MTAP 5310/5311 Program Managers Conference Call TO: FROM: 5310/5311 Program Managers Conference Call Participants Richard Price DATE: December 29, 2016 RE: Follow up from December 13 th 5310/5311 Program Managers Conference Call Peer-to-peer technical assistance and information exchanges are key to the MTAP s success. Therefore, we need your help to document the recent discussion on the 5310/5311 Program Managers conference call earlier this month. Before you leave for the holidays, please take a moment, review the questions below and provide a response to each. Or simply provide your state s perspective on its management of the 5310/5311 program. a) Do state DOTs transfer 5310 money to 5311? b) If so, how do state DOTs ensure the funding is strictly utilized for the elderly and disabled? c) Are other state DOTs allowing for operating assistance with 5310 funds? If so, have state DOTs encountered any issues with tracking, reporting, invoicing, etc.? d) Do state DOTs allow purchase of service with 5310 funds? e) For multiple year vehicle contracts, how have state DOTs written the Buy America requirements into the specifications since they are changing each year? f) What challenges are presented if 5310 providers are also 5311 providers? Send your response directly to Richard Price at rprice@aashto.org. And all responses will be distributed via email (in PDF) and posted online to the MTAP website. Thanks again for your participation on the 5310/5311 Program Managers Conference Call and we look forward to more productive peer-to-peer technical assistance and information exchanges in 2017. Responses December 13, 2016 Response from Macie Moore, Ohio Department of Transportation a. Do state DOTs transfer 5310 money to 5311? No. There are currently some 5311 systems that receive 5310 funds as a subrecipient of the program (mobility management, a few vehicles). However, long term ODOT would like for those providers to be funded entirely separate from the 5310 program as it has been difficult to monitor them meeting the program purpose when they must focus on general public as a whole. disabled?
Any subrecipient who receives a vehicle through the 5310 program must report to ODOT semi-annually for each vehicle. This report includes a breakdown of the trips by demographic (i.e. senior, individual with a disability, other). ODOT monitors these reports to ensure that the vehicles are being used primarily for the program purpose. Additionally, the trips actually provided are compared to the estimates provided in the application for funding to ensure that the vehicle is being utilized in the capacity for which it was originally funded. The link to the online vehicle report is included for anyone who is interested in looking at the data ODOT captures. https://odot.formstack.com/forms/vehiclemonitoringreport c. Are other state DOTs allowing for operating assistance with 5310 funds? If so, have state DOTs encountered any issues with tracking, reporting, invoicing, etc.? ODOT does award operating assistance. This is the second funding cycle for which such projects have been awarded. The primary focus was sustaining the New Freedom projects that were ended due to the program being rescinded. The reason for this is two-fold. 1.They are proven projects that meet the program purpose. 2. It is lowest risk for ODOT because the subrecipients wouldn t require training on invoicing/program reporting and they are already in compliance with many state and federal guidelines relating to operating assistance. Moving forward ODOT doesn t envision the operating project type being competitive and included in the annual application due to how inconsistent it would be each year. ODOT intends to move to a formula type allocation for those agencies who receive operating and their statistical data will then determine the amount they get moving forward. ODOT receives invoices quarterly for each operating type project and so far has had zero issues with the process. Subrecipients must report quarterly on the same data that they submitted with the original application (i.e. how many trips, miles, days, vehicles etc. are being used for transportation) this data will then be factored into the formula that will determine their allocation. d. Do state DOTs allow purchase of service with 5310 funds? No, not currently. requirements into the specifications since they are changing each year? The Buy America requirements are written very vaguely into the specs. There is a general statement that the vehicle vendors must comply with the most recent requirements that way it is adjusts with any new regulations. In order for the vendor to receive payment for the vehicle they must submit a series of documents, one of which is the Buy America certification that ensures that the vehicle was Buy America compliant in accordance with current standards. f. What challenges are presented if 5310 providers are also 5311 providers? The challenges are that 5311 providers cannot prioritize trips and they are provided on a first come, first serve basis. The 5310 program purpose is to remove transportation barriers for seniors and individuals with disabilities, and while general public can still be served by the program funding, it should not be in lieu of a senior or individual with a disability. Therefore, it would take very efficient coordination efforts to ensure that vehicles, or assistance provided to 5311 providers is being used first for the program purpose and then for any other needs. At ODOT, 5311 providers receive funding from many sources, 5311, 5339, 5339(b), Transportation Development Credits (TDC), and State General Revenue Funds (GRF), because of this and the increased oversight to
