Federal Transit Administration Federal Transit Administration State - - PowerPoint PPT Presentation

Federal Transit Administration Federal Transit Administration State Management Review State Management Review

• f the
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Public Transportation Division Public Transportation Division

Joint Legislative Transportation Oversight Committee Joint Legislative Transportation Oversight Committee Miriam Perry, Director Miriam Perry, Director Public Transportation Division Public Transportation Division 12/10/08 12/10/08

Public Transportation Division Public Transportation Division

NCDOT administers/manages 7 FTA NCDOT administers/manages 7 FTA programs, 4 of which were reviewed programs, 4 of which were reviewed

  Section 5310

Section 5310 – – capital needs for elderly and disabled capital needs for elderly and disabled persons persons

  Section 5311

Section 5311 – – general public transit in rural areas general public transit in rural areas

  Section 5316

Section 5316 – – job related transportation for low income job related transportation for low income persons or reverse commute services (rural and urban persons or reverse commute services (rural and urban areas to suburbs for employment access) areas to suburbs for employment access)

  Section 5317

Section 5317 – – disabled transit and supportive services disabled transit and supportive services beyond requirements of Americans with Disabilities beyond requirements of Americans with Disabilities

Review Process Review Process

  FTA conducts reviews of state

FTA conducts reviews of state DOTs DOTs and local and local transit system management of transit funding every transit system management of transit funding every three years three years

  Assesses management and implementation of 4

Assesses management and implementation of 4 FTA programs administered by NCDOT, 2 for the FTA programs administered by NCDOT, 2 for the first time beginning in SFY09 first time beginning in SFY09

  FTA contractors conduct the assessment of 21

FTA contractors conduct the assessment of 21 areas of requirement, with FTA on site as resource areas of requirement, with FTA on site as resource

  2 stages

2 stages – – desk audit and site visit to examine desk audit and site visit to examine supporting documentation and to examine FTA supporting documentation and to examine FTA-

• funded facilities and equipment

funded facilities and equipment

Review Process Review Process

  Review conducted Sept. 30

Review conducted Sept. 30-

• Oct. 3
• Oct. 3

  Exit conference on Oct. 3

Exit conference on Oct. 3

  12 of 21 review areas found deficiencies

12 of 21 review areas found deficiencies

  Draft comments transmitted to FTA on

Draft comments transmitted to FTA on 10/20/08 10/20/08

  Final report transmitted to NCDOT on

Final report transmitted to NCDOT on 11/5/08 11/5/08

Findings Findings

Program Management Program Management

 

State Management Plan (SMP) update incomplete State Management Plan (SMP) update incomplete – – update from 1 update from 1 program to include 3 additional programs program to include 3 additional programs

 

Inadequate staff resources to manage the programs Inadequate staff resources to manage the programs

NCDOT response NCDOT response

 

Draft of plan elements submitted in 7/08 Draft of plan elements submitted in 7/08

 

Completely revised document submitted 11/3/08 Completely revised document submitted 11/3/08

 

FTA comments received on 11/12/08 FTA comments received on 11/12/08

 

Final draft, with FTA comments addressed, transmitted on 12/5/08 Final draft, with FTA comments addressed, transmitted on 12/5/08

 

FTA approval plan on 12/9/08 FTA approval plan on 12/9/08

 

Federal funds will be immediately released for drawdown, based o Federal funds will be immediately released for drawdown, based on n grantee invoices to NCDOT grantee invoices to NCDOT

 

Vacant positions to be reallocated for program manager and funds Vacant positions to be reallocated for program manager and funds management positions utilizing federal program funds management positions utilizing federal program funds

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Slide 5 msp1

miriam perry, 12/10/2008

Findings Findings

Grants Administration Grants Administration

  Grant progress and financial status reports not always

Grant progress and financial status reports not always submitted by deadline submitted by deadline

  Grants with limited activity not closed in a timely manner

Grants with limited activity not closed in a timely manner

NCDOT response NCDOT response

  Recent staff changes have addressed this issue

Recent staff changes have addressed this issue

  Reports submitted and grants closed as scheduled

Reports submitted and grants closed as scheduled

Findings Findings

Selection and Eligibility Selection and Eligibility

 

Process to allocate funds for one program was questioned Process to allocate funds for one program was questioned -

• Is process fair and equitable?

Is process fair and equitable?

