Section 5311(f) Intercity Bus Application

Transcription

1 Section 5311(f) Intercity Bus Application Prepared By: MassDOT Rail and Transit Division July 22, 2016

2 Table of Contents I. INTRODUCTION... 4 NATIONAL PROGRAM OBJECTIVES... 4 II. REGIONAL BUS STUDY... 5 PUBLIC AND STAKEHOLDER CONSULTATION... 5 STUDY RECOMMENDATIONS... 5 III. ELIGIBILITY... 8 ELIGIBLE SUBRECIPIENTS... 8 ELIGIBLE ACTIVITIES... 8 ELIGIBLE EXPENSES... 8 NET OPERATING DEFICIT... 9 FUNDING AND MATCH... 9 IV. OTHER REQUIREMENTS INTERLINE CONNECTIONS FEDERAL MOTOR CARRIER SAFETY ADMINISTRATION DRUG AND ALCOHOL POLICY AND PROCEDURES DATA REPORTING AMERICANS WITH DISABILITIES ACT TITLE VI TECHNICAL ASSISTANCE V. APPLICATION EVALUATION PROCESS BEST VALUE AWARD NOT BASED ON PRICE ALONE VI. EXECUTION OF GRANT CONTRACTS TERM OF AGREEMENT PRE-AWARD AUDIT VII. 5311(F) INTERCITY BUS PROPOSAL... 15

3 SUMMARY INFORMATION SERVICE PROPOSAL SIGNATURE VIII. CERTIFICATIONS AND ASSURANCES CERTIFICATIONS AND ASSURANCES GENERAL ASSURANCES CERTIFICATIONS FOR ALL APPLICANTS CERTIFICATIONS FOR APPLICANTS RECEIVING MORE THAN $100,000 IN FTA FUNDS APPENDIX A. OPERATING ASSISTANCE WORKSHEETS AND INSTRUCTIONS APPENDIX B: SECTION 5311(F) FEDERAL AND STATE REQUIREMENTS (F) INTERCITY BUS PROGRAM REQUIREMENT SUMMARY SHEET PROJECT PERFORMANCE AND ACCOUNTABILITY REPORTS SECTION 5311 AND 5311(F) ADDITIONAL TERMS AND CONDITIONS

4 I. INTRODUCTION The Intercity Bus Program, known as Section 5311(f), is part of the Nonurbanized Area Formula Program, Section The program was started in 1991 as Section 18(I) under the Intermodal Surface Transportation Efficiency Act (ISTEA) and it designated federal funds specifically for intercity transportation in rural areas. These funds are awarded on a competitive basis for transit projects that develop and support intercity bus transportation in rural areas of the state. States are required to expend at least 15 percent of their annual Section 5311 apportionment to support intercity bus service unless the Governor certifies that the state s intercity bus service needs are adequately met. Massachusetts continues to commit the minimum 15% toward development of intercity bus transportation in our state. The MassDOT Rail and Transit Division (RTD) is the designated state agency to implement the Section 5311(f) program as part of its responsibilities to manage the Section 5311 program. National Program Objectives The national objectives for the Intercity Bus Program are to support the connection between rural areas and the larger regional or national system of intercity bus service, helping to meet the intercity travel needs of residents of rural areas. Following the national objectives set out by the Federal Transit Administration (FTA) in Circular G (49 U.S.C Formula Grants for Other Than Urbanized Areas), Chapter VIII, and guided by the recently completed Regional Bus Network Assessment (July 2016), MassDOT has prioritized the use of 5311(f) funds for operating assistance to support the provision of intercity bus services linking non-urbanized areas with demonstrated need to the national intercity bus network. 4

5 II. REGIONAL BUS NETWORK ASSESSMENT In 2015 MassDOT Rail and Transit contracted the services of KFH Group, Inc. to conduct a Regional Bus Network Assessment to develop and apply a common set of standards to evaluate the need for additional services and as a basis for evaluating services already being funded. The standards developed were also used to consider the potential performance of service alternatives that could address unmet needs. One of the most significant study outputs was a set of recommended 5311(f) eligible intercity bus routes that ranked highly according to the evaluation standards developed for the study and were identified as either new routes addressing unmet needs or existing routes that provide service to high-need communities. Public and Stakeholder Consultation Data collection methods for the study included an update of the regional bus inventory from the 2013 Regional Bus Study carried out by CTPS, demographic analysis and modeling, and a series of public and stakeholder consultation. Two online surveys were conducted through June and July, 2015 to obtain public input on the needs and desired service improvements for intercity bus and commuter bus, respectively. The surveys were provided in English, Spanish, Portuguese, and Traditional Chinese. Surveys were promoted to community organizations and individuals interested in transportation issues through various channels, including MassDOT s project website, Metropolitan Planning Organizations (MPOs), Regional Planning Agencies (RPAs), Massachusetts Transportation Management Associations (TMAs), and Regional Coordination Councils (RCCs). The study team also handed out bookmarks with links to the survey at South Station Bus Station, South Station Silver Line Station and the Blue Line Airport Station. A total of 580 responses to the Intercity Bus Survey were submitted and included in the analysis of intercity bus needs. An additional 400 responses to the Commuter Bus Survey were also received and analyzed. In addition to the surveys, stakeholder organizations were given the opportunity to submit input on intercity and commuter bus needs in their regions. Input provided through stakeholder statements was analyzed alongside the survey responses. A Technical Advisory Committee (TAC) was formed to advise the study team throughout the development of the study. TAC members were selected representatives from RPAs, MPOs, transportation advocacy groups, intercity bus operators, and MassDOT staff from various divisions. The TAC met periodically to discuss the study scope, timeline, methodological approach, and progress. TAC members breadth and depth of knowledge was instrumental in developing a common set of standards to evaluate the need for additional services and as a basis for evaluating existing services that are currently publicly funded. Study Recommendations Intercity Bus Performance Metrics The study team developed the following performance metrics based on peer intercity bus indicators from other states and input from the study s TAC. These benchmarks were developed to reflect the likely demand and service characteristics of low frequency rural intercity bus routes 5

