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ST IF F or mula F und R e por ting R e quir e me nts We binar May 21, 2018 L ynda Vira y, F o rmula F und Pro g ra m Co o rdina to r Da vid Gra f, ST I F F und Co o rdina to r K a ryn Criswe ll, ST I F I mple me nta tio n

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SLIDE 1

ST IF F

  • r

mula F und R e por ting R e quir e me nts

We binar May 21, 2018

L ynda Vira y, F

  • rmula F

und Pro g ra m Co o rdina to r Da vid Gra f, ST I F F und Co o rdina to r K a ryn Criswe ll, ST I F I mple me nta tio n Pro je c t Ma na g e r Ja ne l Hull, We b ina r Suppo rt

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SLIDE 2

How to Ask Que stions

  • Yo u will b e mute d during the we b ina r
  • I

f yo u ha ve a q ue stio n, use the c ha t b o x

2

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SLIDE 3

T

  • pic s
  • Re po rting Ove rvie w
  • Ro le s a nd Re spo nsib ilitie s
  • Qua rte rly Re po rting
  • Annua l Re po rting
  • ST

I F Pla n E xpe nditure s: Co mplia nc e a nd Co nsiste nc y

  • Re so urc e s a nd Co nta c ts

3

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SLIDE 4

R e por ting Ove r vie w

4

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SLIDE 5

F

  • r

mula F und R e por ting Ove r vie w

  • Quar

te r ly R e por ting: QE

s pre pa re q ua rte rly re po rt to ODOT

  • n pro je c t pro g re ss, o utc o me s, a nd e xpe nditure s
  • Annual R

e por ting: 1) lo w inc o me mitig a tio n a c tio ns, 2)

a nnua l QE b udg e t, a nd 3) a nnua l fina nc ia l a udit

  • Note : ST

I F Disc re tio na ry/ I nte rc o mmunity re po rting : Se pa ra te re po rting re q uire me nts a re fo rthc o ming .

5

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SLIDE 6

R

  • le s and R

e sponsibilitie s

6

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SLIDE 7

R

  • le s and R

e sponsibilitie s

QE R e sponsibilitie s

  • I

nitia te a nd sub mit the q ua rte rly re po rt, ST I F Pe rio dic Re po rt (SPR)

  • De le g a te re le va nt pro je c ts in the SPR to pro vide rs so

tha t the y c a n e nte r upda te s

  • Re po rt o n ST

I F c a pita l a sse t inve nto ry in the Ag e nc y Pe rio dic Re po rt (APR)

7

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SLIDE 8

R

  • le s and R

e sponsibilitie s

QE R e sponsibilitie s (Continue d)

  • Bundle a nd sub mit a ll lo w-inc o me re po rts fro m PT

SPs (inc luding no n-fo rmula PT SPs)

  • Pro vide a c o py o f a do pte d a nnua l b udg e t to ODOT
  • Pro vide c o pie s o f fina nc ia l a udits to ODOT

, inc luding ST I F pro c e dure s

8

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SLIDE 9

R

  • le s and R

e sponsibilitie s

PT SPs R e sponsibilitie s

  • Re c e ive SPR pro mpt fro m the

QE a nd e nte r pro je c t upda te s

  • Sub mit a n a nnua l lo w-inc o me

mitig a tio n re po rt to the QE

  • Pro vide s c o pie s o f fina nc ia l

a udits to ODOT , inc luding ST I F pro c e dure s

  • Re po rt o n ST

I F c a pita l a sse t inve nto ry in APR

9

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SLIDE 10

Quar te r ly R e por ting

10

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SLIDE 11

11

Quar te r ly R e por ting

Type of Reporting Quarterly Basis Outcomes  revenue miles  revenue hours  rides  number of new stops shared with

  • ther providers

 number of students in grades 9‐12 served by demand response  number of students in grades 9‐12 with free or reduced fares Capital Assets Acquired, purchased or leased Capital Assets by QEs and PTSPs using STIF Formula and/or Discretionary and Intercommunity funds

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SLIDE 12

12

Quar te r ly R e por ting

  • SPR te mpla te will b e in OPT

I S b y July 2019

  • ODOT

will e nte r yo ur ST I F Pla n into OPT I S

  • ODOT

sta ff will tra c k c o mple tio n a nd c o nsiste nc y with ST I F Pla n to de te rmine :

– Co mplia nc e with a ppro ve d ST

I F Pla n

– F

a ilure to c o mply

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SLIDE 13

13

Quar te r ly R e por ting and Disbur se me nt Sc he dule (Standar d)