 

Did not adhere to schedule for its applications for SFY09 Did not adhere to schedule for its applications for SFY09

NCDOT response NCDOT response

 

Basis for award of grants to NCDOT for the past 27 years Basis for award of grants to NCDOT for the past 27 years

 

Process documented in annual application solicitation and intern Process documented in annual application solicitation and internal al review checklist review checklist

 

FTA has approved previously submitted process FTA has approved previously submitted process

 

SFY09 grant schedule included 3 additional programs, with 5 new SFY09 grant schedule included 3 additional programs, with 5 new staff members staff members

 

Detailed process documented in updated SMP Detailed process documented in updated SMP

Findings Findings

Intercity Bus Intercity Bus

 

15% of the annual Section 5311 apportionment not expended for 15% of the annual Section 5311 apportionment not expended for intercity bus service for 2 years intercity bus service for 2 years

NCDOT response NCDOT response

 

Utilized funds from previous year grant to support intercity bus Utilized funds from previous year grant to support intercity bus service service

 

Funds not needed to support major corridors/routes identified Funds not needed to support major corridors/routes identified for intercity bus service for intercity bus service

 

Funds are to be Funds are to be “ “programmed programmed” ” only for qualifying intercity service

• nly for qualifying intercity service

Findings Findings

Maintenance Maintenance

 

NCDOT does not provide adequate oversight of subrecipient vehicl NCDOT does not provide adequate oversight of subrecipient vehicle e maintenance practices maintenance practices

NCDOT response NCDOT response

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All contracts between NCDOT and transit system have a vehicle an All contracts between NCDOT and transit system have a vehicle and d facility maintenance clause facility maintenance clause

 

System Safety Program Plan (SSPP) approved by FTA in 2006 System Safety Program Plan (SSPP) approved by FTA in 2006 incorporates vehicle maintenance documentation review incorporates vehicle maintenance documentation review

 

Reviews began in 7/07 on 3 Reviews began in 7/07 on 3-

• yr. cycle, with 1/3 to be conducted
• yr. cycle, with 1/3 to be conducted

annually annually

 

Schedule developed to review remaining 43 systems Schedule developed to review remaining 43 systems’ ’ vehicle vehicle maintenance documentation, beginning 12/08 maintenance documentation, beginning 12/08

 

Working with ITRE to accelerate implementation of web Working with ITRE to accelerate implementation of web-

• based

based software software

Findings Findings

Procurement Procurement

 

NCDOT does not provide adequate oversight of subrecipient NCDOT does not provide adequate oversight of subrecipient procurement activities procurement activities

NCDOT response NCDOT response

• Established process for subrecipient invoices to be accompanied

Established process for subrecipient invoices to be accompanied by by procurement checklist procurement checklist

• NCDOT conducts vehicle procurements on behalf of

NCDOT conducts vehicle procurements on behalf of subrecipients subrecipients, , rural and urban, to ensure compliance with federal procurement rural and urban, to ensure compliance with federal procurement requirements requirements

 

Five vehicle and equipment bids were examined in detail during Five vehicle and equipment bids were examined in detail during review review – – no errors were identified no errors were identified

 

Four local quotes reviewed were for radio equipment between Four local quotes reviewed were for radio equipment between $2,500 and $30,000 $2,500 and $30,000

 

New staff is aware of checklist requirement New staff is aware of checklist requirement

Findings Findings

Disadvantaged Business Enterprise (DBE) Disadvantaged Business Enterprise (DBE)

 

NCDOT NCDOT’ ’s s DBE program needs updating DBE program needs updating

 

FY08 goal setting methodology incorrect FY08 goal setting methodology incorrect

 

Semi Semi-

• annual DBE report not submitted by deadline

annual DBE report not submitted by deadline NCDOT response NCDOT response

 

NCDOT did have an approved DBE program plan and the DBE NCDOT did have an approved DBE program plan and the DBE liaison position was identified liaison position was identified

 

DBE goal DBE goal-

• setting methodology approved by FTA since FY02 and

setting methodology approved by FTA since FY02 and based upon guidance based upon guidance

 

Report submitted to FTA on 12/1/08 Report submitted to FTA on 12/1/08 – – responsible unit identified responsible unit identified

Findings Findings

Planning and Coordination Planning and Coordination

 

NCDOT should increase its efforts to provide technical assistanc NCDOT should increase its efforts to provide technical assistance to e to areas in the state to develop transit human service coordination areas in the state to develop transit human service coordination plans plans

NCDOT response NCDOT response

 

Locally developed transit human service coordination plan requir Locally developed transit human service coordination plan required ed to access 3 federal programs to access 3 federal programs

 

Training sessions provided at conferences since Fall 2006 and Training sessions provided at conferences since Fall 2006 and workshops in 2008 workshops in 2008

 

Provided program information to DHHS agencies Provided program information to DHHS agencies

 

Step by step guide on NCDOT website Step by step guide on NCDOT website

 

