5311 Rural Transit Program Implementation Workshop

Arizona Department of Transportation Multimodal Planning Division

September 6-7, 2018

Introduction Housekeeping

Emergency Exits Restrooms Break Times/Lunch Vending machines/Water

Title VI Notice

Internet Access

Wi-Fi Guest Access

Password

SedonaSharks84

Agenda Overview – Day 1 • Route Planning (Pt. 1 & Pt. 2) Lunch • 1st Year Updates • National Transit Database 2018 Report Year Updates • Procurement Overview • 5311 Roundtables • Q & A

Agenda Overview – Day 2 • Rural Transportation Assistance Program (RTAP)

Updated Policy

• Monitoring & Oversight Compliance Site Visits • Intercity • Q & A

MPD Transit Team Transit Group Manager – Jill Dusenberry

Transit Program Managers Sara Allred (Planning & Small Urban) Ann Cochran (5310) Sarah Fitzgerald (5311) Aubree Perry (5311)

State Safety Oversight & Drug and Alcohol Compliance Herman Bernal Brian Brinkley RTAP & Contracts

Sarah Wuertz

E-Grants Systems Administrator Diane Ohde

Transit Group Intern Genesha Gourdine

Management Analyst III Beth Adema

Route Planning: Ken Hosen Service Design: Using the Right Transit Service Design for the Need. Kenneth Hosen, KFH Group Inc., Austin, TX. While much of the emphasis in rural and small urban transit these days is focused on issues such as coordination, we sometimes neglect to address the business at hand: moving people. Poor service design is the single biggest factor inhibiting ridership and relevance in many communities. We have seen ridership double and triple when the proper service design is utilized. It’s not just paratransit anymore! This session is designed to introduce managers and planners to the variety of services (typically less expensive) that can be provided and how to implement these services. The focus will be on matching the most appropriate service design to the need. The appropriate service design will do wonders for ridership and relevance in your community.

5311 Program Managers

Sarah Fitzgerald Northern & Western AZ sfitzgerald@azdot.gov 602.712.7106 Aubree Perry Southern & Eastern AZ aperry2@azdot.gov 602.712.8947

Your Folder 5311 state map NTD numbers 2015 Oversight Visit Report E-Grants manual Other

https://www.transit.dot.gov/funding/apportionments/table-9-fy-2018-section-5311-and-section-5340-rural-area-formula

5311 Annual Funding

5311 Apportionment from FTA ($12.5M in 2018) • 10% State Administration • 15% Intercity Requirement • 10% Maximum – Complementary Paratransit

Federal Highways Transfer – ($1M STBG) • $50,000 State Administration • $950,000 Capital and Preventive Maintenance

5311 Annual Funding

$12,160,578 new funds to 5311 agencies

5311 Year 1 Request – 2018 (Federal)

2018 Year 1 Request (Fed) Admin $4,010,791

Operating $9,290,986

Capital-PM $1,549,418

Other Capital $3,943,528

Fed Request $18,794,722

Admin 21%

Operating 50%

Capital-PM 8%

Other Capital

21%

2018 Year 1 - Federal Request

5311 Year 1 Funding – 2018 (Federal)

Funding Amount Description

$12,160,578 To 5311 sub-recipients (new funds)

$2,588,459 Recaptured funds from older funds

$14,749,037 2018 Year 1 Awarded funds

$18,794,722 2018 Year 1 Requested funds

(4,045,685) Shortfall

2nd Year End – 2016 Contract Contract Administration

Reminders • Funds expire September 30, 2018 • All funds final – No extensions will be granted • Funds will not roll over • September 2018 Reimbursement Request must be

submitted by: December 15, 2018

Exhibit A

Exhibit A – Multiple Lines

E-Grants: 2018 Contract Budget Preparation

Award letter Allocate the budget Communicate with your financial group E-Grants status: Award Modifications Required

E-Grants: Finalize Budget – make sure final budget = final award (from Ex. A)

2018 reimbursements

ADOT will notify sub-recipients when reimbursements can begin

National Transit Database (NTD)

National Transit Database NTD Opens September 4

Nation’s primary source for information on transit systems NTD performance data are used to apportion over $5 billion annually

National Transit Database Self Reporting Agencies

ADOT will open NTD for self-reporters Self-reporting Agencies: any agency that receives FTA funds directly as well as from ADOT Tribes Urban areas

ADOT will provide key financial data

National Transit Database Modes

Bus (MB) Commuter Bus (CB) Demand Response (DR) Vanpool (VP) Other

National Transit Database Bus (MB)

Bus (MB) • Fixed-route bus service is the most prevalent transit mode

in the country • Transit agencies must report any route deviation as MB

service

National Transit Database Commuter Bus

Commuter Bus (CB) Operates with multiple trip tickets, multiple stops in the outlying areas, limited stops in the central city, and at least five miles of closed-door service.

