SECTION 5316 PROGRAM JOB ACCESS AND REVERSE COMMUTE (JARC) PROGRAM

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1 Approved: Effective: June 8, 2010 Office: Transit Topic No.: b SECTION 5316 PROGRAM JOB ACCESS AND REVERSE COMMUTE (JARC) PROGRAM PURPOSE: To detail the Florida Department of Transportation Public Transit Office's administration and management of the Federal Transit Administration's (FTA) Section 5316 JARC Program, 49 U.S.C This procedure shall also serve as the State Management Plan required by FTA. AUTHORITY: Sections 20.23(4)(a) and (3), Florida Statutes (F.S.) SCOPE: The principal users of this procedure are public transportation staff at both the Central and District Offices levels, specifically those involved in administering the Section 5316 JARC Program (i.e., Central Office Grant Programs Administrator and staff, District Public Transportation/Office of Modal Development/Mobility Management Managers, and District staff). REFERENCES: FTA Circular as amended Rule Chapter 14-73, Florida Administrative Code (F.A.C.) Public Transportation Chapter 341, Florida Statutes (F.S.) Chapter 427, Florida Statutes (F.S.) Rule Chapter 14-90, F.A.C. Rule Chapter 41-2, F.A.C. Section , Florida Statutes (F.S.) 49 CFR Parts 18 and 19 FTA Circular as amended FTA Circular as amended FTA Circular as amended

2 FTA Circular as amended OMB Circular A-87 Procedure , Transit Vehicle Inventory Management Procedure , Bus Transit System Safety Program Procedure , Public Transportation Vehicle Leasing Procedure , Commuter Assistance Program Procedure , Public Transportation Joint Participation Agreement Procedure , Federal and Florida Single Audit Procedure FDOT Guidelines for Acquiring Vehicles DEFINITIONS: b Page 2 of 17 CATEGORY A PROJECT: A project certified by the District Office as having met all the statutory and administrative requirements for approval. CATEGORY B PROJECT: A project the District Office anticipates approving, but that has not met all the statutory and administrative requirements for approval. CATEGORY C PROJECT: A "program reserve" designated to accommodate unanticipated project and program needs. May not be more than 10% of the district allocation. CENTRAL OFFICE: For the purposes of this procedure, the Department of Transportation, Public Transit Office or staff located in Tallahassee. COMMUNITY TRANSPORTATION COORDINATOR (CTC): A transportation entity recommended by a metropolitan planning organization, or by the appropriate designated official planning agency pursuant to Sections (1), F.S., in an area outside the purview of a metropolitan planning organization, and approved by the Commission, to ensure that coordinated transportation services are provided to the transportation disadvantaged in a designated service area. COORDINATION CONTRACT: A written agreement between the CTC and an agency receiving transportation disadvantaged funds and performs some, if not all of its own transportation services, as well as transportation services to others, when shown to be more effective and more efficient from a total system perspective. The agreement reflects the specific terms and conditions that apply to those agencies providing their own transportation services, as well as joint utilization and cost provisions for transportation services to and from the CTC. COST ALLOCATION OR FORCE ACCOUNT PLAN: The plan which documents how an agency will allocate indirect or capital preventative maintenance costs to a specific project. The plan will contain, but need not be limited to, the nature and extent of

3 Page 3 of 17 services provided and their relevance to the federally sponsored project; items of expense to be included; methods to be used in distributing costs; and the appropriate Civil Rights program data. DESIGNATED OFFICIAL PLANNING AGENCY: An entity so designated by the Florida Commission for the Transportation Disadvantaged to provide planning and support functions for transportation disadvantaged services. DISTRICT OFFICE: For the purposes of this procedure, the Department of Transportation District Public Transportation Office/District Office of Modal Development/Mobility Management and/or staff. DISTRICT PROGRAM OF PROJECTS (POP): A district listing of each applicant agency for which a grant award is proposed, a description of the project to be funded, and the proposed federal, state and local share of the project cost. The district program of projects includes certification by the District Office that all applicants and projects so proposed either meet all program requirements or will meet all program requirements before a JPA is executed. See Attachments A and B of these procedures for a sample format. ELIGIBLE EXPENSES, CAPITAL: Eligible capital expenses are limited to buses, vans or other paratransit vehicles, radios and communications equipment, wheelchair lifts and restraints, vehicle rehabilitation, microcomputer hardware/software, initial installation costs, vehicle procurement, inspection and acceptance costs, construction or rehabilitation of transit facilities including design, engineering, and land acquisition, and other durable goods such as spare components with unit cost over $300 and a useful life of more than one year. Equipment purchased must be necessary and reasonable to the provision of public transportation services for JARC program eligible clients. The federal share for eligible capital expenses may not exceed 80% except in the following instances: the federal share may be 90% for those capital projects used to provide access for bicycles to mass transit facilities; used to purchase vehicle-related equipment required by the Clean Air Act Amendments of 1990 (CAAA); or required to comply with the Americans with Disabilities Act of 1990 (ADA). It is only the incremental cost of the required equipment that may be funded at 90%, not the entire cost of the vehicle. For vehicle capital purchases, the Department will pay 10% of the match. The remaining match will be provided by the subrecipient. ELIGIBLE EXPENSES, OPERATING: The total administrative, management, and operation costs directly incident to the provision of public transportation services less operating revenues. The Federal share for net eligible operating costs may not exceed 50%. The remaining match is local funds.