Thanks, ensure program compliance, it has been ODOT s position to focus the 5310 funding on areas of the State that do not have a 5311 provider in an effort to make the federal dollar go further. Macie Moore 5310 Program Coordinator Office of Transit Ohio Department of Transportation 1980 West Broad Street Mail Stop 3110 Columbus, OH 43223 Phone (Direct): (614) 728 9609 Phone (Main): (614) 466-8955 Email: macie.legge@dot.ohio.gov Responses December 20, 2016 Response from Jamie Ainsworth, Louisiana Department of Transportation Louisiana awards 5310 operating and capital, but keep the contracts and management of contracts separate from 5311. About 35% of the 5310 funds are used for operating and the remaining is used to purchase vehicles. Louisiana DOTD does allow contracted services, currently they are being awarded and transit services are operated by not-for-profits. Louisiana is in the process of a new RFP and it will have a multi-year option. The enhanced Buy America requirements are built in to the criteria for each subsequent year. Challenges include the changes in reporting as it relates to their operating funds and grant recipients understanding the various federal grant awards if they are receiving multiple types Jamie Ainsworth Jamie.Ainsworth@LA.GOV Responses December 22, 2016 Response from David Harris, New Mexico Department of Transportation a. Do state DOTs transfer 5310 money to 5311? No transfer of funds, but we allow 5310 vehicles to be utilized as part of 5311 service with some demographic documentation of the community served. disabled? N/A c. Are other state DOTs allowing for operating assistance with 5310 funds? NO If so, have state DOTs encountered any issues with tracking, reporting, invoicing, etc.? d. Do state DOTs allow purchase of service with 5310 funds? NO
requirements into the specifications since they are changing each year? We will need to request a new certification, each time the percentage is changed. The requirement was written as follows: http://www.generalservices.state.nm.us/uploads/files/spd/contracts/60-000-15-00015%20transitvehiclesa001.pdf Pre-Award and Post-Delivery Audit Requirements The Contractor agrees to comply with 49 U.S.C. 5323(l) and FTA's implementing regulation at 49 C.F.R. Part 663 and to submit the following certifications: (1) Buy America Requirements: The Contractor shall complete and submit a declaration certifying either compliance or noncompliance with Buy America. If the Bidder/Offeror certifies compliance with Buy America, it shall submit documentation which lists 1) component and subcomponent parts of the rolling stock to be purchased identified by manufacturer of the parts, their country of origin and costs; and 2) the location of the final assembly point for the rolling stock, including a description of the activities that will take place at the final assembly point and the cost of final assembly. f. What challenges are presented if 5310 providers are also 5311 providers? None for NM Response from Kari Ruse, Nebraska Department of Roads Answers below in red. I think our program is very traditional. We release applications to nonprofits, they are reviewed by a committee and grants awarded. We don t encourage 5311s to apply for 5310 money. We haven t actively solicited purchase of service projects but that will change as we move forward with our mobility management project and look for new partnerships between entities. Thanks a. Do state DOTs transfer 5310 money to 5311? We do not. disabled? N/A c. Are other state DOTs allowing for operating assistance with 5310 funds? If so, have state DOTs encountered any issues with tracking, reporting, invoicing, etc.? We do now but cap it at $4,000 annually. We are considering discontinuing that practice as it is cumbersome to track. d. Do state DOTs allow purchase of service with 5310 funds? Yes and would like to find more ways to use POS with 5311 providers across the state. requirements into the specifications since they are changing each year? We wrote in the specific requirements per year in the multi-year contract. f. What challenges are presented if 5310 providers are also 5311 providers? We have none. Kari E. Ruse NDOR Transit Manager 1500 Highway 2
