.g., for an employer who did not hire an employee who tested positive on a pre-employment test) , the subrecipient must obtain this information from the employee.
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From page 370... ...
Subrecipients must also ensure that random drug and alcohol tests are unannounced and unpredictable; covered employees who are notiϐied of selection for random drug or random alcohol testing must proceed to the test site immediately. A covered employee should only be randomly tested for alcohol misuse while the employee is performing safety-sensitive functions, just before the employee is to perform safety-sensitive functions, or just after the employee has ceased performing such functions.
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From page 371... ...
Following a nonfatal accident involving a transit vehicle, subrecipients with safety-sensitive employees are required to test all covered employees operating the vehicle and any other covered employee whose performance may have contributed to the accident unless the employer determines that an employee's performance can be completely discounted as a contributing factor to the accident. A decision not to test is made using the best information available at the time of the decision and must be documented in detail, including the decision-making process used to make the determination.
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From page 372... ...
ReporƟ ng - Annual Calendar Year Management InformaƟ on System (MIS) FTA recipients and subrecipeints prepare and maintain a summary of the results of their anti-drug and alcohol misuse testing programs performed during the previous calendar year.
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From page 373... ...
not on the state's payroll, or employees of subrecipients or contractors in covered workplaces. These requirements should not be confused with the FTA Drug and Alcohol Testing Program, which applies only to safety-sensitive employees as well as contractors and subcontractors with safety-sensitive employees.
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From page 374... ...
• FTA Drug and Alcohol Program Compliance Audit Questionnaires. http://transit-safety.fta.dot.gov/DrugAndAlcohol/ TechnicalAssistance/AuditQuestions/default.aspx • FTA Drug and Alcohol Publications.
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From page 375... ...
QUIZ 1. FTA drug and alcohol testing applies to: A
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From page 376... ...
Module 2.20: Americans with Disabilities Act (ADA) KEY CONCEPTS • Process for Handling and Resolving Complaints • When Accessible Vehicles Must be Purchased • Accessibility Features in Buses and Vans • Facilities Accessibility • General Service Requirements • Service Requirements Speciϐic to Fixed-Route • Maintenance of Accessibility Features • Complementary Paratransit Requirements • Intercity Bus Service • Ferry Service INTRODUCTION Titles II and III of the Americans with Disabilities Act of 1990 (ADA)
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States are responsible for oversight of subrecipient compliance with ADA. When making decisions about which services to fund, states should closely examine the service description with an eye toward service accessibility and ADA compliance.
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Demand Responsive Service or System: any system of transporting individuals, including the provision of designated public transportation service by public entities and the provision of transportation service by private entities, including but not limited to speciϐied public transportation service, which is not a ϐixed route system. Disability: with respect to an individual, a physical or mental impairment that substantially limits one or more of the major life activities of such individual; a record of such an impairment; or being regarded as having such an impairment.
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From page 379... ...
(i) Has a physical or mental impairment that does not substantially limit major life activities, but which is treated by a public or private entity as constituting such a limitation; (ii)
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From page 380... ...
Over-the-Road Bus (OTRB) : a bus characterized by an elevated passenger deck located over a baggage compartment.
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From page 381... ...
speciϐic requirements for public transportation services, vehicle and facility accessibility, and the provision of complementary paratransit service, as well as overall requirements for a complaint process, codiϐied by U.S.
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From page 382... ...
Public EnƟ Ɵ es Fixed route services - All new buses and vans purchased or leased by public entities operating ϐixed route service must be accessible (complying with 49 CFR Part 38 standards)
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From page 383... ...
equal opportunity to use the transportation service as people without and document its monitoring activities and the basis of its determination. The state should monitor the subrecipients.
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From page 384... ...
Accessibility Features in Buses and Vans This summary addresses the physical features to be installed in vehicles, which are detailed in 49 CFR Part 38. Requirements for operating policies and practices that make use of these features are described under "General Service Requirements." • Accessible Entry – A lift or ramp is needed to enable someone who cannot climb stairs in getting from the sidewalk to the interior of the vehicle, such as someone who uses a wheelchair or walker.