4 Page 4 of 17 ELIGIBLE RECIPIENT: Political subdivisions of the State of Florida and agencies thereof, Indian Tribes, private non-profit organizations, operators of public transportations services, including private for-profit operators and designated Community Transportation Coordinators, pursuant to Chapter 427, F.S., are eligible recipients for the Section 5316 JARC Program. ELIGIBLE SERVICE: Funds from the Section 5316 JARC Program are available for capital, planning, and operating expenses that support the development and maintenance of transportation services designed to transport low-income individuals to and from jobs and activities related to their employment and to support reverse commute projects. Attachment E includes a list of sample projects which can be funded with Section 5316 JARC Program funds. JOINT PARTICIPATION AGREEMENT (JPA): A contract between the Department of Transportation and a local sponsor (i.e., eligible recipient) of a transportation project, defining a project and the Department's participation. JPAs are to be developed and executed in accordance with the provisions outlined in Public Transportation Joint Participation Agreement Procedure, and the Public Transportation JPA Handbook. LEGAL AUTHORITY AND FISCAL & MANAGERIAL CAPABILITY: Applicants must have the legal authority and fiscal/managerial capability to apply for federal assistance. Applicants are required to have sufficient local funds for match requirements and for maintenance and operation of vehicles/equipment. Failure to properly manage, maintain, and operate vehicles/equipment will jeopardize the existing and future grants and may result in the removal of vehicles/equipment. LOCAL CAPITAL MATCHING FUNDS: The local capital share must be at least 20% of the total project. State funds may support up to ten percent (10%) of eligible capital costs, with the remaining ten percent (10%) being supported by a local funds. Applicants may not borrow funds to use as match nor may they place liens on Section 5316 funded vehicles or equipment. LOCAL OPERATING MATCHING FUNDS: The Section 5316 Program federal share of eligible operating expenses may not exceed 50% of the net operating costs. Some combination of state, local, or private funding sources must be identified and committed to provide the required non-federal share. The non-federal share may be cash, or inkind. It may be local, private, or state funds (not to exceed 50% the non-federal share). It may not include funds borrowed against the value of capital equipment funded in whole or in part by state and/or federal sources.

5 Page 5 of 17 LOCALLY DEVELOPED, COORDINATED PUBLIC TRANSIT-HUMAN SERVICES TRANSPORTATION PLAN: A plan that identifies the transportation needs of individuals with disabilities, older adults, and people with low incomes, provides strategies for meeting those local needs, and prioritizes transportation services for funding and implementation. Projects considered for JARC funding must serve identified needs of the low income population. The Transportation Disadvantaged Service Plan will (TDSP) serve as the Coordinated Public Transit-Human Services Transportation Plan. Stakeholders identified in circular should be included in the development of the TDSP. MOBILITY MANAGEMENT: consists of short-range planning and management activities and projects for improving coordination among public transportation and other transportation-service providers carried out by a recipient or subrecipient through an agreement entered into with a person, including a government entity, under 49 U.S.C. Chapter 53 (other than Section 5309). Mobility management does not include operating public transportation services. NON-URBANIZED AREA: The area outside of an urbanized area. An urbanized area is defined as "a core area and the surrounding densely populated area with a population of 50,000 or more, with boundaries fixed by the Census Bureau or extended by State and local officials." For the purposes of this procedure, the urbanized area map as approved by the Metropolitan Planning Organization, Florida Department of Transportation and the Federal Highway Administration, available from the District Planning Sections, shall be used to determine eligible service areas. OPERATING REVENUE: The sum of all fares paid by passengers, whether such fares are paid at the time service is provided or via a prepaid arrangement such as passes or tokens. Operating revenue excludes revenues from contracts with social service agencies which pay for transportation of social service clients. PARATRANSIT: Types of passenger transportation which are more flexible than conventional fixed-route transit but more structured than the use of private automobiles. Paratransit includes demand response (DR) transportation services, shared-ride taxis, carpooling and vanpooling (VP), and jitney (JT) services. Paratransit most often refers to wheelchair-accessible, demand response (DR) service. PREVENTATIVE MAINTENANCE COSTS: Preventative maintenance as defined in the National Transit Database (NTD). All the activities, supplies, materials, labor, services, and associated costs required to preserve or extend the functionality and serviceability of the asset in a cost effective manner, up to and including the current state of the art for maintaining such asset. These capital maintenance expenses are eligible to use FTA capital funds for vehicle maintenance. If the subrecipient is using