6 that have relatively few riders travelling longer distances. An intercity bus route is considered successful when it achieves: Ten (10) boardings per trip or more on average (initial year 50% of goal, with full achievement by end of year two). $75 subsidy per boarding or less (for operating costs only). 25% farebox recovery or more (considering all farebox revenue, initial year 50% of goal, with full achievement by end of year two). $5.00 operating cost per bus-mile or less (for operating costs only). $0.25 revenue per passenger mile or more (initial year 50% of goal, with full achievement by end of year two). On-time performance of 90% or more of all scheduled trips departing the route origin within 15 minutes of the time shown on the published timetable. These performance metrics were used to analyze existing services funded by MassDOT, as well as potential new routes that were identified as intercity bus needs. The result of this analysis was a shortlist of recommended and prioritized intercity bus routes for implementation through the Massachusetts 5311(f) program. Recommended Intercity Bus Routes The following table presents the study prioritization of rural intercity bus routes based on four factors: estimated ridership, subsidy per boarding, farebox recovery ratio, and existing level of service on the corridor. These factors were selected to reflect MassDOT priorities to extend the regional bus network to places currently without service and to serve as many riders as possible in a cost-effective manner. Route Estimated Ridership Subsidy per Boarding Farebox Recovery Existing Level of Service Albany-Williamstown-Boston (Rt. 2 Local) 13,450 $19 48% 3 1 Hyannis-Provincetown local* 16,020 $12 28% 4 1 Winchendon-Boston 10,700 $10 38% 3 3 Greenfield-Boston 11,150 $18 40% 3 4 Boston-Rutland, VT 11,700 $25 42% 4 5 Northampton-Amherst-Worcester (Rt. 9 Local) 9,200 $11 33% 2 6 Pittsfield-Springfield-Boston 7,800 $13 28% 1 7 Williamstown-Springfield-Boston 7,100 $21 25% 1 8 Albany-Williamstown-Greenfield-Springfield* 8,800 $67 14% 3 9 Overall Ranking Sheffield-Springfield 5,800 $22 21% 1 10 Northampton-Twin Cities-Worcester* 2,500 $519 1% 4 11 *Existing routes currently supported by Section 5311(f) or BusPlus operating assistance. 6

7 The recommended intercity bus routes are shown in the map below. Applicants to the 5311(f) program may select one of these recommended routes as conceived in the study, or select a corridor identified in the priorities and make service design adjustments to improve the route s performance. Applicants may also submit proposals not considered in this prioritization list. However, if an applicant chooses this option, the proposal submitted must provide a justification that considers the six Intercity Bus Performance Metrics cited above and estimates for annual ridership, subsidy per boarding, and farebox recovery ratio, as well as a description of the existing level of service along the corridor to establish need. Applicants are strongly encouraged to review the final study report, included in this application package and available online on the MassDOT Regional Bus Network Assessment webpage. 7

8 III. ELIGIBILITY Eligible Subrecipients Eligible subrecipients include private for-profit intercity bus firms, private non-profit agencies, and public agencies. Applicants should have demonstrable experience in intercity bus operations All carriers that offer direct service across state lines, or offer interline ticketing to points that are outside state lines, must be in compliance and in good standing with the Federal Motor Carrier Safety Administration (FMCSA) by October 1, In addition, carriers must be in full compliance with motor carrier safety and vehicle registration regulations for the Commonwealth of Massachusetts. Eligible Activities Eligible activities include operating assistance for new, expansion, or continuation of intercity bus services. Intercity bus service is defined as: Regularly scheduled bus service for the general public that operates with limited stops over fixed routes connecting two or more urban areas not in close proximity, that has the capacity for transporting baggage carried by passengers, and that makes meaningful connections with scheduled intercity bus service to more distant points, if such service is available. Commuter bus service is not eligible under this program. Charter and tour services are not eligible under this program. Intercity service is not defined by the type of vehicle used (except for the requirement to carry baggage). In addition, all projects funded under this program must provide for marketing of the services to the general public. Requests for operating assistance must include in their project description information about locally specific marketing efforts for the proposed service. Eligible Expenses Eligible operating expenses for the intercity program will be based on a line item budget showing costs specifically related to this project (Worksheet A-1). The line item budget includes items such as fuel, oil, replacement tires, replacement parts, maintenance and repairs, driver and mechanic salaries and fringe benefits, dispatcher salaries and fringe benefits, and licenses. It can also include administrative expenses such as transit manager s salary, secretary and bookkeeper salaries, marketing expenses, office supplies, vehicle insurance, and facility and equipment rental. The line item budget should include all expenses specific to this project. If the proposer will provide its own buses to operate this project, depreciation of those vehicles can be included. If the proposer intends to utilize buses previously provided by MassDOT (or another state or agency) that were purchased with federal or state funds, no capital cost or depreciation for them should be included. 8