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From page 385... ...
• Priority Seating – Vehicles must contain signage indicating that seats in the front of the vehicle, including at least one set of forward-facing seats, are priority seats for persons with disabilities, and that other passengers should make such seats available to those who wish to use them. Such signage must be posted at the securement location.
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From page 386... ...
maximum extent feasible" as "the occasional case where the nature of an existing facility makes it impossible to fully comply with applicable standards through a planned alteration." If the area being altered contains a primary function, such as a station platform, the path of travel to the altered area and the bathrooms, telephones, and drinking fountains is required to be made accessible; unless the costs are disproportionate to the alteration, in which case whatever is not disproportionate must be made accessible. The regulations deϐine "disproportionate" as exceeding 20 percent of the cost of the alteration to the area containing the primary function.
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From page 387... ...
in 49 CFR 37.9. There must also be an accessible route between the main terminal or other passenger waiting area and the boarding ramp or device used for the vessel.
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From page 388... ...
Wheelchair securement. DOT ADA regulations do not require that wheelchairs be secured; however, entities may establish policies requiring passengers to allow their mobility devices to be secured on buses and vans and may deny service if a passenger refuses.
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From page 389... ...
to "permit individuals with disabilities who do not use wheelchairs" to use a vehicle's lift or ramp to enter the vehicle. Under this provision, an individual with a disability who uses a segway as a mobility device must be permitted to use the lift.
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From page 390... ...
persons and persons with disabilities (or other seat as necessary)
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From page 391... ...
Maintenance Requirement Specifi cally for Fixed Route Service Public entities and private entities operating service under contract to a public entity must ensure that operators report immediately any in-service lift and ramp failures. If a lift or ramp failure occurs on a route where the headway is greater than 30 minutes and the passenger cannot be served, the entity is required to provide alternative service within 30 minutes.
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From page 392... ...
• Whether or not an individual must request the service in some way, typically by making a phone call in advance. With ϐixed route service, no action is needed to access the service -- if a person is at the bus stop at the time the bus is scheduled to appear, then the person can use that service.
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From page 393... ...
Determination Process. There are many ways that the entity can determine eligibility.
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From page 394... ...
Determination Provided in Writing. The applicant must be given a written reason for the determination and notice of the right to an appeal.
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From page 395... ...
Service Area. The ADA service area at a minimum includes all origins and destinations within corridors ¾-miles from each ϐixed route.
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From page 396... ...
Service Capacity DOT ADA regulations specify that an entity may not limit the availability of complementary paratransit to eligible individuals by restrictions. Any operational pattern or practice that has the effect of limiting availability is also prohibited (e.g., limited phone reservation capacity, substantial numbers of late pickups, trip denials, missed trips, or excessively long trips)
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From page 397... ...
on-time performance means, when a trip has been denied, and when travel time is too long. For example, at what point does a trip go from being late to being missed?
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From page 398... ...
Ferry Service Ferry service is covered by 49 CFR Part 39, "Transportation for Individuals with Disabilities: Passenger Vessels," effective November 10, 2010. This rule prohibits owners and operators of passenger vessels, including U.S.
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From page 399... ...
e. Passenger vessel operators are required to promptly provide assistance to passengers with disabilities who are not able to get on or off a vessel without assistance, and may use any means to which the passenger consents (such as lifts, ramps, boarding chairs or assistance by vessel personnel)
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From page 400... ...
SUPPLEMENTAL NOTES If you or your subrecipients need technical assistance on complying with ADA, a great resource is Easter Seals Project ACTION (www. projectaction.org)
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From page 401... ...
TIPS ON RELATIONSHIPS TO OTHER MODULES The Equal Employment Opportunity module of this curriculum addresses employment discrimination against qualiϐied individuals with disabilities, which is prohibited by ADA. LINKS/INFO • FTA ADA Website: http://www.fta.dot.gov/civilrights/12325.html • Department of Transportation Disability Law Guidance: http://www.fta.dot.gov/12325_3886.html • U.S.
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From page 402... ...