6 Page 6 of 17 their own employees to perform the maintenance activities, they must submit a force account or cost allocation plan to the Department. PREVENTATIVE MAINTENANCE PLAN: A living document that outlines an agency s current preventative maintenance goals, policies and procedures. It includes short and long term goals and objectives, filing procedures, staff responsibilities, and maintenance inspection policies and procedures. It will also include sample documents that are used by the agency for A B C inspections, daily inspections, road call logs and work orders. PRIVATE NONPROFIT PROVIDER: A nonpublic entity with a tax-free status that provides public transportation services. Nonprofit entities exist to provide a particular service (e.g., public transportation) to the community. Nonprofit refers to a type of business, organized under rules forbiding the distribution of profits to owners. Profit refers to a surplus of revenues over expenditures. PUBLIC TRANSIT: The transporting of people by conveyances or systems of conveyances, traveling on land or water, local or regional in nature, and available for use by the general public. Public transit includes those forms of transportation commonly known as "paratransit" characterized by their nonscheduled, non- fixed route nature. REVERSE COMMUTE: Reverse commute projects are projects that provide transportation services from inner city areas to jobs, job training or educational facilities in suburban employment centers. SERVICE APPORTIONMENT AREA: Under federal statutory, 60% of the national program is awarded to urban areas with population over 200,000. The remaining 40% of the national program is split between small urban areas with population above 50,000 but below 200,000 and rural areas with population under 50,000. The FDOT is the designated recipient for small urban and rural areas. Funds allocated for small urban areas must be awarded to projects in small urban areas. Funds allocated for rural areas must be awarded to projects in rural areas. If a District certifies that it didn t receive enough eligible projects, meeting needs identified in the TDSP, for a specific service apportionment area, then the Central Office will request approval from FTA to move the funds to another service apportionment area. TECHNICAL CAPACITY: Is evaluated using criteria such as staffing levels, staff training and experience, level of documentation of procedures, ability to submit required reports correctly and on time, ability to maintain project equipment, and ability to comply with FTA and state requirements. TRANSPORTATION DISADVANTAGED: Those persons who because of physical or

7 Page 7 of 17 mental disability, income status, or age are unable to transport themselves or to purchase transportation and are, therefore, dependent upon others to obtain access to health care, employment, education, shopping, social activities, or other life-sustaining activities, or children who are handicapped or high-risk as defined in Section , F.S. TRANSPORTATION DISADVANTAGED SERVICE PLAN (TDSP): A plan developed by the CTC and approved by the Local Coordination Board that identifies service gaps and provides recommended strategies to provide service in areas of need. The TDSP can serve as the Local Coordinated Human Services Transportation Plan. The TDSP is updated annually, but includes a five year planning window. TRANSPORTATION OPERATOR CONTRACT: A written agreement between the CTC and the transportation operator prepared at the local level outlining the terms and conditions for any services to be performed. BACKGROUND: The Section 5316 JARC Program is authorized under the provisions set forth in the Safe, Accountable, Flexible, Efficient Transportation Equity Act: A Legacy for Users, (SAFETTEA-LU), enacted on August 10, 2005, as codified at 49 U.S.C The goal of the Section 5316 JARC Program is to improve access to transportation services to employment and employment related activities for welfare recipients and eligible low-income individuals and to transport residents of urbanized areas and nonurbanized areas to suburban employment opportunities. Toward this goal, the Federal Transit Administration (FTA) provides financial assistance for transportation services planned, designed, and carried out to meet the transportation needs of eligible low-income individuals, and reverse commuters regardless of income. The coordination of Federally-assisted programs and services is necessary to make the most efficient use of Federal resources. Program funds will be used to support local transportation services that maximize the passenger carrying capacity of surface transportation facilities. Every effort will be made to leverage funds with existing transportation disadvantaged or commuter assistance program providers. Priority will be given to new projects addressing identified service gaps. The Department will also consider projects that expand existing services. The Department is responsible for notifying eligible potential applicants of the availability of the program; developing project selection criteria; determining applicant eligibility; conducting the competitive selection process; selecting projects for funding; certifying the projects selected were derived from a locally developed, coordinated Public Transit Human Services Transportation Plan; and ensuring recipients adhere to

