AGENDA INDOT Updates Medical Qualification Updates RTAP Updates
5311/PMTF Formula Updates 5311 Quarterly Claims/Budget Revisions
5311 Operating Concerns Service Area Trip Prioritization
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Basics of the Program What does the numerical 5311 refer to?
The Section 5311 program is the Federal Transit Administration
(FTA) Non-Urbanized Area Formula Grant Program. The FTA, on behalf
of the U. S. Secretary of Transportation, annually allocates
apportioned Section 5311 funds to the governor of each state.
Slide 6
Basics of the Program What does the acronym PMTF refer to? The
Indiana State Legislature established the Public Mass
Transportation Fund (I.C. 8-23-3-8) to promote and develop
transportation in Indiana. The funds are allocated to public
transit systems on a performance based formula. An eligible
recipient is defined as any transit system that receives federal
funds under the Federal Transit Act and provides public
transportation in Indiana.
Slide 7
Basics of the Program What two main agencys provide regulatory
guidance/oversight to the 5311 Program? Federal Transit
Administration (FTA) Indiana Department of Transportation
(INDOT)
Slide 8
Basics of the Program How many sub-recipients are currently
funded as part of the 5311 program? Forty-three (43) How many
counties are represented as part of the 5311 Program? Sixty-four
(64) How many Inter-city providers are currently funded through the
5311(f) Program? Three (3) Miller Transportation Barons Bus Marion
Transit (Feeder Service)
Slide 9
Basics of the Program Who is RLS and Associates, Inc. and what
services do they provide? RLS & Associates, Inc. provides
transportation management and operations consulting services to
transportation providers throughout the United States. RLS
specializes in consulting assistance to small, medium, and large
public transit systems, federal and state departments of
transportation, government agencies, and paratransit operators
Slide 10
Basics of the Program Who is Indiana RTAP and what services do
they provide? The RTAP Program provides technical assistance and
training to not-for-profit public and specialized transportation
providers all over the state of Indiana. Services are provided at
no cost to those agencies that provide public and social service
transportation and receive capital and/or operating assistance
through INDOT's 5310 or 5311 transportation grant programs. The
Indiana RTAP Program is funded by the Federal Transit
Administration and the Indiana Department of Transportation.
Slide 11
Basics of the Program Who is your individual INDOT Project
Manager? Todd Jennings: Boone, Dekalb, Fayette, Hamilton, Harrison,
Hendricks, Huntingburg, Jay, Johnson, LaGrange, Monroe, Rush, SIDC,
Steuben, Vigo, Whitley Vickie Rayburn: Bedford, Franklin, Fulton,
KIRPC, Knox, LifeTime, Marion, Miami, Mitchell, Noble, Orange,
Seymour, Washington Mike McGathey: Cass, Clinton, Hancock,
Huntington, Kosciusko, Madison, Marshall, New Castle, Richmond,
Union, Wabash, Waveland, Wells, White
Slide 12
Federal Transit Administration (FTA) Indiana Department of
Transportation (INDOT) Engineering & Assets Mgmt Deputy
Commissioner Jay Wasson Multi-Model Planning & Programs Katie
England AviationRail Transit INDOT Commissioner Brandye Hendrickson
As of 04/15 As of 04/15
Slide 13
Office of Transit Larry Buckel 5311 Project Manager Vickie
Rayburn 5311 Project Manager Mike McGathey RLS and Associates, Inc.