Lincoln, NE 68509 402-479-4694 kari.ruse@nebraska.gov nebraskatransit.com Response from David Jacobs, Montana Department of Transportation a) Do state DOTs transfer 5310 money to 5311? No b) If so, how do state DOTs ensure the funding is strictly utilized for the elderly and disabled? N/A c) Are other state DOTs allowing for operating assistance with 5310 funds? No, 5310 is entirely used for capital. If so, have state DOTs encountered any issues with tracking, reporting, invoicing, etc.? N/A d) Do state DOTs allow purchase of service with 5310 funds? Not at this time. e) For multiple year vehicle contracts, how have state DOTs written the Buy America requirements into the specifications since they are changing each year? MDT will state that the capital must meet the BA provision in accordance with the FAST ACT. MDT will note the domestic content percentage increase over time and that the vendor must ensure that the capital meets the current year requirements at the time of delivery. f) What challenges are presented if 5310 providers are also 5311 providers? MDT doesn t have any 5310 s that are 5311 s David Jacobs Transit Section Supervisor Montana Department of Transportation (406) 444-9192 dajacobs@mt.gov Response from Julie C. Staveland, Alaska Department of Transportation a) Do state DOTs transfer 5310 money to 5311? No, Alaska receives a small amount of 5310 funding and uses all of it for 5310 projects every year. b) If so, how do state DOTs ensure the funding is strictly utilized for the elderly and disabled? n/a c) Are other state DOTs allowing for operating assistance with 5310 funds? If so, have state DOTs encountered any issues with tracking, reporting, invoicing, etc.? Yes, Alaska is providing operating assistance to eligible 5310 subrecipients. We have not encountered any issues with tracking, reporting or invoicing (yet), as the subrecipients are senior centers and independent living centers who only serve the specific 5310 targeted populations of the seniors and individuals with disabilities. d) Do state DOTs allow purchase of service with 5310 funds? Yes, Alaska does allow purchase of services with 5310 funds. e) For multiple year vehicle contracts, how have state DOTs written the Buy America requirements into the specifications since they are changing each year? We are part
of the joint procurement contract with Washington and Oregon, vendors agreed to Buy America requirements as part of their contract. f) What challenges are presented if 5310 providers are also 5311 providers? We currently do not allow 5311 providers to apply for 5310 funds (except for the small urban 5310 funds). Julie C. Staveland, MPA Human Services Transit Planner Alaska DOT&PF P.O. Box 112500 Juneau, AK. 99811-2500 Telephone: 907.465.6978 Fax: 907.465.6415 http://dot.alaska.gov/transit/ Response from Shirley Wilson, Mississippi Department of Transportation a. Do state DOTs transfer 5310 money to 5311? No. disabled? NA c. Are other state DOTs allowing for operating assistance with 5310 funds? If so, have state DOTs encountered any issues with tracking, reporting, invoicing, etc.? Yes, we are in MS. Haven't experienced any issues. d. Do state DOTs allow purchase of service with 5310 funds? Yes, have been allowing for several years. requirements into the specifications since they are changing each year? Yes, included the escalating requirements in the specifications. f. What challenges are presented if 5310 providers are also 5311 providers? Have not experienced any real challenges. Shirley Wilson, Director Public Transit Division MS Department of Transportation swilson@mdot.ms.gov Response from Nicole Patrick, Washington Department of Transportation Do state DOTs transfer 5310 money to 5311? No If so, how do state DOTs ensure the funding is strictly utilized for the elderly and disabled? N/A Are other state DOTs allowing for operating assistance with 5310 funds? If so, have state DOTs encountered any issues with tracking, reporting, invoicing, etc.? Yes, we fund operating out of 5310 but have not encountered any significant issues related to tracking, reporting, or invoicing. Those elements basically align with our oversight of operating projects out of other funding sources.
Do state DOTs allow purchase of service with 5310 funds? Yes, with WSDOT review/approval of RFP/ contract prior to execution. For multiple year vehicle contracts, how have state DOTs written the Buy America requirements into the specifications since they are changing each year? Anna, can you answer this? What challenges are presented if 5310 providers are also 5311 providers? We have a few but have not encountered any significant challenges in oversight distinct to this subset. Nicole Patrick Grant Programs, WSDOT Public Transportation Division o: 360-705-6930 c: 480-398-0782 Patricn@wsdot.wa.gov www.wsdot.wa.gov/transit/grants Responses December 23, 2016 Response from Bill Telovsky, New York State Department of Transportation a. Do state DOTs transfer 5310 money to 5311? No disabled? N/A c. Are other state DOTs allowing for operating assistance with 5310 funds? If so, have state DOTs encountered any issues with tracking, reporting, invoicing, etc.? No. Apportionment administered by NYSDOT for 5310 in rural areas is for buses only. Urbanized areas are allowing operating assistance with 5310 funds. d. Do state DOTs allow purchase of service with 5310 funds? No. Apportionment administered by NYSDOT for 5310 in rural areas is for buses only. Urbanized areas are allowing purchase of service with 5310 funds. requirements into the specifications since they are changing each year? No, statewide bus contract was in place before changes were made to Buy America. Working with contract vendors to ensure new requirements are met. f. What challenges are presented if 5310 providers are also 5311 providers? Ensuring seniors and individuals with disabilities transportation needs are met and cost sharing services between 5310 and 5311 services. Bill Telovsky New York State Department of Transportation Public Transportation Bureau - POD 54 50 Wolf Road Albany, NY 12232 Phone: 518-457-6279 Fax: 518-485-7563 Response from Jamie Cochran, Georgia Department of Transportation