8 Page 8 of 17 federal and state program guidelines by all recipients. Awarded funds must be under contract and the project started within 12 months of notification of funds availability. Individual projects located in an urbanized area or metropolitan area planning boundary must be listed in the Transportation Improvement Program to receive funds/equipment. The District Office submits projects selected for funding to the Metropolitan Planning Organization for listing in the TIP. All projects must be listed (in aggregate form) in the Statewide Transportation Improvement Program (STIP) developed by the Central Office. 1. PROJECT DEVELOPMENT, ROLES & RESPONSIBILITIES, SELECTION The Central Office will be responsible for distributing funding allocations and grant application packages to the District Offices. The District allocations will be determined by the percentage of low income individuals in each of the District population categories. The Central Office will coordinate with the Commission for the Transportation Disadvantaged to ensure all locally developed TDSPs meet the requirements of the Locally Developed Coordinated Human Services Transportation Plan. Pursuant to Florida Statutes, Chapter 427, all new transportation funding for the elderly, disabled or low income (transportation disadvantaged) be coordinated with the Commission for the Transportation Disadvantaged. District Offices will be responsible for developing individual projects that will form the district program of projects, and entering projects in the Department's work program. Project development includes proper notification of program availability, selection of projects according to approved selection criteria, and submission of the district program of projects to the Central Office. Subrecipient responsibilities are outlined in the Section 5316 Program application, and if awarded, the project JPA. 1.1 The Central Office will request comments and proposed revisions to the previous year's application package from the District Offices by the first working day of August each year. The Central Office will distribute current application packages to the District Offices no later than the first working day of October each year. District Offices will be polled regarding the number of application packages required. Additional copies may be reproduced by District Offices. Application packages will contain a full description of all state and federal program requirements, as well as required application forms.

9 Page 9 of District Offices will announce the availability of grant application packages by means appropriate to the local area (for example, by letter to interested parties, or announcements at public meetings, or newspaper notices, etc.). District Offices can send application packages directly to known potential applicants, but should also make appropriate efforts (see examples above) to notify other eligible program recipients (private providers), including Indian tribes. Announcement of the availability of grant application packages for the Section 5316 JARC Program shall be concurrent with the announcement of the availability of grant application packages for the Section 5310, 5311 and 5317 Programs The announcement should be made prior to the first working day of November in odd numbered years. This program is on a biennial application cycle. The District may choose to hold annual application cycles at their discretion. Application packages shall be distributed to those responding to the announcement (at a minimum) as soon as practical after the grant application packages have been received from the Central Office District Offices will make the availability of grant application packages general public knowledge, taking special care to make eligible recipients aware Grant application packages will be made available to the general public upon request. Grant application packages will be provided to eligible recipients and governmental agencies at no cost. 1.3 District Offices will establish a single grant application deadline, after which applications will not be accepted. This deadline shall be sufficient to allow for the full and fair consideration of applications, and to permit a complete, timely, and accurate submission of the district program of projects to the Central Office before the first working day in March each year. 1.4 All Section 5316 Program recipients must meet the minimum requirements of the federal program as outlined in FTA Circular , or subsequent revisions. Special attention shall be given to the following Federal requirements: 1.5 Section 5316 funds will be allocated to the District Offices by the Central Office on a population formula basis that considers the low income population of each county based on the most recent U.S. Census data available. Funds designated for Governor s Apportionment areas (50, ,999 in population) shall be awarded to recipients serving a Governor s Apportionment area. Funds designated for rural areas (under 50,000 in

10 Page 10 of 17 population) shall be awarded to recipients serving rural areas Within each district, capital funds shall be awarded to recipients selected for a grant award on the basis of merit and need pursuant to the criteria detailed in Sections Requests for Section 5316 Program capital funding should be considered together with requests for Section 5316 Program operating funds for maximum benefit to the transportation system as a whole. 1.6 Except when there is sufficient funding to grant all requests, applications shall be evaluated and ranked by a minimum of three knowledgeable persons within each district. At least one evaluator shall be from outside the Department, unaffiliated with any applicant under consideration, and familiar with transportation and public issues and needs in the District. Professional judgment should be exercised when evaluating and ranking applicants. The criteria below, or alternate criteria approved in writing by the Central Office, shall be used in ranking applications. Alternate criteria shall be requested by the first working day of November each year. Requests shall list the criteria, discuss how the evaluation can be made on the basis of information contained in the grant application, explain why alternate criteria are desirable and how proposed alternate criteria support the program goals as described in FTA Circular , as amended. All recipients of grant application packages shall be informed of the criteria used. All applications in a district shall be evaluated using the same criteria Address Gaps in Current Service Provisions Examine the data submitted in the application under system description. Compare hours and days of service provided and rank applicants providing more service, in terms of the number of hours per week service is available, higher than others. Rank applicants providing new services, addressing gaps in the coordinated human services transportation plan highest Extent to Which the Community at Large Is Served Examine the project description, system description and coordination efforts. Rank applicants providing the broadest scope of services, reaching the largest geographic area, to the largest number of low income clients higher than others Leverage Existing Resources Evaluate the project description and budget. For example, are funds