Robbie Sarles Indiana RTAP Vicky Warner Megan Lawson 5311
Sub-Recipients 5311 Program Manager Todd Jennings 5310 Program
Manager Brian Jones Transit Planner Jason Casteel
Slide 14
INDOT Mission INDOT will plan, build, maintain and operate a
superior transportation system enhancing safety, mobility and
economic growth. 2015-2016 INDOT Goals On-time and On-budget Take
Care of What We Have Customer Satisfaction
Slide 15
Where did the last year go? Reviewing Every Process - Blue Book
Revision New 5311/5339 Application/Timeline Vehicle Pricing/State
QPA Compliance Reviews/Annual Site Visits Addressing 5311/PMTF
Funding/Allocation Process Medical Qualification Program Concerns
Everything in-between
Slide 16
Reviewing Every Process INDOT Goal Customer Satisfaction Lessen
YOUR administrative burden while WE maintain a high level of
oversight to ensure program compliance
Slide 17
Revised 5311 Program Manual Program bible Identified that some
managers are not aware of/utilizing Have questionit probably
answers. Reference firstcontact second Mirrors FTA Circular 9040.1G
(5311 Program Guidance and Application Instructions) Table of
Contents FTA Requirement = INDOT Oversight Procedures Available
online by 09/30/15 (INDOT Annual Meeting) Questions?
Slide 18
1 5311 Program Manual 2 On-line Resources (FTA, INDOT, Indiana
RTAP, CTAA, National RTAP, ADA etc.) 3 5311 Peers 4 INRTAP
(Training, ADA, Title VI, Passenger Issues, D&A, Med Qual,
etc.) 5 INDOT Project Manager (Program Compliance, Grants, Funding,
Charter, etc.) Technical Assistance Process
Slide 19
Revised 5311/5339 Application Revised Application Template
Needed a clean up (Still needs a tweak) Lessen the burden for
completion 2015 Applications designated as Master on File Major
revision is in our future! FTA trend is towards e-filing
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5311/5339 GRANT APPLICATION/TIMELINE Why the hurry in 2015?
Historically late distribution of Fully Executed Contracts and
Purchase Orders (POs) FTA/INDOT 5311 Grant Process Operates on (3)
separate calendars! Federal Fiscal Year (October 1 September 30)
State Fiscal Year (July 1 June 30) 5311 Operating (Jan 1 Dec
31)
Slide 22
HERE IS THE ISSUE! Historical Process for Grant Approval OCT
FTA Publishes 5311 FFY State Apportionments JAN FEB INDOT Revises
5311 Application Collect 5311 Annual Report Data MARCH INDOT
Calculates 5311 Allocations based on 3 Year Annual Report Data and
FFY Apportionment APRIL Indiana Legislature Appropriates State PMTF
Funding for State Fiscal Year JUNE 5311 Applications Distributed
5311 Allocation Letters Distributed PMTF Allocations Calculated
INDOT Creates Program of Projects (POP) JULY INDOT Commissioner
Approves PMTF Allocations INDOT Submits State Application to FTA
for Preliminary Review AUG 5311 Applications Due INDOT Commissioner
Submits PMTF Allocations to SBC for Approval INDOT Submits Final
Program Grant into T.E.A.M SEPT INDOT Review/Approve 5311
Applications State Budget Committee Reviews PMTF Allocations FTA
Approves INDOT Program Grant OCT Distribute 5311 Contracts for
Local Signatures Budget Revisions (If Necessary) FTA Publishes 5311
FFY State Apportionments NOV Intake Signed 5311 Contracts from
Systems DEC INDOT Routes 5311 Contracts thru State Signature
Process JAN MAR INDOT Receives Fully Executed Contracts from State
Budget Agency/AG Office INDOT Submits Executed Contracts to
Procurement for Purchase Orders (PO) INDOT Receives Purchase Orders
and Distributes 5311 Contracts/POs to Systems APRIL 1 st Quarter
Claim Due
Slide 23
New Process for Grant Approval Problem Solved!HOPEFULL Y! OCT
FTA Publishes 5311 FFY State Apportionments JAN FEB INDOT Revises
5311 Application Collect 5311 Annual Report Data MARCH INDOT
Calculates 5311 Allocations based on Three Year Annual Report Data
and FFY Apportionment 5311 Applications Distributed 5311 Allocation
Letters Distributed INDOT Creates Program of Projects (POP) APRIL
Indiana Legislature Appropriates State PMTF Funding JUNE 5311
Applications Due / INDOT Review PMTF Allocations Calculated INDOT
Submits State Application to FTA for Preliminary Review JULY INDOT
Commissioner Approves PMTF Allocations INDOT Submits Final Program
Grant into T.E.A.M AUG Distribute 5311 Contracts for Local
Signatures INDOT Commissioner Submits PMTF Allocations to SBC for
Approval State Budget Committee Approves PMTF Allocations SEPT