QUIZ 1) All vehicles purchased using S
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From page 403... ...
5) FTA-funded service that is operated by a private operator under contract to an FTA recipient or subrecipient must meet the accessibility requirements for public entities.
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From page 404... ...
Module 2.21: Title VI KEY CONCEPTS • Title VI Program • Notifying Beneϐiciaries of Protection under Title VI • Title VI Complaint Procedures and Complaint Form • Recording and Reporting Transit-Related Title VI Investigations, Complaints, and Lawsuits • Promoting Inclusive Public Participation • Limited English Proϐiciency (LEP) • Subrecipient Assistance • Subrecipient Monitoring • Title VI and Facilities Planning • Requirements and Guidelines for Fixed Route Transit Providers INTRODUCTION Grantees must ensure that no person shall, on the grounds of race, color, or national origin, be excluded from participating in, or be denied the beneϐits of, or be subject to discrimination under any program or activity receiving federal ϐinancial assistance.
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From page 405... ...
states are responsible for oversight of subrecipient compliance with Title VI requirements. States must assist their subrecipients in complying with DOT's Title VI regulations, including the general reporting requirements.
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From page 406... ...
Minority Persons: (1) American Indian and Alaska Native, which refers to people having origins in any of the original peoples of North and South America (including Central America)
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From page 407... ...
DETAILS ON FTA REQUIREMENTS Title VI Program FTA requires that all direct and primary recipients (including states) document their compliance with DOT's Title VI regulations by submitting a Title VI Program to their FTA regional civil rights ofϐicer once every three years or as otherwise directed by FTA.
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From page 408... ...
(4) A public participation plan that includes an outreach plan to engage minority and limited English proϐicient populations, as well as a summary of outreach efforts made since the last Title VI Program submission.
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From page 409... ...
NoƟ fying Benefi ciaries of ProtecƟ on Under Title VI Recipients are required to provide information to the public regarding the recipient's obligations under DOT's Title VI regulations and apprise members of the public of the protections against discrimination afforded to them by Title VI. At a minimum, recipients must disseminate this information to the public by posting a Title VI notice on the agency's website and in public areas of the agency's ofϐice(s)
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From page 410... ...
In order to reduce the administrative burden associated with this requirement, subrecipients may adopt the Title VI Notice developed by the primary recipient; however, subrecipients must notify passengers and other interested persons that they may ϐile discrimination complaints directly with the subrecipient. Title VI Complaint Procedures and Complaint Form FTA requires all recipients to develop procedures for investigating and tracking Title VI complaints ϐiled against them and to make their procedures for ϐiling a complaint available to members of the public.
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From page 411... ...
FTA expects states and subrecipients to seek out and consider the viewpoints of minority and LEP populations in the course of conducting public outreach and involvement activities. FTA expects an agency's public participation strategy to offer early and continuous opportunities for the public to be involved in the identiϐication of social, economic, and environmental impacts of proposed transportation decisions.
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From page 412... ...
3. The nature and importance of the program, activity, or service provided by the program 4.
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From page 413... ...
grantees or subrecipients, such as those serving very few LEP persons or those with very limited resources, may choose not to develop a written LEP plan. However the absence of a written LEP plan does not obviate the underlying obligation to ensure meaningful access by LEP persons to a grantee's program or activities.
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From page 414... ...
• Sample procedures for tracking and investigating Title VI complaints ϐiled with a subrecipient, and when the primary recipient expects the subrecipient to notify the primary recipient of complaints received by the subrecipient. • Demographic information on the race and English proϐiciency of residents served by the subrecipient.
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From page 415... ...
Title VI and FaciliƟ es Planning When developing certain types of facilities, including, but not limited to storage facilities, maintenance facilities, and operations centers, recipients are subject to the following FTA Title VI requirements: a. The recipient must complete a Title VI equity analysis during the planning stage with regard to where a project is located or sited to ensure the location is selected without regard to race, color, or national origin.
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From page 416... ...
(such as local bus, express bus, commuter bus, bus rapid transit, light rail, subway, commuter rail, passenger ferry, etc)
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From page 417... ...