11 Page 11 of 17 requested for items essential to passenger service, have vehicles being replaced reached the end of their useful life (in accordance with FDOT Vehicle Inventory Management, Procedure No ), is there a large unserved population to which service is being expanded, is there a large number of people dependent on existing service? Are other types of Federal funds being leveraged in this project? Rank those demonstrating greater ability to leverage all resources higher than others Fiscal and Managerial Capability Consider the overall quality of the proposal as prepared, previous record of timely and accurate reports, prior audit records (if applicable; new applicants should not be penalized by lack of history), maintenance capability (as evidenced by age and mileage of vehicles being replaced), ability to complete project in a timely manner and rank overall capabilities accordingly. 1.7 Once applications are ranked, the District Office shall determine the extent to which each request will be funded. Use the ranking in allocating funds. 1.8 All score sheets, written comments, and summaries used in making the funding decisions (from all evaluators) must be kept on file by the District Office for at least 3 years and are readily available. The District should consider using a computer spreadsheet program to calculate, summarize, and check numerical scores to ensure mathematical accuracy. The District Office must be able to re-create and justify the original rankings in the event of a protest or challenge. 1.9 Once all funding decisions are made, the District Office shall forward a district program of projects to the Central Office. The district program of projects shall be submitted in a format similar to Attachment A. This format allows for ready consolidation of the district program of projects into the state program of projects the Central Office is required to submit to the FTA. The District Office submission shall also include documentation that the selected projects were derived from the needs identified in the TDSP. In the event that there are not sufficient project requests in a given population area, the District Office may request the Central Office certify their request to shift the available funds to a population area with insufficient funds available to meet all project needs Projects for which all statutory and administrative requirements have been met shall be listed as Category A projects in the district program of projects. Most, if not all projects should be Category A projects.

12 Page 12 of Projects the District Office expects to be able to approve in the current year, but which have not yet met all statutory and administrative requirements, shall be listed as Category B projects in the district program of projects Up to 10% of district Schedule B allocations may be held in program reserve to accommodate unanticipated project needs. This reserve should be shown as a Category C project Districts Offices shall submit, with their program of projects, a record of approved and rejected funding requests that identify applicants that are minority organizations or that provide assistance to minority communities. 2. PROJECT MANAGEMENT, ADMINISTRATION, PLANNING, TECHNICAL ASSISTANCE AND MAINTENANCE District Offices shall be responsible for the administration and management of individual grant projects. This includes development and execution of Joint Participation Agreements (JPAs) and any required amendments, oversight of recipient procurement actions, and monitoring recipient compliance with state and federal requirements. District Offices shall be responsible for providing the Central Office with information required to maintain a complete and accurate program of projects between the State and the Federal government. The Central Office shall transmit a copy of the program of projects to the Accounts Receivable Office, attention: Grants Section, in the Comptroller's office each time it is changed. 2.1 The District Office will enter into a JPA with recipients according to the latest JPA procedure, Public Transportation Joint Participation Agreement (Procedure No ). No JPA shall be executed prior to receipt of an approved program of projects from the Central Office (which will be transmitted upon receipt from FTA, usually by July 1 each year) which shall contain correct federal project numbers. No JPA shall be executed for any project which has not advanced to a Category A project. No original JPA, supplemental JPA, encumbrance, or work order shall be executed that is not in conformance with an approved program of projects from the Central Office The project description in Exhibit A of the JPA shall include, at a minimum, a description of any capital equipment to be purchased and/or a brief description of the services provided. When a capital purchase is made, the JPA shall reflect the obligation to meet all federal requirements associated with capital purchases unless the subrecipient is using the Florida Vehicle

13 Page 13 of 17 Procurement Program to make the purchase. The FVPP meets all mandated requirements. All vehicle capital purchases shall be subject to the requirements for maintenance outlined in Procedure , Transit Vehicle Inventory Management and/or Procedure , Public Transportation Vehicle Leasing Exhibit B of the JPA shall be structured so Federal participation does not exceed 80% of the capital cost (or 90% for the incremental cost of ADA or Clean Air Act equipment) or 50% of the net eligible operating cost of a project funded under the Section 5316 program. State participation shall not exceed one-half the non-federal share of the capital cost of a project funded under the Section 5316 Program Exhibit C of the JPA shall include, at a minimum, the following: "the agency shall require the independent auditor, retained to perform the audit as required by the Office of Management and Budget (OMB) Circular A-133 and/or the Florida Single Audit Act, F.S., to specifically test and certify that services funded by the program were provided in small urbanized or non-urbanized areas, that there was no restriction on public use, and that the State and Federal share of eligible costs did not exceed amounts specified in the approved project budget (Exhibit B)." Exhibit C of the JPA shall include language requiring the subrecipient to provide information on the FTA mandated performance measures as outlined in Circular At this time those performances measures include providing both quantitative and qualitative information, as available on 1) actual or estimated number of jobs that can be accessed as a result of geographic or temporal coverage of JARC projects implemented in the current reporting year; and 2) actual or estimated number of rides (as measured by one-way trips) provided as a result of the JARC projects implemented in the current reporting year. 2.2 By September 1 of each year the District Offices shall send the Central Office an updated district program of projects if JPAs differ from the most current district program of projects, as projects are advanced from Category B to Category A, or in the event a project selected for funding is canceled for any reason. The Central Office shall return an approved amended program of projects within 10 working days of receipt of the updated district program of projects. For those changes to the program of projects requiring FTA approval, Central Office shall return the approved program of projects within 10 days of receipt from FTA.