Intake Signed 5311 Contracts from Systems FTA Approves INDOT
Program Grant OCT FTA Publishes 5311 FFY State Apportionments INDOT
Routes 5311 Contracts thru State Signature Process NOV INDOT Awaits
State Signature Process DEC INDOT Receives Fully Executed Contracts
from State Budget Agency/AG Office INDOT Submits Executed Contracts
to Procurement for Purchase Orders (PO) JAN INDOT Receives Purchase
Orders and Distributes 5311 Contracts/POs to Systems APRIL 1 st
Quarter Claim Due
Slide 24
State QPA/Vehicle Pricing 2014-15 Pricing Issues State QPA
expired in February 2015 (Optional 3 rd Yr.) State QPA extended for
fourth and final year in April Systems received Contracts/POs in
February/March Vehicle prices at that time were based on model year
2015 prices Upon approval of new QPA state contract, vehicle prices
were set to increase to model year 2016 prices Any system who
ordered vehicles after new QPA was approved on 04/24/15, incurred a
price increase
Slide 25
State QPA/Vehicle Pricing What It Means Moving Forward Current
QPA expires on 02/28/16 Department of Administration to submit bid
for new State QPA in August 2015 (2 Yr. Option for 3 rd /4 th )
INDOT will be proactive and build-in 5% price increase to vehicles
requested in 2016 grant applications If systems receive CY2016
Contracts/POs before QPA expires Built-in can be used to pay for
optional equipment If systems receive CY2016 Contracts/POs after
QPA expires and price increase occurs: Built-in should cover cost
of price increase and any additional can be used to cover optional
equipment
Slide 26
State QPA/Vehicle Pricing Requesting/Ordering Vehicles Identify
system need Avoid ballpark requests Do the necessary homework
Vehicles to be replaced must be identified in application Fully
Executed Contracts/POs will no longer be amended unless extenuating
circumstance arises
Slide 27
State QPA/Vehicle Pricing Requesting/Ordering Vehicles Local
funding must be secured Avoid requesting on a believe so, hope so,
should be there When commissioners approve vehicles are expected to
be ordered Order upon receiving Contract/PO When contacting INDOT
with inquires, make sure you know which program is funding vehicle
5310 5339 Questions?
Slide 28
2015 Compliance Reviews (Completed every FOUR Years) Dekalb
County Complete Jay County Complete Johnson County Complete
LaGrange County Complete LifeTime Resources (Multi-County) Complete
Steuben County Complete Cass County Scheduled Fulton County
Scheduled Kosciusko County Scheduled KIRPC (Jasper, Starke,
Pulaski, Newton) Madison County Marshall County Rush County SIDC
(Multi-County) Waveland
Slide 29
Compliance Review Process INDOT notifies system by letter no
less than (30) days prior to review date INDOT Consultants (RLS and
Associates, Inc.) contacts system and provides desk review upload
instructions RLS and Associates, Inc./INDOT reviews documents prior
to on-site review On-site review conducted/Summary of Findings
provided during exit interview RLS provides draft report to INDOT
for review within 45 days INDOT approves and distributes final
report to system System uploads corrective actions to RLS website
RLS/INDOT Review of Corrective Actions INDOT sends system Letter of
Compliance within 5-10 days of confirmation of sufficient
corrective actions
Slide 30
Common Compliance Review Findings Outdated Insurance Cards in
Vehicles Title VI Notice to Public not posted in vehicles No
handicap placard inside vehicle (displayed during passenger
boarding/disembark Outdated 5333(b) Labor Warranty Posted/Not
Posted EEO Signage Not Posted Drug and Alcohol Records not being
kept separate Vehicle Preventative Maintenance Plans not
Followed/Lift Maintenance Not Occurring
Slide 31
Annual Site Visits/Reviews Every system reviewed annually by
INDOT Project Manager Specific Areas Covered: Vehicle/Equipment
Management Driver Training Procurement/DBE ADA Compliance Financial
Management Marketing/Brochures Audit Reports Safety and
Security/Title VI Previous Compliance Review Findings
Slide 32
Annual Site Visits/Reviews Purpose Used as surface level review
vs. extensive Four Year Compliance Review Used to identify
continued and repeated findings that may have been identified
during Four Year Compliance Review Increases basic operational
awareness by INDOT Program Manager Helps maintain positive line of
communication between INDOT/Transit System Staff.