National Transit Database Demand Response

Demand Response (DR) • Shared-ride demand response service is scheduled in

response to calls from passengers.

National Transit Database Intercity

Other - Intercity • If you only receive 5311(f) funds, there is a separate NTD

reporting package for intercity service • If you have an Intercity funded route, it needs to be reported as

either a Commuter Bus (CB) if the intercity portion is on a commuter route, or as Bus (MB) if the intercity portion is on a fixed route or deviated flex route.

National Transit Database Reporting Requirements

IMPORTANT

Must track by mode • Passenger trips • Revenue hours • Revenue miles

NTD Forms – Reduced Reporting (RR-20) Separation by Mode Unlinked passenger trips Annual vehicle revenue hours and miles Subrecipients must first report their direct costs, or costs that

can be easily attributable to one mode, to the respective mode/TOS. Afterwards, for their indirect or shared costs, they can use an allocation method (i.e. allocate by VRM).

National Transit Database New Reporting Changes

National Transit Database Reimbursement Request – new form

Purpose: To ensure accurate NTD reporting See form in your folder

National Transit Database Reimbursement Request – new form

As many costs as possible MUST be allocated directly to a mode (i.e. maintenance for a vehicle, etc.)

Procurement

Procurement Bus Orders

Are you procuring through ADOT? Let your PM know. Get your bus build sheet: November 2018 Invoices for Local Match: December 2018 Submit Local Match: January 2019 Target: Buses to be ordered by February 2019 for Delivery by September 2019

Contracting Opportunities Operations Vehicle Maintenance Fuel Cleaning Facility maintenance and inspection

Contract Services Accounting services Payroll services Additional temp staff Driver uniforms

Maximum Thresholds

Micro Purchase <$3000 or construction < $2000 Small Purchase >$3,000 and <$100,000 Bidding process for $100,000+ Please follow your agency guidelines as long as they are below these maximums

Micro-Purchase Below $3000 What’s involved? Best Procurement Guidelines recommend identifying a list of potential vendors and rotating among them to include DBEs.

Small Purchase $3,000-$100,000

Three Quote Minimum Federal Clauses Use Procurement Pro + ADOT clauses • ADOT will be creating a state portal • See your ADOT contract

$100,000+ purchases Bid type process must be followed Use Procurement Pro project + ADOT clauses and FAST Act clauses (ADOT will be creating a state portal) ICE- Independent Cost Estimate Buy America materials State Procurement office purchases Joint procurement is the preferred method Coordinate with ADOT Program Manager

$100,000+ purchases Bid Cover Page

CFDA Title and Number (20.509 Formula Grants for Rural Areas) Award number and year

(GRT-14-0004675-T, 2014) Federal Transit Administration Pass through entity (ADOT)

Federal Contract Language in ALL Procurements

Purchase Orders—Must include the language Where is the Federal Language? • ADOT’s E-Grants contract • ADOT’s DBE website for LPA/Subrecipients • Procurement Pro

Procurement Pro

Full version includes federal requirements & checklist Short version includes all required federal clauses

Procurement Pro

ADOT requires additional language State portal – upcoming! Type of procurement

Procurement Pro

Provide the cost of the project Federal clauses & docs will be based on FTA’s procurement threshold Refer to your own entity’s policies

Roundtable 1: GTFS

National RTAP – GTFS Builder

http://nationalrtap.org/supportcenter/GTFS-Builder

https://developers.google.com/transit/gtfs/

Roundtable 2: Dispatching Software

Roundtable 3: Driver Training

Roundtable 4: Marketing

Roundtable 5: Transit Advisory Committees

Questions & Answers

Day 1 End See you tomorrow at 8:30 am!