STIF Formula Fund Disbursement and Reporting Schedule Disbursement to QEs Jan 15 Apr 15 Jul 15 Oct 15 QE STIF Plan reporting period Jan‐Mar Apr‐Jun Jul‐Sep Oct‐Dec QE STIF Plan reports due to ODOT May 15 Aug 14 Nov 14 Feb 14

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SLIDE 14

14

Quar te r ly R e por ting and Disbur se me nt Sc he dule (Initial Submittals)

STIF Cycle 2 (May 2019 Submissions)

Disbursement to QEs Oct 15, 2019* contingent upon STIF Plan approval QE STIF Plan reporting period Jul 2018‐Dec 2019 QE STIF Plan reports due to ODOT Feb 14, 2020

STIF Cycle 1 (November 2018 Submissions)

Disbursement to QEs May 15, 2019 Jul 15, 2019 Oct 15, 2019 QE STIF Plan reporting period Jul 2018‐Jun 2019 Jul‐Sep 2019 Oct‐Dec 2019 QE STIF Plan reports due to ODOT Aug 14, 2019 Nov 14, 2019 Feb 14, 2020

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SLIDE 15

SPR – ST IF ite ms

  • F
  • rmula fund pro je c t

sta tus

  • T

a sk le ve l e xpe nditure s

  • Me a sura b le b e ne fits
  • Outc o me s
  • Pro g ra m c rite ria

APR

  • Vo lunte e r a nd no n-c a sh

re so urc e s

  • Asse t ma na g e me nt
  • Ac c ide nts
  • Civil rig hts

Re po rt a t a g e nc y le ve l

ST IF Pe r iodic R e por t vs. Age nc y Pe r iodic R e por t

15

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SLIDE 16

16

Quar te r ly R e por ting - OPT IS

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SLIDE 17

17

Quar te r ly R e por ting – T ask R e por t

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SLIDE 18

18

Quar te r ly R e por ting – Outc ome s and R e por ting Me thods

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SLIDE 19

19

Quar te r ly R e por ting – ST IF Capital Asse ts

  • Re po rting in APR q ua rte rly
  • Ca pita l a sse ts inc lude :

–

a c q uire d, purc ha se d, o r le a se d c a pita l a sse ts b y QE s

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SLIDE 20

Annual R e por ting

20

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SLIDE 21

21

Annual R e por ting

Type of Reporting Annual Basis Outcomes

(4th quarter SPR)

  • number of people within a half mile of transit stop
  • number of Low‐Income Households within a half mile of transit stop
  • number of students in grades 9‐12 attending a school served by transit
  • number of rides provided to students in grades 9‐12

Program Criteria

(4th quarter SPR)

  • increases frequency to areas with high‐percentage of low income households
  • expands routes or services to areas with high‐percentage of low‐income households
  • reduces fares in communities with high percentage of low‐income households
  • procures low‐or no‐emission buses for use in areas with population of 200,000 or more
  • improves frequency and reliability of service between communities in and out of QE’s

service area

  • improves coordination among PTSPs to reduce fragmentation of service
  • provides student transit for students in grades 9‐12

Low‐Income Mitigation Report on mitigating the impact of the tax on low‐income passengers QE Budget Copy of QE’s adopted annual budget Financial Audits Copies of financial audits, including STIF procedures

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SLIDE 22

22

Annual R e por ting Outside of SPR

  • T

hre e a dditio na l do c ume nts sub mitte d a nnua lly:

–

Re po rt o n mitig a ting the impa c t o f the ta x o n lo w-inc o me pa sse ng e rs

–

QE b udg e t

–

Annua l fina nc ia l a udits

  • I

nstruc tio ns o n ho w to sub mit the se thre e do c ume nts in July 2019 we b ina r

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SLIDE 23

23

Annual ST IF L

  • w-Inc ome Mitigation R

e por ts

  • Must c o nsist o f a c tio ns ta ke n b y a ny PT

SP to mitig a te the impa c t o f the ST I F ta x o n pa sse ng e rs who re side in lo w‐inc o me c o mmunitie s

  • PT

SPs will sub mit re po rts to the ir re le va nt QE a nd the QE will b undle the lo w-inc o me re po rts fo r sub mitta l to ODOT

  • Re po rt will pro vide info rma tio n o n do lla rs spe nt to impro ve

a nd e xpa nd tra nspo rta tio n se rvic e s to L

  • w-I

nc o me Ho use ho ld a re a s

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SLIDE 24

24

Annual QE Budge t

  • A c o py o f QE

’ s a do pte d a nnua l b udg e t fo r the upc o ming fisc a l ye a r must b e sub mitte d to ODOT

  • De a dline fo r ODOT

re c e ipt o f e a c h QE s’ b udg e ts is no la te r tha n 30 da ys a fte r a do ptio n.