Slide 33
Annual Site Visits/Reviews Process Project Manager will contact
system to schedule review On-site review conducted Project Manager
will discuss possible findings with 5311 Program Manager and
recommended corrective actions provided to system Review findings
placed in system file to be referenced for following year Annual
Site Visit/Review Repeated non-compliance may be factor during
grant/funding approval
Slide 34
State Management Review Workshop INDOT SMR due to occur in 2016
FTA State Management Review Workshop Information very beneficial!
If FTA doesnt requirewe wont require. Sub-recipient Site Visit One
system chosen FTA is not there to audit/review the system, but to
audit/review INDOTs oversight of the system! Volunteers? /
Questions?
Slide 35
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Numerous scheduling issues identified CDL physical forms not be
completed or completed correctly and in a timely manner Lack in a
response or a timely response to request for service Driver Ability
Reviews not being submitted or documentation of the submission
maintained
Slide 37
Meeting was held on June 10 to address reported issues Online
scheduling system with applicable forms has been added to PSM
website Question and Answer section has been added to PSM website
with common questions Chris Costlow and Lora Lex will be handling
the program personally
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Paperwork not being completed or not brought to the appointment
Tardiness for appointments Correspondence needs to be read and
communication must occur to ensure understanding Program
information, policies and documents available on the RTAP website
at indianartap.com
Slide 42
Retain a copy of the letter issued by the BMV regarding the
operators status on file PSM has been advised to maintain a copy of
the fax transmittal on file to show proof of submission May request
a copy of the fax transmittal and assistance with verifying
communications with BMV
Slide 43
One or more vendors may be selected Regional sites for
conducting evaluations Reduce travel and associated costs For all
evaluations categories Will not be in place for another year
Slide 44
44 RTAP Update
Slide 45
Newly revised documents available on the RTAP website Download
and implement by as soon as possible, but no later than September
8, 2015 Submit revised documents to INDOT Post the revised public
notice on vehicles Update system websites and information Implement
new compliant form Dispose of all older versions
Slide 46
By Megan Lawson 46 Training Update
Slide 47
Trainings and Reservations Please RSVP drivers to the RTAP
office that will be attending one or more of the training's listed
on the 2015 calendar. RSVP's must be received one week prior to the
class scheduled. Classes without a sufficient number of
participants to conduct the class will be cancelled. Training
confirmation will be done at least two days prior.
Slide 48
Training requirements for 5311 grantees identified This will be
added to the State Management Plan clarifying the requirement
Frequency of training requirements will also be identified
Documentation of training and training material may be required to
show compliance
Slide 49
49 CFR 37.173 states that each public or private entity which
operates a fixed route or demand responsive system shall ensure
that personnel are trained to proficiency, as appropriate to their
duties, so that they operate vehicles and equipment safely and
properly assist and treat individuals with disabilities who use the
service in a respectful and courteous way, with appropriate
attention to the difference among individuals with disabilities.
Transit operators must receive training programs that meet the
federal requirement and, which requires a driver demonstration to
show a sufficient level of proficiency.
Slide 50
Defensive Driving is a training program for professional
operators.
Slide 51
Pre-Trip Inspections training must includes State and Federal
requirements for operations.
Slide 52
Emergency Evacuations/Emergency Procedures training addresses
State and Federal requirements as well as transit specific threats
and emergency situations.