Day 2

Rural Transit Assistance Program (RTAP)

Rural Transportation Assistance Program (RTAP)

Training and training materials are funded Reimbursable at 100% RTAP must be approved 30 days prior to attendance Refer to RTAP Handbook for specific requirements and State travel policy

RTAP Policy Update 5 training events per year 2 out-of-state events per year, must include written approval RTAP reimbursement form copy Refer to RTAP Handbook for specific requirements and State travel policy Request for PASS training books can be submitted through ADOT or CTAA

RTAP: State Travel Policy

RTAP: State Travel Policy Also refer to State travel policy for additional information • Reimbursement rates • Lodging • Meals • Transportation

Must be 50+ miles from training site to be eligible to reimburse

RTAP Reimbursement Billing Summary Form (BSR) Must be submitted within 60 days with supporting documents Must be submitted to MPDinvoice@azdot.gov & RTAP@azdot.gov

RTAP Website http://www.nationalrtap.org/

Excellent newsletter!

http://www.nationalrtap.org/

Site Visits

Site Visits: 2018 & 2019 See your folder for your agency’s 2015 Site Visit Report

FTA Comprehensive Guides FTA’s 2018 Comprehensive Review Guide • Identifies the minimum compliance requirements to

which grant recipients are expected to comply. The guide articulates what is expected of grantees and exactly how FTA determines compliance. All requirements are directly related to specific, citable, written requirements.

https://www.transit.dot.gov/oversight-policy-areas/fy18-comprehensive-review-guide

Site Visits Review your 2015 Final Report

We do not want repeat findings!

Site Visits – Items Covered • Administration and Management

o Legal and governance o Control environment o Project management/grant administration o Financial management o Procurement o Disadvantaged Business Enterprise (DBE) o Personnel o Equal Employment Opportunity (EEO) o Technical assistance o Information technology

Site Visits – Items Covered • Operations and Service Provision

o Asset management and maintenance o Service provision o Americans with Disabilities Act (ADA) o Safety and security o Charter bus o School bus

• Planning and Marketing o Service eligibility o Marketing o Title VI o Planning and coordination

Site Visits – Timeline (tentative)

ADOT enters into contract with Precision Compliance (RLS) for Monitoring Site Visits

August 2018

Kick-off webinar with Sub-recipients September 2018

Sub-recipients send documents to Precision Compliance

Oct-Nov 2018

Site Visits Oct 2018 – Feb 2018

Follow up corrective actions & report Dec 2018 – June 2019

Final close-out report August 2019

Site Visits – Timeline

(1) RLS to Send Letter to Subrecipient

(2) Subrecipient to Upload Requested Material

(3) RLS to Complete Desk Review

(4) Site Visit

(5) RLS to Prepare Draft Report

(6) Subrecipient to Comment on Draft Report

(7) RLS to Finalize Report; ADOT to Issue Report

(8) Subrecipient to Submit Corrective Actions to RLS

(9) ADOT to Address Unresolved Findings

Reimbursement Request: Back up Documentation

Back-up documentation Should be clear and ties to the reimbursement line

item Transit employees who are not 95-100% dedicated to

transit must document for hourly reimbursement from the grant

Site Visits: Financial

E-Grants Sample back-up documentation

Site Visits: Financial

Reimbursement Request: Indirect Costs & ICAP

Indirect Cost Allocation Plan Must be certified by ADOT, FTA or a Cognizant

Federal agency

Indirect Costs – Indirect costs may only be reimbursed based on a current, approved Indirect Cost Allocation Plan

Site Visits: Financial

Contract Reporting

On every reimbursement request, you are certifying that you are reporting your contracting opportunities into the LPA/DBE database.