9 Net Operating Deficit Net operating expenses are those expenses that remain after operating revenues are subtracted from eligible operating expenses. At a minimum, operating revenues must include farebox revenues, but may also include revenue from bus package express, bus ticket sale commissions, or advertising on the vehicle. Operating revenues are all revenues accrued to the benefit of the project including farebox revenue (passenger fares) and contract revenues. Farebox revenues include fares paid by passengers who are later reimbursed by a human service agency, or other user-side subsidy arrangements, but do not include payments made directly to the transit provider by human service agencies. Funding and Match Approximately $1.0 million will be available in federal funding for Federal Fiscal Year Operating projects receive up to 50% in federal funding and require 50% local match. The local match can be provided by the applicant out of its own funds (not project revenue), by a local government or other agency (public or private non-profit), or through the in-kind value of connecting unsubsidized intercity bus service operated by the applicant or another connecting carrier. No state (MassDOT) funding is available for use as local match. The Section 5311(f) program is unique in that FTA permits a state to use the value of unsubsidized connecting intercity bus service as the local match for operating projects under this program. Section 5311(g)(3)(D) provides that in the case of an intercity bus project that includes both feeder service and an unsubsidized segment of intercity bus service to which the feeder service connects, the local match may be derived from the costs of a private operator for the unsubsidized segment of intercity bus service as an in-kind match for the operating costs of connecting rural intercity bus feeder service funded under 5311(f). By defining the project to include the operating costs of an unsubsidized connecting segment, it is possible to use FTA funding to cover the entire net operating deficit of the project. To utilize the in-kind match funding method, the project is defined to include both the subsidized route segment and a connecting unsubsidized segment. Under current FTA guidance RTD can count the entire value of the fully-allocated cost (capital and operating) of the unsubsidized segment (unsubsidized revenue-miles times the fully-allocated cost per mile) as the non-federal share of the combined project. Depending on the lengths of the segments involved and the cost factors, use of in-kind match can potentially allow the entire net operating deficit of the subsidized segment to be funded with federal funds. The carrier operating the unsubsidized segment must provide RTD with a letter certifying their willingness to provide the match, the schedules and routes involved, and the dollar value of the match. RTD will fund projects either using the typical funding ratios or using the in-kind match method, depending on the availability of local cash match for the non-federal share of the net operating deficit. More information about how to calculate and apply the in-kind local match can be found in Appendix A. Worksheets A-1, A-3 and A-4 can be used to input the data required to estimate project costs, document the unsubsidized service to be used as the source of in-kind match, and calculate the value of the in-kind match. 9

10 IV. OTHER REQUIREMENTS Interline Connections RTD requires that all services provided under this program offer users a meaningful connection with the national intercity bus network, including interline (joint) ticketing and service connections that are shown in the public timetables for the services. The firm or agency receiving funds under this grant is required to make these connections to the national intercity bus network for the life of the service. Meaningful connections are defined as timed connections with other bus services that are part of the national intercity bus network in terminal facilities that are co-located to facilitate passenger transfers. Connections to rail and air network services are permitted as a secondary priority as long as the connections to the intercity bus network are made. Operators must also establish interline ticketing agreements with the firms providing the timed connections. Applicants should describe their proposed meaningful connections and interline ticketing arrangements in the application in Section IV of the Service Proposal. Federal Motor Carrier Safety Administration Intercity service providers crossing state lines are required to be in compliance with Federal Motor Carrier Safety Administration (FMCSA) regulations. Also, providers of intrastate service that interline with services to provide interstate trips must meet FMCSA regulations. For more information, please visit the FMCSA website. Drug and Alcohol Policy and Procedures Providers must meet Drug and Alcohol Policy and Procedures requirements, and ensure that employees adhere to policy. For applicants that receive FTA financial assistance that supports the majority of their overall operations, please submit an approved FTA Drug Free Workplace Policy and an approved Drug and Alcohol Testing Policy. For more information refer to the FTA website. For applicants that are private-for-profit carriers that already report to FMCSA, please submit proof of an approved FMCSA Drug and Alcohol policy. For more information refer to FMCSA website. IMPORTANT: Private-for-profit carriers that have not previously operated services funded with FTA grants will have to update their organization s Drug and Alcohol policy to incorporate FTA Drug & Alcohol requirements, recognizing that the FTA requirements will apply to services operated under this grant. For example, FTA definitions of the individuals involved in safetysensitive functions differ from those used by FMCSA, and there are other differences. A Sample Drug and Alcohol Policy FTA and FMCSA incorporating the requirements of both agencies is available on the FTA website. Data Reporting Recipients of funding under this program will be required to submit reports regarding the service on a monthly, biannual, and annual basis. Information to be provided by the subrecipients on a monthly basis shall include: 10