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SLIDE 25

25

Annual F inanc ial Audits

  • A QE
  • r a ny PT

SP lo c a te d within the QE ’ s a re a o f re spo nsib ility must sub mit the re sults o f a ny re le va nt fina nc ia l a udit

  • T

his inc lude s a ny re q uire d lo c a l, sta te , fe de ra l, o r a ny vo lunta rily sub mitte d a udits. E xa mple s:

–

T he sta te fina nc ia l re po rt re q uire d unde r ORS 291.040

–

T he re sults o f a ny re vie w c o mple te d b y the F T A

–

I nfo rma tio n sub mitte d a s pa rt o f the re q uire me nts o f a sta te wide a udit

  • A QE

is no t e xpe c te d to a udit the ir sub re c ipie nts

–

T he QE ’ s ro le is limite d to c o mplia nc e o ve rsig ht

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SLIDE 26

ST IF Disc r e tionar y/ Inte r c ommunity R e por ting

Sta y tune d: Re q uire me nts unde r de ve lo pme nt

26

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SLIDE 27

ST IF Plan E xpe nditur e s: Complianc e and Consiste nc y

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SLIDE 28

28

Intr

  • duc tion
  • Unde r OAR 732-042-0025(5)(e ) the Ore g o n T

ra nspo rta tio n Co mmissio n ma y re je c t a ST I F Pla n fo r F

  • rmula F

unding if the “…Qualifie d E

ntity faile d to e xpe nd ST IF F

  • r

mula funds in a manne r that substantially c omplie d with a pr ior appr

  • ve d ST

IF Plan.”

  • T

he purpo se is to pro vide g uida nc e o n:

– E

xpe nditure s c o nside re d c o nsiste nt with ST I F pla n

– E

xpe nditure s c o nside re d inc o nsiste nt with ST I F pla n

– De te rmine sub sta ntia l c o mplia nc e with ST

I F Pla n

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SLIDE 29

29

Consiste nt Spe nding

  • Shifting budge t on same type s of ac tivitie s ac r
  • ss pr
  • je c ts

– e .g . unuse d ve hic le purc ha se funds fro m Pro je c t 1 to Pro je c t 2 fo r

ve hic le purc ha se s

– T

  • ta l e xpe nditure s c a n’ t e xc e e d b udg e t o f b o th pro je c ts c o mb ine d

– ODOT

pre -a ppro va l re q uire d whe n e xpe nditure is g re a te r tha n 10%

  • f pro je c t c o st o r $250,000, whic he ve r is le ss
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SLIDE 30

30

Consiste nt Spe nding

  • Shifting budge t within same pr
  • je c t

– e .g . Pro je c t 4 T

a sk 1 ha s unuse d funds, re a llo c a te to Pro je c t 4 T a sk 3

– T

  • ta l e xpe nditure s c a n’ t e xc e e d pro je c t b udg e t to ta l

– ODOT

pre -a ppro va l re q uire d

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SLIDE 31

31

Consiste nt Spe nding

  • Pr
  • je c ts at c lose of a ST

IF Plan pe r iod whe r e de live r able s have not be e n c omple te d c an r

  • ll ove r

to the ne xt ST IF Plan pe r iod

– E

xpla na tio n fo r unfinishe d pro je c ts re q uire d

  • Car

r y for war d and unspe nt funds c an r

  • ll ove r

to the ne xt ST IF Plan pe r iod

– E

xpla na tio n fo r c a rrying funding fo rwa rd to the ne xt ST I F Pla n pe rio d

  • Pr
  • gr

am r e se r ve spe nding

– Na rra tive must b e pro vide d o n whic h e xisting pla n pro je c ts a nd

ta sks we re supple me nte d

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SLIDE 32

32

Consiste nt Spe nding

  • De bt payme nts made on pr
  • je c ts and tasks spe c ific ally outline d in ST

IF Plan

  • De lays in pr
  • je c t spe nding within ST

IF Plan pe r iod

– E

nsure tha t a t le a st 1% o f to ta l e xpe nditure s suppo rt tra nspo rta tio n fo r stude nts in g ra de s 9-12 e a c h fisc a l ye a r