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What is the picture of a shopping cart have to do with
anything? Do you think your drivers are transporting the shopping
carts?
Slide 56
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Does your agency have a limit? If so, what is your limit? How
do you know if it is being enforced? How are my drivers assisting
with the items when passengers disembark? How much assisting are my
drivers really doing?
Slide 58
Slide 59
A wheelchair lift, also known as a platform lift, or vertical
platform lift is a fully powered device designed to raise a
wheelchair and its occupant in order to overcome a step or similar
vertical barrier.
Slide 60
Prevent damage to the equipment Prevent damage to cargo and
potential replacement of expensive items Prevent loosing a law
suite where it may deemed that inappropriate use of the wheelchair
lift resulted in failure.
Slide 61
Slide 62
Manager and Supervisors should go into the field and observe
the quality of services being provided. Document deficiencies,
training needs and identify policy violations. Develop a threat and
vulnerability assessment to reduce safety issues, identify
vulnerabilities within the services and address them.
Slide 63
63 Roadeo Update
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64
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65
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66
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67 Driver have 30 minutes to complete a 25 question test!
Slide 68
68 A driver Walk through of the course is completed before
competition begins to familiarize drivers with the course layout
and answer any questions.
Slide 69
69 Drivers are broke into three teams with each team completing
pre-trip inspection, wheelchair securement and the course Runners
collect the score sheets and take them to scoring
Slide 70
Each team is assigned a team leader to make sure everyone
completes each event.
Slide 71
YEP, there is food!
Slide 72
Derek Johnson ColumBus Transit Juliana Abney Ride Solution
Sandee Anderson Jasper County Community Services Tim Shoemaker
LaGrange County COA Suzanne Patberg City of Huntingburg
Slide 73
Only 51 points between first and fifth place with new and
familiar faces holding the top five spots!
Slide 74
Daves Auto DeKalb county Coa Elkhart Coach Clean Zone Marketing
Franklin Muffler & Brake Midwest Transit Mobilitat State Farm
Franklin, IN Tesco
Slide 75
CTS Generations Fayette County Senior Center Encompass St.
Vincent's - Carmel NIRPC Bartronics Opportunity Enterprises City of
Huntingburg LaGrange County COA State Farm Franklin, IN St.
Vincent's Franklin, IN Shine 99
Slide 76
The course was tight and both Indiana drivers competed in the
MV1 division.
Slide 77
Juliana Abney finished eighth and Derek Johnson finished
twelfth!
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5311 Formula Data FTA Allocates State Apportionments by formula
based on percent of non-urbanized (under 50,000 populations) as a
ratio of the total non-urbanized population in the U.S. INDOT
initially allocates necessary funds for: INDOT Administration INDOT
Technical Assistance (RTAP) Inter-city (15%) Remaining 5311 funds
allocated by formula to existing grantees
Slide 82
5311 Formula Data 30% Weight Factor - Population Data (Current
decennial census - 2010) 30% Weight Factor - Passenger Boarding's
40% Weight Factor - Locally Derived Income (LDI) Fares Advertising
Income Auxiliary Income (i.e. rent) Local cash grants General funds
Unrestricted Federal/State funds (i.e. Medicaid, United Way)
Slide 83
5311 Formula Data Historical Indiana Apportionments Federal
Fiscal YearIndiana Apportionment 2010$14,143,656 2011$12,017,418
2012$12,723,775 2013$11,471,242 2014$12,955,749 2015$13,403,003
2016$13,703,001
Slide 84
5311 Funding Concerns Apportionments continue to remain
stagnant Systems unable to expand services Formula resulting in
excessive loss for some 20%-30%
Slide 85
5311 Funding Concerns INDOT Response We are all in this
together INDOT Goal Take Care of What We Have Performance must
remain a factor Result FTA Apportionment determines if everyone