11 Any information related to the Safety & Security reporting requirement of the FTA s National Transit Database (the NTD ). Service, operating, and financial information as included in Appendix B. Information to be provided by the subrecipient on a biannual basis shall include: Disadvantaged Business Enterprise ( DBE ) outreach and information regarding any contracts that may have been awarded to an M/W DBE or Disabled Veteran s Owned Business as submitted as part of your Supplier Diversity Plan. Information to be provided by the subrecipient on an annual basis shall include any information to be requested by MassDOT for purposes of annual reporting to the NTD. Applicants may wish to refer to the NTD annual reporting manual in order to reference specific reporting requirements. Unless otherwise agreed by OPERATOR and MassDOT, MassDOT shall be solely responsible for all such reporting. Americans with Disabilities Act All vehicles used to provide services under this program must be fully ADA compliant 1, and all staff must be trained to proficiency in operating accessibility equipment and providing assistance to passengers with disabilities. Proposers should include a description of their ADA training in the application under Section IV of the Summary Information. Title VI Applicants should include a copy of their Title VI Program document as an attachment to the application, or address their willingness to comply with this requirement if they do not already have such a program plan document. Technical Assistance Technical assistance is available to all applicants by contacting the MassDOT RTD program manager identified below. 1 Over-the-Road buses that meet the requirements of 49 CFR Part 38, Subpart G(49 CFR et seq.) will be considered accessible. If intercity services are operated by a public entity or under contract to a public entity, they must be compliant with both 49 CFR Part and Subpart G of Part

12 V. APPLICATION AND EVALUATION PROCESS Application Timeline The application window will start on July 22, 2016 and close on Friday August 19, 2016 at 5:00pm EDT. MassDOT will host a 5311(f) Application Question and Answer session on August 2, 206 at 1:00pm EDT at the State Transportation Building, located at: 10 Park Plaza, Suite 4160 Boston, MA Award decisions will be announced on August 31, Application Evaluation Initially MassDOT will review the applications for completeness, compliance with FTA requirements and policies, signed certifications and assurances, and financial capability. These elements are scored on a pass/fail basis. MassDOT will then designate a review committee to evaluate all applications meeting basic eligibility requirements, Potential review committee membership may include staff and officials representing MassDOT, other state agencies, metropolitan planning organizations (MPOs), regional planning commissions (RPCs), public transit agencies (non-applicants), other transportation-related bodies, and other appropriate stakeholders. The review committee will evaluate and rank the proposed projects on criteria within these general categories: Project advances state and federal program objectives; (see pages 1-3) Applicant has the capacity to execute the project, and the intended results can realistically be achieved within the budget and time frame specified; Project costs are commensurate with anticipated results; and, Project will have lasting results beyond the life of the contract. The specific scoring of applications will utilize the following factors and weights: Part 1: Application Complete, including Certifications and Assurances Part 2: Financial Status Capability Part 3: Management and Experience Part 4: Training and Safety Part 5: Description of Services Proposed Projects, Addresses Program/Study Goals Part 6: Coordination and Interline Connections Part 7: Budget Part 8: Best Value Total Score Pass/Fail Pass/Fail 25 Points 15 Points 20 Points 10 Points 20 Points 10 Points 100 Points 12

13 Note again that the technical capacity and commitment to comply with applicable state and federal transit program regulations is pass/fail, and applicants who are unable to adequately document that they have the legal and financial ability to provide the services called for in the scope may not have the remainder of their application reviewed. MassDOT has staff and consultant resources available to assist applicants with developing their applications and addressing questions about these requirements. Best Value Award Not Based on Price Alone The evaluation process is designed to award grants under this solicitation to the applicant(s) whose proposals best meet the requirements of the application and that offer the best overall value. This may not necessarily result in awards to the proposer(s) with the least cost. Applicants should acknowledge their understanding of this evaluation process in their cover letter or elsewhere in their proposal. MassDOT also reserves the right to consider other factors such as the availability of alternative services as part of its consideration of best value to the commonwealth. 13

14 VI. EXECUTION OF GRANT CONTRACTS Term of Agreement The term of the agreement resulting from this solicitation is for federal fiscal years , commencing on October 1, 2016 and continuing through September 30, In addition to this initial term, MassDOT shall have the right, but not the obligation, to extend the agreement for up to two (2) additional one-year ( Extension Period ) terms, provided that MassDOT shall notify the contractor/operator in writing at least 3 months prior to the end of the initial term requesting that the contractor/operator submit a cost proposal for the extension period. Within 30 days of the contractor/operator s receipt of such notice, contractor/operator shall submit a cost proposal to MassDOT, which if accepted by MassDOT, shall be valid and binding for the Extension Period. Within 30 days of MassDOT s receipt of such cost proposal, staff will review cost and current performance information, and then MassDOT shall notify the subrecipient whether it accepts the cost proposal, or seeks clarification or negotiation of any items. Pre-Award Audit Successful applicants will be required to submit their certified financial statements for the previous fiscal year. The purpose of this requirement is to ascertain whether the recipient s financial practices are able to clearly reflect how the grant funds will be or are currently managed. 14