• Monitoring transit service, and • Evaluating service and fare changes. These requirements are not addressed in this module and states that have responsibility for overseeing subrecipients that meet these criteria should refer to FTA Circular C 4702.1B, Chapter IV.
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From page 418... ...
SUPPLEMENTAL NOTES RelaƟ onship to Environmental JusƟ ce In 2012, FTA released Circular 4703.1 "Environmental Justice Policy Guidance for Federal Transit Administration Recipients". This circular is based on the April 1995 U.S.
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From page 419... ...
TIPS ON RELATIONSHIPS TO OTHER MODULES Title VI is one of several modules that address civil rights, including EEO (civil rights in employment) , DBE (civil rights in contracting)
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From page 420... ...
• Federal Register, December 14, 2005 (Volume 70, Number 239, pp.
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From page 421... ...
Module 2.22: Half-Fare KEY CONCEPTS • Applicability • Eligibility Categories • Proof of Eligibility • Internal and Public Information • Oversight INTRODUCTION For ϐixed route service supported with S 5307 assistance, fares charged elderly persons, persons with disabilities, or an individual presenting a Medicare card during off peak hours must not be more than half the peak hour fare.
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From page 422... ...
DEFINITIONS Disability: with respect to an individual, a physical or mental impairment that substantially limits one or more of the major life activities of such individual; a record of such an impairment; or being regarded as having such an impairment.
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From page 423... ...
(ii) Has a physical or mental impairment that substantially limits a major life activity only as a result of the attitudes of others toward such an impairment; or (iii)
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From page 424... ...
(1) All ϐixed route services, including service to sporting events, that operate in both peak and off peak hours and use or involve facilities and equipment ϐinanced with S
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From page 425... ...
Eligibility Categories Prior to the passage of MAP-21, half fare was required for "elderly and handicapped individuals, or an individual presenting a Medicare card issued to that individual under title II or XVIII of the Social Security Act (42 U.S.C.
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From page 426... ...
ofϐice, which may be inconveniently located, is not consistent with the intent of this requirement.
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From page 427... ...
TIPS ON RELATIONSHIPS TO OTHER MODULES This module is one of several that pertain to service characteristics, including Ensuring Service is Open to the Public, Charter Bus, School Bus, ADA, and Title VI.
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From page 428... ...
Module 2.23: Ensuring the Services Are Open to the Public KEY CONCEPTS • Eligible Use of Funding for Public Transportation Projects under Each Grant Program • Incidental Use • State Monitoring of Subrecipients INTRODUCTION Section 5307, 5311, and 5339 funds are available for expenditure for public transportation projects.
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From page 429... ...
Intercity Bus Service: regularly scheduled bus service for the general public that operates with limited stops over ϐixed routes connecting two or more urban areas not in close proximity, that has the capacity for transporting baggage carried by passengers, and that makes meaningful connections with scheduled intercity bus service to more distant points, if such service is available. Public Transportation: regular, continuing shared-ride surface transportation services that are open to the general public or open to a segment of the general public deϐined by age, disability, or low income; and does not include: intercity passenger rail transportation provided by Amtrak; intercity bus service; charter bus service; school bus service; sightseeing service; courtesy shuttle service for patrons of one or more speciϐic establishments; or intra-terminal or intra-facility shuttle services.
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From page 430... ...
Section 5311 service may be designed to maximize use by members of the public who are transportation disadvantaged, including elderly persons and persons with disabilities. Coordinated human service transportation that primarily serves elderly persons and persons with disabilities (but is not restricted from carrying other members of the public)
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From page 431... ...
State Monitoring of Subrecipients States are responsible for ensuring that S 5307, 5309, 5310, 5311, and 5339 funds are being used to support eligible projects and services.
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From page 432... ...
SUPPLEMENTAL NOTES • As a best practice, state staff should periodically review subrecipient marketing materials (websites as well brochures obtained during sight reviews) and investigate any sign of potential use of FTA-funded equipment or facilities that would constitute charter bus service, exclusive school bus transportation, or services limited to clients of speciϐic human service agencies.