14 Page 14 of District Offices shall visit each recipient no less than once a year at the recipient s place of business. The purpose of the visit will be to monitor the recipient's compliance with program guidelines. The visit shall be documented in the project file with a summary of each monitoring visit and/or a completed checklist. A sample format is provided in Attachment C of this procedure. All agencies accepting Section 5316 Program vehicle awards shall have a preventative maintenance plan approved by the District Office on file. This plan will be made available to District Office staff for review during monitoring visits. 2.4 All goods and services (including capital equipment) purchased with grant funds will be purchased in accordance with the Department's equipment procurement guidelines as documented in the JPA procedure and in FDOT's Guidelines for Acquiring Vehicles. Once delivered and accepted, vehicles purchased under the Section 5316 program will be managed according to the Department's Transit Vehicle Inventory Management, Procedure No All vehicles purchased under the Section 5316 Program will carry sufficient insurance to protect the Federal interest in the event of loss. The Department shall be named as certificate holder on any policy covering equipment purchased with grant funds. The District Office address shall be used for this purpose. Agencies that are self-insured shall be required to certify they are self-insured, and document the existence of a reserve against which claims can be made. 2.6 Recipients shall submit a certification verifying the adoption of a System Safety Program Plan and performance of safety inspections in accordance with Rule Chapter 14-90, F.A.C. 2.7 Applicants for Section 5316 Program capital funds must be afforded an adequate opportunity for a public hearing, and such hearings must be held if someone with a significant economic, social, or environmental interest in the matter requests a hearing. 2.8 It may be necessary to terminate a contract by mutual agreement, or because the recipient has failed to comply with contract requirements. When this occurs, the federal and state interest in capital equipment awarded must be protected as outlined below The value of any such equipment should be determined as outlined in the Transit Vehicle Inventory Management, Procedure No

15 Page 15 of Equipment may be transferred to another agency eligible to receive Section 5316 Program funds. District Offices should first seek eligible recipients in their own districts, then statewide, to locate an eligible recipient able to make use of the equipment. Transfers of equipment and titles will be handled as outlined in the Transit Vehicle Inventory Management, Procedure No The new recipient would reimburse the original recipient its prorated share based on the value determined. If the original local share was 10%, the original recipient will receive 10% of the current value. The original recipient may waive this refund. The new recipient shall comply with all program requirements. Full applications will be necessary only when there are several potential recipients. If there is only one potential recipient in a district (as is frequently the case when used equipment is considered), that recipient may omit narrative portions of the application and complete only the budget pages and sign the assurances. If the new recipient has received Section 5316 Program funding in the past, they should update their most recent application to include the equipment transferred. If the new recipient has not received Section 5316 Program funding in the past, a new application must be submitted. The new recipient shall be managed and monitored as if it had been selected to receive the equipment originally. 2.9 The District Offices shall maintain the official files, including, at a minimum: (A) (B) (C) (D) (E) (F) (G) A copy of the recipient's completed grant application. A copy of the JPA and any supplemental agreements. A copy of each invoice presented for payment. Documentation of any audit exceptions or deficiencies noted in the audit performed in compliance with the Single Audit Act of 1984, and the Single Agency Audit Act Amendment of 1996, pursuant to the Federal and Florida Single Audit, Procedure No A summary of each monitoring visit made to the recipient's place of business and/or a completed checklist (see sample provided in Attachment C). Documentation that procurements were approved as required by the JPA. Evidence of insurance for any vehicles purchased with grant funds, such as notices from the insurance company sent to the District Office because the Department is a named certificate holder.

16 Page 16 of 17 (H) (I) (J) (K) (L) Additional correspondence and information important to a comprehensive understanding of the project, including but not limited to the non-prioritization service plan. All scoring sheets and a summary of the rankings of grant applicants (not applicable if all requests were funded.) See sample in Attachment D of this procedure. An inventory of all vehicles awarded, including a record of all interagency transfers. This inventory shall consist of the inventory provided by the Central Office as described in the Transit Vehicle Inventory Management, Procedure No A copy of the original district program of projects and all revisions thereto (including assurances) including notations of financial project item numbers applicable to each project. Documentation of the notification of the availability of grant application packages. The organization of the files is left to the District Office, but required elements listed above shall be readily available. 3. TRAINING It is recommended that orientation for this program be provided for new transit program employees in the Districts. Experienced transit staff in the Central Office and/or Districts Offices will provide this training. Additionally, training will be made available to potential subrecipients on how to apply for and utilize Section 5316 Program funds through annual workshops. Individual requests for assistance will be responded to by either the Central Office or District Office Staff. 4. FEDERAL COMPLIANCE This section outlines the Department s method of complying with federal requirements not previously outlined in this document. Most requirements will be monitored and compliance assured by the use of the JPA, site visits and file reviews. 4.1 Subrecipients are informed of the applicable federal Civil Rights requirements as part of the application process. The JPA will also reference these requirements. The District Offices shall ensure the requirements are being met with onsite visits

17 Page 17 of 17 and file reviews. The Central Office EEO will provide all Title VI, EEO and DBE planning and goal setting functions; the Central Office PTO will do the required reporting. 4.2 The District Office will monitor and evaluate the subrecipients compliance with Section 504 and ADA requirements through site visits and file reviews. 5. FORMS There are no forms required by this procedure. The SAMPLES provided in this procedural document can be tailored or changed to fit specific circumstances. Samples are not official forms of the Department.