15 VII. 5311(F) INTERCITY BUS PROPOSAL Please complete the forms below for each route that you are proposing to operate. It is acceptable to refer back to one application or support document for multiple routes. For example, your cost per mile may be identical for multiple routes and one financial statement can be used for calculation purposes. All areas that appear in LIGHT BLUE are form fields or check boxes that are available for you to input information. If you need additional space or feel that you need to attach additional documents, please include that in your submission. If you have any problems or have questions, please contact Abril Novoa Camino at (857) Completed applications can be submitted via to or by mail to: Abril Novoa Camino Transit Program Coordinator MassDOT Rail and Transit Division State Transportation Building 10 Park Plaza, Suite 4160 Boston, MA Summary Information I. Company Information a. Legal name of applicant company b. Address c. Telephone d. Name of project manager e. Title of project manager f. Fax g. 15

16 II. Management and Experience a. What experience does your agency have with passenger transportation services? b. Who are your project staff members that will administer this grant? Describe their experience managing FTA grants, other Federal grants, and state funds. c. Name of project manager d. Title of project manager e. Contact information Telephone Fax III. Civil Rights Information a. List minority population in the service area b. Describe any active lawsuits or complaints alleging discrimination on the basis of race, color, or national origin with respect to transportation service. c. Describe civil rights compliance review activities of your agency that have been conducted in the past three years. d. Describe your agency s Title VI (Civil Rights) notification process and complaint tracking procedure.. 16

17 IV. Training Provide a brief summary of your agency s training program for transportation staff and the current status of training activities. V. Safety Provide a brief summary of your agency s safety plan for your transportation program. 17

18 VI. Agency Service Information Project Year 1 Project Year 2 a. Agency Revenue Vehicle Hours b. Revenue Vehicle Miles c. Passenger Trips d. Total number of agency vehicles Revenue Hours and Miles: total for all vehicles used in the agency s passenger transportation programs Passenger Trips: total of one-way trips (individual passenger boardings) for all agency programs Service Proposal I. Operating Request check the appropriate option below Continue Existing Rural Service Fixed-route service Service (other-specify ) Expansion of Service New service area or route Additional hours of service Additional frequency Other New Service 18

19 II. Service Description Please describe the route and service proposal you are requesting funding for: a) Provide a detailed description of this project. Including routes, stops, schedules, fares, and intermodal connections. b) Describe how the proposed service effectively addresses a demonstrated community need, including how the project will benefit Massachusetts residents (or residents within the service area). c) How does this project improve your agency s efficiency or effectiveness? d) Is the project described in the Regional Bus Network Assessment or another agency or local plan? Please explain. e) Explain your agency s commitment to continue this project beyond the availability of the requested grant resources. III. Estimated Project Service Information Year 1 Projected Year 2 Projected Revenue Vehicle Hours Revenue Vehicle Miles *Passenger Trips How were your service level estimates developed? *Passenger Trips: total of one-way trips (individual passenger boardings). 19

20 IV. Coordination/Interline Connections a) List agencies with which you have coordination or interline ticketing agreements, and indicate the type of coordination activity b) Please provide details regarding the above, or other, coordination efforts with other transportation providers in the service area (public, nonprofit, and for-profit) V. Operating Budgets and Local Match Please fill out the Excel Worksheet s A1: and either A-2 or A-3 and A-4, depending on the source of local match. Use A2 for local cash match, and A3 and A$ for in-kind match. 20

21 VI. Supplemental Information Provide any additional information that may help explain your project or elaborate on previous answers, up to one (1) page per project. 21

22 VII. Attachment Checklist (please attach the following documents in the order listed) Label Description A Worksheet A1: Line Item Budget B Worksheet A2 for Cash Match OR Worksheets A3 and A4 for In-kind Match C Letters of commitment of matching funds OR letter of commitment from provider of in-kind miles D List of Board of Directors with affiliations if any E Bus Schedule and fare information for proposed service (may be existing service or proposed new service) F Service Area map G Service area map indicating population density for project area(s). Map may be obtained from regional planning agencies H Vehicle inventory for vehicles intended to be used for project identified in application (show ownership) I Title VI Program document Signature I certify that to the best of my knowledge the information in this application is true and accurate and that this organization has the necessary fiscal, legal, and managerial capability to implement and manage the project associated with this application. (Must be signed by someone with authority to sign contracts on behalf of your organization. No signature needed if application ed directly from agency head.) Signature: Date: Printed Name: Title: Firm or Agency: 22