gains/loses Annual gains/losses will not exceed 1-4%
Slide 86
PMTF Formula Data State makes funding appropriations to PMTF
program every (2) years in conjunction with states bi-ennial budget
process. PMTF is funded as part of the states general fund (budget
line item) that is based on estimated revenue taken in by state
over (2) year budget period State Budget Agency has authority to
decrease based on budget projections
Slide 87
PMTF Formula Data Northern Indiana Commuter Transit District
(NICTD) Set-aside (12.34%) Remaining 87.66% distributed to
urban/rural transit systems (4 groups) Group 1 Large Fixed Route
(IndyGo) Group 2 Small Fixed Route (Columbus) Group 3 Urban (over
50,000 population) Demand Response (Kokomo) Group 4 Rural Demand
Response (Boone County)
Slide 88
PMTF Formula Data 33% Weight Factor Passenger Boardings
(one-way trip) 33% Weight Factor Total Vehicle Miles 33% Weight
Factor - Locally Derived Income (LDI) Fares Advertising Income
Auxiliary Income (i.e. rent) Local cash grants General funds
Unrestricted Federal/State funds (i.e. Medicaid, United Way)
Formula calculated using previous (3) year operating data 2016
Allocation based on 2013-2015 data
Slide 89
PMTF Formula Data Historical Indiana Apportionments Bi-ennial
Budget YearPMTF Allocation 2010-2011$41,400,000
2012-2013$42,581,051 2014-2015$42,581,051 2016-2017$42,073,285
Slide 90
PMTF Funding Concerns Apportionments continue to remain
stagnant/decrease Systems in incorrect group CIRTA included in
Group 2 Systems unable to expand services and in some cases must
decrease service/staff Formula resulting in excessive loss for some
15%-20%
Slide 91
PMTF Funding Concerns INDOT Response We are all in this
together INDOT Goal Take Care of What We Have Performance must
remain a factor Result PMTF Apportionment determines if everyone
gains/loses System gains/losses will not exceed that of total
apportionment Example: PMTF increases by 3%, everyone increases
1-3%
Slide 92
Slide 93
Quarterly Claims Late claims will result in delayed processing
and receipt of payment QuarterPeriod CoveredClaim Due First
QuarterJanuary MarchMay 15 th Second QuarterApril JuneAugust 15 th
Third QuarterJuly SeptemberNovember 15 th Fourth QuarterOctober -
December February 15 th
Slide 94
Claim Form Exercise
Slide 95
Budget Revision Requirements Every system will be notified if
budget revision is necessary with 2 nd Quarter Claim Budget line
items +/- 10% variance will require budget revision (Less than 40%
or Over 60%) INDOT Project Manager will notify and provide Budget
Revision form upon notification of need for revision
Slide 96
Budget Revision Requirements Why the Need? De-obligation of
funds Managers not monitoring Managers not aware of allow ability
Questions?
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Definition Service Area: The geographic area that coincides
with a transit systems legal operating limits defined in Exhibit A
(Project Description) of the applicants 5311 contract along with
the applicants approved operating budget How is a 5311 Funded
Service Area determined? Populations included in an applicants 5311
apportionment
Slide 99
Types of Services Allowable: Funded Service Area: Should be a
systems primary/core area that receives service Extended Service
Area Allowable as long as: Rural, Urban, Rural Service is defined
in annual application Service is identified in marketing
material/brochures Rates should be adequate to cover operating
expenses: Fuel Salaries Maintenance
Slide 100
Issues Identified Trip Exclusivity occurring for Medical trips
Brochures Websites Trip Prioritization occurring for Medical trips
Trip denials occurring due to excessive scheduling of medical,
school, or agency trips Excessive Trip Denials due to inadequate
staffing available within Funded Service Area 40-50% staffing
Slide 101
Corrective Actions Trip Exclusivity Remove any language that
refers to only for in brochures/marketing materials Trip
Prioritization Adjust schedules to remove an unequal balance of
public transit vs. subscription Excessive Trip Denials Adjust
staffing levels to ensure primary/core service area is not
experiencing denials due to unavailability of drivers