18 Attachment A Page 1 of 4 Sample SECTION 5316 PROGRAM OF PROJECTS District Schedule B Allocation Total Recipients (Identify Indian Tribes or groups with an * and Community Transportation Coordinators with a #. Be sure to specify whether a project is for capital or operating expenses.) Category A Project Description Total Federal State Local Recipient (list counties) Cost Share Share Share Subtotal Category A Category B Project Description Total Federal State Local Recipient (list counties) Cost Share Share Share Subtotal Category A Category C Program Reserve Total Programmed Total Federal State Local Cost Share Share Share Total Federal State Local Cost Share Share Share Notes: Category C cannot exceed 10% of the total Schedule B allocation. Assume capital projects will be 80% Federal when calculating the Total Cost of Category C.

19 Attachment A Page 2 of 4 Sample SECTION 5316 BUDGET District Schedule B Allocation 1. Capital 2. Operating/Admin 3. Program Reserve 4. Total Total Federal State Local Cost Share Share Share

20 Sample Attachment A Page 2 of 4 SECTION 5316 EXPENDITURE DETAIL District Schedule B Allocation $ Operating Assistance $ Program Reserve $ ROLLING STOCK Replacement Expansion Rehabilitation xx xx xx 11.1x.01 Bus, Standard, 40 Ft. (Number) $.02 Bus, Standard, 35 Ft. ( ) $.03 Bus, 30 Ft. ( ) $.04 Bus, under 30 Ft. ( ) $.05 Bus, School ( ) $.12 Bus, Used ( ) $.15 Vans (includes conversions) ( ) $.16 Sedans, Station Wagons ( ) $.39 Transferred Vehicles ( ) $.40 Spare Parts ( ) $ STATIONS/STOPS/TERMINALS Engineering and Design Acquisition Construction Rehab/Renovation xx xx xx xx 11.3x.08 Furniture and Graphics (Number) $.09 Route Signing ( ) $ SUPPORT EQUIPMENT AND FACILITIES Engineering and Design Acquisition Construction Rehab/Renovation xx xx xx xx 11.4x.04 Storage Facility (Number) $.06 Shop Equipment ( ) $.07 ADP Hardware ( ) $.08 ADP Software ( ) $.20 Miscellaneous Equipment ( ) $ Attachment A Page 4 of 4

21 SIGNALS AND COMMUNICATION Acquisition xx Rehabilitation/Renovation xx 11.6x.02 Communications Systems (Number) $.03 Radios ( ) $.20 Miscellaneous Equipment ( ) $ OTHER CAPITAL PROGRAM ITEMS Real Estate (Other than Right of Way) $

22 Attachment B Page 1 of 2 Sample CERTIFICATIONS AND ASSURANCES FOR SECTION 5316 Based on its own knowledge and, as necessary, on information submitted by the subrecipient, the Florida Department of Transportation District Office certifies and assures that the following requirements and conditions will have been fulfilled before any Federal assistance authorized for 49 U.S.C are provided to a specific subrecipient: A. Each subrecipient has or will have the necessary legal, financial, and managerial capability to apply for, receive and disburse funds authorized for 49 U.S.C. 5316; and to implement and manage the project. B. Sufficient non-federal funds have been or will be committed to provide the required local share. C. The subrecipients have, or will have by the time of delivery, sufficient funds to operate and maintain the vehicles and equipment purchased with Federal assistance authorized for these projects. D. To the extent applicable, Section 5316 projects are included in a metropolitan Transportation Improvement Program. E. The District Office has provided for a fair and equitable distribution of assistance authorized for 49 U.S.C within the district, including Indian reservations. F. The subrecipients have, to the maximum extent feasible, coordinated with other transportation providers and users, including social service agencies authorized to purchase mass transportation service. G. The subrecipients are in compliance with all applicable civil rights requirements, and have signed the Title VI Nondiscrimination Assurance. H. The subrecipients will comply with applicable requirements of U.S. DOT regulations on participation of disadvantaged business enterprises in U.S. DOT programs.