23 VIII. CERTIFICATIONS AND ASSURANCES Certifications and Assurances Applicants should download the FTA Certifications and Assurances, print the form, and complete it for inclusion in the application. For additional information, download the Certifications and Assurances Federal Register Notice Note that some forms are required of all applicants and some are required only from applicants receiving $100,000 or more in Federal Transit Administration funding. All Applicants: Federal FY2016 Certifications and Assurances for FTA Assistance (Signature Page) Affirmation of Applicant and Applicant s Attorney General Assurances Certification for Civil Rights Complaint Status Drug-Free Workplace Act Certification Labor Warranty Certification Substance Abuse Program Checklist Drug and Alcohol Testing Policy Local Match Commitment/In-kind Letter (Attachment C) Applicants Receiving More Than $100,000 in Federal Transit Administration Funds: Certification on Restrictions on Lobbying Certification Regarding Debarment, Suspension, and other Responsibility Matters Primary Covered Transactions Certification Regarding Debarment, Suspension, and other Responsibility Matters Lower Tier Covered Transactions 23

24 General Assurances To the best of my knowledge, having read the program guidelines (FTA Circular G, November 24, 2014 and its successors) and referenced assurances, and as an authorized representative, I certify that the APPLICANT has the legal authority and is willing to make as part of the contract between the Massachusetts Department of Transportation and the APPLICANT for Rural Public Transportation financial assistance, the following assurances and warranties: A. The APPLICANT has or will have the necessary legal, financial, and managerial capability to apply for, receive, and disburse Federal funding; and to carry out the project described herein, including the safety and security aspects of that project B. Some combination of state, local, and private funding, from non-federal sources except as permitted by Federal law has or will be committed to provide the required local share. C. The APPLICANT has or will have by the time of delivery, sufficient funds to operate the vehicles and/or equipment purchased under this project, as applicable. D. The APPLICANT will have satisfactory continuing control over the use of project equipment and facilities and assures that the project equipment and facilities will be adequately maintained. E. The APPLICANT assures affirmative compliance with Title VI of the Civil Rights Act of 1964 and related statutes. F Private transit and paratransit operators have been afforded a fair and timely opportunity to participate to the maximum extent feasible in the provision of the proposed transportation services by the APPLICANT. G. The APPLICANT assures that it will provide a drug - free workplace. H. The APPLICANT assures affirmative compliance with 49 CFR Part 653 and Part 655, 49 CFR Part 40, and 49 CFR Part 29, or successor statutes, the U.S. DOT anti-drug programs. I. The needs of the elderly and disabled persons have been addressed by the APPLICANT, pursuant to the requirements of Section 504 of the Rehabilitation Act of 1973 (29 USC 794). J. The APPLICANT has demonstrated and will continue to demonstrate efforts to achieve coordination with other transportation providers and users, including social service agencies capable of purchasing service. K. The APPLICANT has complied, as applicable, with the labor protection provisions of Section 13(c) of the Urban Mass Transportation Act of 1964, as amended. L. The APPLICANT assures that it will comply with applicable provisions of the Americans with Disabilities Act (ADA), otherwise known as Public Law No and applicable provisions of 49 CFR Parts 27, 37 and 38: Transportation for Individuals with Disabilities; Final Rule and subsequent guidance. 24

25 M. The Applicant will comply with the applicable provisions of the guidelines relative to charter bus service (Title 49 CFR Part 604) and school bus operations (Title 49 CFR Part 605; Title 49 USC 5323(f)). N. The APPLICANT has worked to ensure the continuation of existing transportation revenues to complement Rural Public Transportation funds. O. The Applicant assures that it will comply with all applicable Federal statutes and regulations in carrying out any project supported by an FTA grant or cooperative agreement. The Applicant agrees that it is under a continuing obligation to comply with the terms and conditions of the grant agreement or cooperative agreement issued for its project with FTA. The Applicant recognizes that Federal laws and regulations may be modified from time to time and those modifications may affect project implementation. The Applicant understands that Presidential executive orders and Federal directives, including Federal policies and program guidance may be issued concerning matters affecting the Applicant or its project. The Applicant agrees that the most recent Federal laws, regulations, and directives will apply to the project, unless FTA issues a written determination otherwise. SIGNATURE: DATE: TITLE OF AUTHORIZED OFFICIAL: 25

26 Certifications for All Applicants Certification for Civil Rights Complaint Status Please check one as appropriate: I hereby certify that our organization does NOT have any pending Title VI (Civil Rights) complaints of discrimination filed against its transit program. Or I hereby certify that our organization DOES have pending Title VI (Civil Rights) complaints of discrimination filed against its transit program. This complaint(s), and its status, is briefly described below. The agency agrees it will keep MassDOT RTD informed of any changes in the status of that complaint(s). To comply with the Civil Rights Act of 1964, Title VI, the Americans with Disabilities Act of 1990, Title II, and the Vocational Rehabilitation Act of 1973, Section 504, we do not discriminate on the basis of disability, race, color, national origin, age, or gender. Signature Title Printed Name Date Agency Name 26