91 counties (91%) to date either have plans are in the process 91 counties (91%) to date either have plans are in the process of

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completion (FTA goal of 70%) completion (FTA goal of 70%)

 

Some transit agencies uninterested in pursuing funds Some transit agencies uninterested in pursuing funds – – will work will work with county managers with county managers

Findings Findings

Americans with Disabilities Act Americans with Disabilities Act

 

NCDOT did not fully monitor subrecipient activity related to ADA NCDOT did not fully monitor subrecipient activity related to ADA compliance compliance

NCDOT response NCDOT response

 

System safety review includes assessment of lift equipment System safety review includes assessment of lift equipment

 

Program funding application describes how the service will meet Program funding application describes how the service will meet the the needs of the disabled needs of the disabled

 

Requirement for vehicle fleet minimum of 20% lift equipped vehic Requirement for vehicle fleet minimum of 20% lift equipped vehicles les – – many have 50% to 100% many have 50% to 100%

 

Newly realigned Office of Civil Rights to provide assistance Newly realigned Office of Civil Rights to provide assistance

Findings Findings

Charter Bus Charter Bus

 

NCDOT did not have process in place to capture charter informati NCDOT did not have process in place to capture charter information

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for for subrecipients subrecipients

NCDOT response NCDOT response

 

New rule effective 4/08 and initially did not require states to New rule effective 4/08 and initially did not require states to report report

 

Form developed, information obtained from Form developed, information obtained from subrecipients subrecipients and and reported to FTA reported to FTA

Findings Findings

Drug Free Workplace Drug Free Workplace

  NCDOT

NCDOT’ ’s s policy does not incorporate 3 elements policy does not incorporate 3 elements

NCDOT response NCDOT response

 

NCDOT NCDOT’ ’s s policy includes wording for the elements and are more policy includes wording for the elements and are more restrictive than restrictive than FTA FTA’ ’s s

 

Seeking FTA input on whether exact wording is required Seeking FTA input on whether exact wording is required

Findings Findings

Drug and Alcohol Program Drug and Alcohol Program

 

NCDOT did not complete site visits for majority of NCDOT did not complete site visits for majority of subrecipients subrecipients during past 3 years during past 3 years

NCDOT response NCDOT response

 

Results of annual report to FTA good enough to forego review of Results of annual report to FTA good enough to forego review of NCDOT NCDOT

 

NCDOT began reviews in FY07 NCDOT began reviews in FY07

 

3 3-

• yr. cycle
• yr. cycle

 

40 reviews (62%) of the 68 grantees completed by July 2008 (staf 40 reviews (62%) of the 68 grantees completed by July 2008 (staff f person retired in 7/08) person retired in 7/08)

 

Provides program training for Provides program training for subrecipients subrecipients to ensure compliance to ensure compliance

SFY09 Program Funding SFY09 Program Funding

Available Available Applied for from FTA based on Applied for from FTA based on Eligible Applications Received Eligible Applications Received

Section 5310 Section 5310 $3,136,214 $3,136,214 $370,797 $370,797 Section 5316 Section 5316 $2,249,754 $2,249,754 $837,365 $837,365 Section 5317 Section 5317 $1,450,866 $1,450,866 $349,417 $349,417 Section 5311 Section 5311 $24,158,134 $24,158,134 $26,378,954 $26,378,954

Minimum Funding Minimum Funding Requirements Requirements

 

Locally developed transit human service coordinated plan Locally developed transit human service coordinated plan -

• Must be developed through a process that includes

Must be developed through a process that includes representatives of public, private, and non representatives of public, private, and non-

• profit transportation

profit transportation and human service providers, participation by the public, and and human service providers, participation by the public, and representatives addressing the needs of older adults and representatives addressing the needs of older adults and individuals with disabilities. individuals with disabilities.

 

Projects must be competitively selected Projects must be competitively selected

 

Projects must address federal program objectives Projects must address federal program objectives

 

New Freedom New Freedom – – must be for service not funded as of 8/05 and must be for service not funded as of 8/05 and exceed requirements of ADA exceed requirements of ADA

Next Steps Next Steps

 

Call for projects in 12/08 for all 4 programs Call for projects in 12/08 for all 4 programs

 

NCDOT increased its technical assistance in plan development NCDOT increased its technical assistance in plan development

 

Application workshops to be held in January following call for Application workshops to be held in January following call for projects projects

 

Conference call with FTA on 12/10 to further discuss findings an Conference call with FTA on 12/10 to further discuss findings and d NCDOT corrective action NCDOT corrective action

 

Corrective action completed or initiated for all areas identifie Corrective action completed or initiated for all areas identified d

Questions? Questions?