Please confirm, as part of the DBE program, all contract payments invoiced have been entered in LPA system. https://arizonalpa.dbesystem.com/

Site Visits: Financial/DBE

Site Visit: Transit Advisory Committee Minimum Quarterly

Meetings Should be submitting TAC agendas and minutes to your PM

Site visit: Title VI Reminders

• Title VI Plan – Follow it! • All 5311 Sub-recipients have a current

approved plan • Complaint Process • Title VI Notice to the Public – Poster &

Notice for all Public Outreach • Report staff changes

Log all complaints—ADA & Civil Rights Report discrimination complaints to Civil Rights Office (CRO) and copy your 5311 program managers. Complaint investigation procedures Located in your Title VI Plan

Site visit: Complaints

Service animals Equivalent service Wheelchair service-PASS or other training ADA complaints Transit accessible facilities for public meetings

Site visit: ADA

ADA Review – Refusing Service

Under 49 CFR §37.5(h) of the DOT ADA regulations public transit entities may refuse service to an individual with a disability because that individual “engages in violent, seriously disruptive, or illegal conduct.” However, an entity cannot deny service to an individual with a disability solely because the individual’s disability results in appearance or involuntary behavior that may offend, annoy, or inconvenience employees of the entity or other persons. Before denying service due to an individual’s odor/ hygiene, an agency needs to assess whether the situation rises to the level of “seriously disruptive.” Please see Appendix D to 49 CFR Part 37.5, and Chapter 2.2.7 of the FTA’s ADA Circular, specifically the sections on determining seriously disruptive behavior, determining a direct threat, steps to take before denying service, and rights of an individual to contest service denials.

How to handle a rider who has an odor or what appears to be a wound issue, that is affecting other riders.

ADA Review – Refusing Service

The agency should keep in mind that access to public transit is a civil right and inherent in any civil right is the opportunity for due process. An individual denied service due to the hygiene or behavior-related reasons must have an opportunity to correct the situation and resume service. We recommend to agencies that they document the incidents, substantiate how the issue meets the seriously disruptive standard, and inform the rider in writing why service is being denied and the steps the passenger can take to resume service.

How to handle a rider who has an odor or what appears to be a wound issue, that is affecting other riders.

All procurement files will be reviewed on-site Any item/service that is >$3,000 in the contract period (2 years) needs to have a documented procurement • Fuel, office supplies, uniforms, laundry service

Site visit: Procurements

Maintenance plan (vehicle and building if FTA funded) will be reviewed Files showing how maintenance plan was followed (i.e. scheduled services) will be reviewed Remember: follow your plan! If your plan is insufficient, revise it.

Site visit: Maintenance

Did you run a charter service? Refer to 5311 Guidebook for a list of Exceptions and Exemptions for Charter Exemptions must be logged and reported to ADOT on a quarterly basis Best Practice: Ask ADOT before running a service that you think may be a charter An exemption includes transporting local elected officials – this is okay, however it must be logged and cannot exceed 80 hours per quarter

Site visit: Charters

Site Visits – A learning opportunity The reviewers have seen hundreds of systems. Take advantage of their knowledge. Ask for best practices. We all want you to be running a safe, efficient and compliant transit service.

Site Visits – Drug & Alcohol Audit Herman Bernal will send a formal notice regarding D&A site visits next week

Agency Date

Town of Miami October 15

City of Show Low October 16

Hopi Tribe October 17

Helping Hands (Page Express) October 18

Bullhead City November 26

Kingman November 27

RPTA (Ajo) November 28

Coolidge November 29

Maricopa November 30

Intercity

Intercity ADOT awards 5311(f) intercity to eligible agencies. Required to expend 15% of its apportionment to intercity bus program. Must begin and/or end in Urban areas, but must demonstrate significant ridership and benefits for rural residents to be eligible for 5311f funding. Partnership with Greyhound (Intercity Provider) ADOT funds Intercity feeder Routes that connect to Greyhound

AZ Intercity Routes Agency Subsidized Route

City of Coolidge Florence- Casa Grande

City of Douglas Benson- Lordsburg

City of Show Low Pinetop- Holbrook

Greyhound Lordsburg - Phoenix Tucson-Nogales

Hopi Hopi Tribal Complex -Flagstaff

RTA Pima Ajo- Tucson

YCIPTA San Luis- Yuma

Intercity – Reimbursement Request

Enter your intercity in-kind costs (using the intercity in-kind calculator)

Intercity – Reimbursement Request If you do not receive intercity funds, enter 0

If you receive intercity funds, enter the amount of intercity Federal share

A link to the intercity in-kind calculator is provided

ADOT Intercity Plan

Intercity Requirements – Greyhound

Stephen R. Abernathy, AICP, CTPA

Isaacs & Associates State Government Relations

Questions & Answers

End of the workshop. Thank you for joining us!