27 Drug-Free Workplace Act Certification I, (Name, Title, Agency) certify that our agency will provide a drug-free workplace by: Publishing a statement notifying employees that the unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the applicant s workplace and specifying the actions that will be taken against employees for violation of such prohibition; Establishing an ongoing drug-free awareness program to inform employees about: The dangers of drug abuse in the workplace; The applicant s policy of maintaining a drug-free workplace; Any available drug counseling, rehabilitation, and employee assistance programs; and, The penalties that may be imposed upon employees for drug abuse violations in the workplace; Making it a requirement that each employee to be engaged in the performance of the grant or cooperative agreement be given a copy of the statement required by paragraph (a); Notifying the employee in the statement required by paragraph (a) that, as a condition of employment under the grant or cooperative agreement, the employee will: Abide by the terms of the statement; and Notify the employer in writing of his or her conviction for a violation of a criminal drug statute occurring in the workplace; 27

28 Labor Protection Notification Report of recipients, eligible transportation providers and labor representation for 49 U.S.C. Section 5333(b) Labor Protection Requirements. Submitted by: Company / Transit Provider Name There [were / were no] (choose one) pending or active legal disputes, collective bargaining activity, or other labor relations activity during calendar year Please explain below if there was activity. Authorized Official Signature Date *Include all for-profit, private, and non-profit transportation agencies below. Project Applicant Other Transportation Providers Union Representation of Employees (or None ) Application for Public Transportation Funds under 49 U.S.C. Section 5311(f) to the Massachusetts Department of Transportation for Public Transit Operations 28

29 Certifications for Applicants Receiving More than $100,000 in FTA Funds Certification of Restrictions on Lobbying I, hereby certify to the Massachusetts (name and title of authorized official) Department of Transportation, on behalf of that to the best of (name of grantee) my knowledge and belief: 1. No Federal appropriated funds have been or will be paid by or on behalf of the Applicant to any person to influence or attempt to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress regarding the award of Federal assistance, or the extension, continuation, renewal, amendment, or modification of any Federal assistance agreement; and a. If any funds other than Federal appropriated funds have been or will be paid to any person to influence or attempt to influence an officer or employee of any Federal agency, a Member of Congress, an officer or employee of Congress, or an employee of a Member of Congress in connection with any application for Federal assistance, the Applicant assures that it will complete and submit Standard Form-LLL, "Disclosure Form to Report Lobbying," including information required by the instructions accompanying the form, which form may be amended to omit such information as authorized by 31 U.S.C b. The language of this certification shall be included in the award documents for all sub awards at all tiers (including subcontracts, sub grants, sub agreements, contracts under grants, loans, and cooperative agreements). 2. The Applicant understands that this certification is a material representation of fact upon which reliance is placed by the Federal Government and that submission of this certification is a prerequisite for providing Federal assistance for a transaction covered by 31 U.S.C The Applicant also understands that any person who fails to file a required certification shall be subject to a civil penalty of not less than $10,000 and not more than $100,000 for each such failure. Date Executed: By: (signature and title of authorized official) 29

30 Certification Regarding Debarment, Suspension, and Other Responsibility Matters Primary Covered Transactions The Grantee under this FTA project,, (name of grantee) certifies to the best of its knowledge and belief, that it and its principals: (a) are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded by any Federal department or agency; (b) have not within a three-year period preceding this proposal been convicted of or had a civil judgment rendered against them for commission of fraud or a criminal offense in connection with obtaining, attempting to obtain, or performing a public (Federal, State or local) transaction or contract under a public transaction; violation of Federal or State antitrust statutes or commission of embezzlement, theft, forgery, bribery falsification or destruction of records, making false statements, or receiving stolen property; (c) are not presently indicted for or otherwise criminally or civilly charged by a governmental entity (Federal, State or local) with commission of any of the offenses enumerated in paragraph (b) of this certification; and have not within a three year period preceding this application/proposal had one or more public transactions (Federal, State or local) terminated for cause or default; (d) have not within a three year period preceding this application/proposal had one or more public transactions (Federal, State or local) terminated for cause or default. (If the Grantee is unable to certify to any of the statements in this certification, such Grantee shall attach an explanation to this certification). THE GRANTEE,, (name of grantee) CERTIFIES OR AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS SUBMITTED ON OR WITH THIS CERTIFICATION AND UNDERSTANDS THAT THE PROVISIONS OF Title 49 CFR PART 29 and FTA C ARE APPLICABLE THERETO. Date Executed: By: (signature and title of authorized official) 30

31 Certification Regarding Debarment, Suspension, Ineligibility, and Voluntary Exclusion Lower Tier Covered Transactions The Grantee (applicant) under this FTA project,, (name of grantee) certifies to the best of its knowledge and belief, that it and its prospective lower tier participants: (1) are not presently debarred, suspended, proposed for debarment, declared ineligible, or voluntarily excluded from participation in this transaction by any Federal department or agency; (2) if the prospective lower tier participant is unable to certify to any of the statements in this certification, such prospective participant shall attach an explanation to this certification. THE GRANTEE,, (name of grantee) CERTIFIES OR AFFIRMS THE TRUTHFULNESS AND ACCURACY OF THE CONTENTS OF THE STATEMENTS SUBMITTED ON OR WITH THIS CERTIFICATION AND UNDERSTANDS THAT THE PROVISIONS OF Title 49 CFR PART 29 and FTA C ARE APPLICABLE THERETO. Date Executed: By: (signature and title of authorized official) 31