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From page 433... ...
QUIZ 1) Section 5310-funded vehicles can only be used to transport seniors and people with disabilities.
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From page 434... ...
Module 2.24: Charter Bus KEY CONCEPTS • FTA Prohibition Against • Exemptions • Exceptions • Charter Registration Website • Oversight of Subrecipients • Quarterly Reporting to FTA INTRODUCTION Recipients (and subrecipients) are prohibited from using federally funded equipment and facilities to provide charter service if a registered private charter operator expresses interest in providing the service.
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From page 435... ...
questions on what a subrecipient needs to do to comply with FTA requirements. • States must include the FTA-required charter bus clause in its subrecipient grant agreements.
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From page 436... ...
Charter Service Exceptions: certain community-based charter services that may be provided if the grantee complies with required procedures and maintains required documentation. Charter Service Exemptions: certain charter-like services that are always exempt from the charter service prohibitions, and require no special permission, recordkeeping, or reporting.
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From page 437... ...
1. A recipient transporting its employees or other transit/government ofϐicials or contractors to/from transit facilities or projects within its service area to conduct oversight functions (e.g.
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From page 438... ...
The recipient must provide the service in its service area, must not generate revenue from the service, and must document details of the service including the government organization's contact information, date, time, number of passengers, trip origin, destination, and length, fees collected, and vehicle number.
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From page 439... ...
collect such reports from their subrecipients. No particular format is required, but the report is generally a single spreadsheet with three sections (listing all the trips occurring during the quarter)
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From page 440... ...
FTA's Charter RegistraƟ on Website http://ftawebprod.fta.dot.gov/CharterRegistration/splash-charterregistration.aspx The Charter Registration Website has several functions. Interested parties are able to: • Submit new private charter operator and QHSO registrations • Search existing private charter operator and QHSO registrations • Access Quarterly Reports through TEAM By providing the required information on the Charter Registration Website (and updating the information at least every two years)
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From page 441... ...
complaints, either about a registration on the Charter Registration Website or about the provision of charter service by a recipient. Subparts G through K describe the investigation, hearing, and appeals process.
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From page 442... ...
• FTA Master Agreement Section 32. http://www.fta.dot.gov/documents/19-Master.pdf.
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From page 443... ...
3) Which of the following are examples of exceptions to the charter service prohibition?
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From page 444... ...
Module 2.25: School Bus KEY CONCEPTS • FTA Prohibition • Oversight of Subrecipients INTRODUCTION Recipients of federal funds may not engage in school bus operations exclusively for the transportation of students or school personnel in competition with private school bus operators. First included in the 1973 Federal-Aid Highway Act, Congress intended to protect private school bus operators that could be unfairly displaced by federally funded transit systems.
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From page 445... ...
• When reviewing subrecipient grant applications and providing service planning technical assistance, states should review descriptions of FTA-funded service and FTA-funded vehicle usage for potential school bus service. If found, the state should examine these services more closely (requesting additional information from the subrecipient as needed)
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From page 446... ...
Tripper Service: regularly scheduled mass transportation service that is open to the public and is designed or modiϐied to accommodate the needs of school students and personnel, using various fare collections or subsidy systems. DETAILS ON FTA REQUIREMENTS Recipients of federal transit funding are prohibited from operating exclusive school bus service.
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From page 447... ...
• Have regularly scheduled service that is open to the general public. • Not have any special school designations that might deter the general public.
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From page 448... ...
TIPS ON RELATIONSHIPS TO OTHER MODULES 49 CFR Part 605.12 notes that recipients may use federally funded buses, facilities, and equipment for the transportation of school students during incidental charter bus operations. See the Charter Bus module for more details on what constitutes incidental charter bus operations and when they are allowable.
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From page 449... ...
QUIZ 1) Under what circumstances would a recipient be exempt from the school bus regulations?
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From page 450... ...
QUIZ 3) Recipients providing school service under one of the statutory exemptions may use FTA funded buses, equipment, and facilities for that service.
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Key Terms
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