23 Attachment B Page 2 of 2 I. The subrecipients have provided to the state an Assurance of Nondiscrimination on the Basis of Disability. If non- accessible vehicles are being purchased for use by a public entity in demand responsive service for the general public, the state will obtain from the subrecipient a "Certification of Equivalent Service." J. The subrecipients have complied with the labor protection provisions of 49 U.S.C. 5333(b) (formerly Section 13(c)), by one of the following actions: (1) signing the Special Warranty for the Nonurbanized Area Program; (2) agreeing to alternative comparable arrangements approved by the Department of Labor; or (3) obtaining a waiver from DOL. K. Unless otherwise noted, each of the subrecipient's projects qualifies for the type of categorical exclusion that does not require further FTA environmental approvals. In the case of any project not qualifying for a categorical exclusion, the state assures that financial assistance will not be provided for that project until FTA has made the required environmental finding. L. The subrecipients have submitted or will submit all certifications and assurances currently required, including, but not limited to: a nonprocurement suspension and debarment certification; a bus testing certification for new models; a pre-award and post-delivery audit certification; for an application exceeding $100,000, a lobbying certification; and anti-drug program and alcohol testing certifications. M. The District Office will enter into a written agreement with each subrecipient stating the terms and conditions of assistance by which the project will be undertaken and completed. N. The state recognizes FTA's authority to conduct audits to verify compliance with the foregoing requirements and stipulations. District Public Transportation Manager Date

24 Attachment C Page 1 of 2 Sample RECIPIENT MONITORING SITE VISIT SECTION 5316 PROGRAM Review all files pertaining to the recipient. Become familiar with the status of each project, vehicle inventory, fund balance, etc. Note any problems that may have arisen in the past. Coordinate required site visits. In particular, this monitoring visit can be coordinated with site visits required by other Central Office procedures such as the transit safety program, vehicle inventory management or Section 5316 Program. Schedule the visit with the grant recipient. Try to accommodate local schedules as much as possible, but do not permit excessive delay. CHECKLIST A. Based on the criteria outlined in the application, is the service effectively meeting the needs of low income clients? B. Is the service provider meeting all federal requirements agreed upon in the certifications and assurances? C. Are vehicles clean and free of obvious body damage? (For an annual visit that does not include the biennial inspection required by the Vehicle Inventory Management Procedure, check only vehicles that are readily available.) D. Is maintenance performed to FDOT requirements? For example, are inspections scheduled and accomplished at recommended intervals? Ask to see the inspection schedule for at least one vehicle (you pick the vehicle) and compare the recommendation with actual records of maintenance for that vehicle. A sampling of records is adequate; it is not necessary to make a comprehensive check of all maintenance records. If records are not clear or complete, contact the Central Office. E. Is there any evidence of discrimination on the basis of race, color, national origin, gender, age, religion or creed in service, employment or purchasing?

25 Attachment C Page 1 of 2 F. Has the recipient provided information on the rider s rights regarding Title VI and clearly publicized the phone number and contact name for filing Title VI complaints? G. If the review of the recipient's files revealed any problems, discuss each of those problems with the recipient. Make discussion notes as part of the documentation for the site visit. H. During each visit try to ride a vehicle with passengers if it can be arranged without great inconvenience to the agency or passengers. I. Is the recipient undertaking and documenting the necessary and reasonable steps required by the FTA for compliance with the Federal DBE Program requirements? J. Does the recipient have a written purchasing policy? Does it meet state requirements as outlined in Chapter 287, F.S. and federal purchasing requirements? K. Review the agency's most recent A-133 audit performed in accordance with the Single Audit Act. Ask the agency if there are any audit exceptions included in the audit, and discuss these with the agency to determine the nature and severity of the exceptions. Review the Recipient/Subrecipient Single Audit Procedures, , or contact the Office of the Inspector General at SunCom if you have additional questions regarding the audit findings. L. Do subrecipients comply with the following ADA requirements: 1. Allow service animals 2. Use of accessibility features 3. Public information/communications 4. Lift deployment at any designated stop 5. Service to persons using respirators or portable oxygen 6. Adequate time for vehicle boarding and disembarking M. Does the recipient operate deviated fixed route or fixed route service? If operating fixed route, do they have a complementary ADA paratransit plan? How do they qualify clients for ADA paratransit service?

26 N. At the end of the visit, ask the recipient if they have any questions about or problems with Department policies and procedures that they need to discuss further. If questions arise that cannot be answered immediately, make the commitment to follow up quickly. (District Staff Person Making Site Visit) (Date)

27 APPLICANT Sample Attachment D FLORIDA DEPARTMENT OF TRANSPORTATION SECTION 5316 PROPOSAL SELECTION CRITERIA CRITERIA SCORE 1. Address Gaps in Current Service Provisions Comments 2. Extent to which the Community at Large is Served Comments 3. Leverage Existing Resources Comments 4. Fiscal and managerial capability Comments 5. Approved alternate/additional criterion (if applicable) Comments TOTAL SCORE Evaluator Date This score sheet shall be used when there is insufficient funding

28 to grant all eligible capital and/or operating requests. The maximum score for each criterion is 10 points. Written comments are optional. Score sheets may be completed for each applicant either by reaching a consensus among the evaluators or by averaging evaluators' individual scores.