32 APPENDIX A. OPERATING ASSISTANCE WORKSHEETS AND INSTRUCTIONS The attached workbook includes several worksheets that should be completed to present the proposed budget for each proposed route. The workbook should be completed separately for each route or service that is being proposed by the applicant and clearly marked. The worksheets include: Worksheet A1: Line Item Budget. This is an Excel table that allows the applicant to present their operating costs, which are then divided by the estimated revenue miles to result in a cost per revenue bus-mile. This is combined with the applicant s estimates of revenues per mile to arrive at a net operating deficit for each of the two years. Chapter 6 of MassDOT s Regional Bus Network Assessment included estimates of potential ridership and revenues based on particular assumptions about fare levels, and this information is presented in a summary form in this application. It is understood that it takes time for time for ridership to develop. The applicant may wish to utilize these estimates or revise them based on current usage of existing routes or other experience or studies. Under Remarks, the applicant should indicate the basis for their estimate of revenues (previous service experience, surveys, etc.). Because the anticipated contract is a two-year contract, Worksheet A-1 requires the applicant to present a separate operating cost estimate for each of the two years, allowing the applicant to reflect anticipated cost and revenue increases. Worksheet A-2: Funding Using Standard Section 5311(f) Funding Ratios. The applicant should complete Worksheet A-2 only if it intends to use this funding approach, which requires local or carrier cash match. Otherwise the applicant should complete Worksheets A-3 and A-4 for in-kind funding. Worksheet A-2 provides an annual calculation for each of the two years of the proposed project, reflecting the maximum federal share and the required local cash match. The applicant must identify the source(s) of the local cash match and document the commitment of that source to provide the funding (with an attached letter or resolution to be included in Attachment C). Worksheet A-3: In-Kind Section 5311(f) Unsubsidized Connecting Service Description. The applicant should complete Worksheet A-3 only if it intends to use the in-kind funding approach. This worksheet provides information about the unsubsidized service providing the inkind value to be used as match. In Worksheet A-3 the applicant must identify the carrier that has agreed to provide the funding, and must attach a letter from that carrier indicating their willingness to be included in the application and provide in-kind match if 32

33 the applicant is selected (to be included in Attachment C). All applicants considering this option should contact Abril Novoa Camino at MassDOT RTD to confirm the applicability and process for obtaining in-kind match. Worksheet A-4: In-Kind Section 5311(f) Funding Method (Using the Value of Unsubsidized Intercity Bus Service Expenses as Local Match). The applicant should complete Worksheet A-4 only if it intends to use the in-kind funding approach. Worksheet A-4 provides an annual calculation for each of the two years of the proposed project, reflecting the maximum federal share and the required in-kind match. This worksheet estimates the value of the in-kind, based on current FTA guidance, and documents that it provides adequate match value for the project. Worksheet A-4 is linked to Worksheets A-1 and A-3 and a number of calculations will be made automatically. Do not attempt to revise the links or over-ride them. Please contact MassDOT if the vehicles used on the unsubsidized connecting service were purchased with federal grants. In that case, the value of the in-kind match will need to be adjusted to avoid using federal transportation funds as a match for additional federal funding, as this is not permitted under federal law. 33

34 APPENDIX B: SECTION 5311(F) FEDERAL AND STATE REQUIREMENTS 5311(f) Intercity Bus Program Requirement Summary Sheet This Summary Sheet is provided for use by MassDOT Rail & Transit Division potential and current grant sub-recipients. It is meant to be used as a guide to assist sub-recipients with the understanding of federal and state requirements in order to receive funding and is meant only as a summary and not an all-inclusive guidance document. For more information on the program or federal requirements, refer to the Section 5311 Circular, the annual Certifications, Assurances and Agreements, the Additional Terms & Conditions in your contract, or other documentation provided by MassDOT or the Federal Transit Administration (FTA). This Summary Sheet is to be used as guidance for all sub-recipients receiving funds to support the connection between nonurbanized areas and the larger regional or national system of intercity bus service, meet the intercity travel needs of residents in nonurbanized areas, and support the infrastructure of the intercity bus network through planning and marketing assistance and capital investment in facilities. Requirement Description Eligible Subrecipients Private intercity bus operators and public agencies. Eligible activities include operating assistance for new, expansion, or continuation of intercity bus services. Eligible Services Intercity bus service is defined as: Regularly scheduled bus service for the general public that operates with limited stops over fixed routes connecting two or more urban areas not in close proximity, that has the capacity for transporting baggage carried by passengers, and that makes meaningful connections with scheduled intercity bus service to more distant points, if such service is available. Coordination Service providers are strongly encouraged, to coordinated services with the Regional Coordinating Council(s) and other providers in their coverage area, in order to better utilize existing assets and provide improved connectivity for passengers. Financial Capacity and Management Grantees must have sufficient funds to operate and maintain the MassDOT funded program, and plan for any future program needs. A letter of local funding match support must be provided along with the application. Grantees must have fiscal control and accounting procedures sufficient to track and report grant funds. 34