  • Shifting budge t be twe e n QE

s and the ir subr e c ipie nt PT SPs and shifting be twe e n individual PT SPs

– Co nc urre nc e o f b o th pro vide rs in writing re q uire d prio r to tra nsfe r

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SLIDE 33

33

Inc onsiste nt Spe nding

  • Going ove r

your ST IF plan budge t

  • Shifting budge t be twe e n both ac tivity type and pr
  • je c t

– e .g . unuse d ve hic le funds fro m Pro je c t 1 ma y no t g o to o pe ra tio ns in

Pro je c t 2

  • De bt payme nts made to pr
  • je c ts and tasks that did not spe c ific ally

de sc r ibe use of de bt financ ing in the ST IF plan

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SLIDE 34

34

Inc onsiste nt Spe nding

  • Both shifting budge t within tasks and be twe e n pr
  • je c ts

– Shifting b udg e t o n sa me type s o f a c tivitie s a c ro ss pro je c ts orshifting

b udg e t within sa me pro je c t, but not both

– e .g . Pro je c t 4 shifte d b udg e t fro m T

a sk 1 to T a sk 3, it c a nno t re c e ive a dditio na l funds fro m o the r pro je c ts, no r c a n it tra nsfe r b udg e t to

  • the r pro je c ts
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SLIDE 35

35

Complianc e

  • F

ailur e to c omple te one or mor e of the following ac tions may r e sult in a de te r mination of ST IF Plan non-c omplianc e

– At le a st 1% o f e xpe nditure s spe nt suppo rting tra nspo rta tio n fo r

stude nts in g ra de s 9-12 in e a c h fisc a l ye a r (F Y)

– At le a st o ne pro je c t tha t b e ne fits lo w-inc o me ho use ho lds o ve r the

ST I F Pla n pe rio d

– All re po rts a re c o mple te a nd o n time o ve r the ST

I F Pla n pe rio d

– Pro vide do c ume nta tio n tha t suppo rts ST

I F Pla n e xpe nditure s

  • ODOT

will ide ntify c omplianc e issue s and wor k with QE towar d r e solution

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SLIDE 36

R e sour c e s and Contac ts

36

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SLIDE 37

R e sour c e s

37

  • ST

I F F

  • rmula Re po rting Re q uire me nts Ove rvie w

https:/ / www.o re g o n.g o v/ ODOT / RPT D/ RPT D%20Co mmitte e %20Me e ting %20Do c ume nts/ ST I F

  • F
  • rmula -

Re po rting -Re q uire me nts-Ove rvie w.pdf

  • Guida nc e fo r De te rmining Whe the r E

xpe nditure s a re Sub sta ntia lly Co mplia nt a nd Co nsiste nt with ST I F Pla n

https:/ / www.o re g o n.g o v/ ODOT / RPT D/ RPT D%20Co mmitte e %20Me e ting %20Do c ume nts/ ST I F

  • Sub sta ntia lly-Co mplia nt-Co nside ra tio ns.pdf
  • Ag re e d upo n Audit Pro c e dure s

https:/ / www.o re g o n.g o v/ ODOT / RPT D/ RPT D%20Co mmitte e %20Me e ting %20Do c ume nts/ ST I F

  • Ag re e d-

Upo n-Audit-Pro c e dure s-F

  • rm.pdf
  • Co mplia nc e QE

Sub re c ipie nt Ove rsig ht Guide

https:/ / www.o re g o n.g o v/ ODOT / RPT D/ RPT D%20Do c ume nt%20L ib ra ry/ ST I F

  • F
  • rmula -QE
  • Sub re c ipie nt-

Ove rsig ht-Guide .pdf

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SLIDE 38

38

Contac ts

  • L

ynda Vira y, F

  • rmula F

und Pro g ra m Co o rdina to r, 503-986-3416, L ynda .Vira y@ o do t.sta te .o r.us

  • Da vid Gra f, ST

I F F isc a l Ana lyst, 503-986-3472, Da vid.J.Gra f@ o do t.sta te .o r.us

  • Da vid Sc hwe rt, Co mplia nc e Co o rdina to r, 503-986-4305,

Da vid.J.Sc hwe rt@ o do t.sta te .o r.us

  • K

a ryn Criswe ll, ST I F Pro je c t Ma na g e r, 503-856-6172, K a ryn.C.Criswe ll@ o do t.sta te .o r.us