Here is our response to your questions. I know our organizational structure at the state level with us (GDOT) handling 5311 and our Dept. of Human Services (DHS) handling 5310 is definitely an outlier. We re trying to unravel a really complicated situation with our 5310 and 5311 programs. Hope these responses help. a. Do state DOTs transfer 5310 money to 5311? While GDOT is the designated recipient for Section 5311 funds for Georgia, the state s Section 5310 program is handled by a separate state agency, the Georgia Department of Human Services (DHS). DHS does use their Section 5310 funding to contract with some of our Section 5311 transit providers under purchase of service contracts and also to purchase vehicles in some circumstances. No transfer of funds between agencies (i.e. shifting 5310 money to 5311) occurs. disabled? GDOT mandates a statewide dispatching and scheduling system for all our Section 5311 systems. It is our understanding that all elderly and disabled trips are coded separately in our statewide trip dispatching and scheduling system. c. Are other state DOTs allowing for operating assistance with 5310 funds? If so, have state DOTs encountered any issues with tracking, reporting, invoicing, etc.? As mentioned previously, in Georgia 5310 funding is used in purchase-of-service contracts between DHS and some of our Section 5311-funded transit systems. These revenues are utilized in the operation of the systems. d. Do state DOTs allow purchase of service with 5310 funds? Yes, DHS s 5310 funding is being used for purchase of services with our 5311 operations as well as other social service-related funding from other federal and state sources. We (GDOT) are having a major struggle understanding the complex FTA regulations on how purchase of service funds, either through 5310 or other non-fta sources, should be accounted for in the monthly reimbursement requests we get from our 5311 systems that draw down federal 5311 funding. Apparently, FTA is confused on this subject also because we cannot get clear direction on this issue. If any other states have figured this out, we would be VERY grateful to learn what they are doing to manage this situation. Any examples of DOT reimbursement request forms delineating how all sources of revenue (5310 and other) are properly accounted for in 5311 systems would be very very helpful. requirements into the specifications since they are changing each year?
GDOT handles the procurement of all vehicles for our 5311 program subrecipients through working with another state agency, our Department of Administrative Services (DOAS). We are required to provide DOAS with the most up-to-date FTA requirements at the time the procurement is processed. It is my understanding that all Buy American requirements are reflected in our procurement documents and our contract with our vehicle vendor. We use the latest official guidance from FTA that we have at the time. f. What challenges are presented if 5310 providers are also 5311 providers? We struggle to understand FTA s regulations/requirements/guidance on how the federal transit funding should properly be reflected on federal funding reimbursement requests that we receive from our 5311 systems each month, when purchase-of-service arrangements (using 5310 and other sources) are involved. It should not be this difficult to figure out. In Georgia, these funding arrangements (5310 and 5311) are complicated by the fact that DHS contracts directly with 5311 operators and in some cases, DHS contracts with regional commissions who contract with third-party service providers (private for profits) to deliver service. It is very likely that GDOT will be doing audits in 2017 of some of our Section 5311 systems, including regional systems operated by third-party operators, to better understand the flow of funding. These types of issues represent serious risks that FTA should be focusing on to provide much more clarity to state DOTs and other designated transit recipients to make sure the proper actions are taken at all levels. Jamie A. Cochran JaCochran@dot.ga.gov Response from John Groothuis, Minnesota Department of Transportation Minnesota s 5310 responses: a. Minnesota does not transfer 5310 to 5311 b. NA c. Minnesota does not use 5310 for operating. d. Minnesota does not use 5310 for purchase of service. e. Minnesota 5310 does not have multiple year contracts. f. Minnesota only has a few multiple program providers. The only challenge is the tracking of usage and keeping the documentation separate. Notes: Minnesota is looking into using 5310 money for Accessible Pedestrian pathways for transit stops. There is a request from our 5311 ICB Coordinator for Peer to Peer topic discussion.
Thank you. John Groothuis john.groothuis@state.mn.us Responses December 27, 2016 Response from Elizabeth Stutts, Florida Department of Transportation a. Do state DOTs transfer 5310 money to 5311? No, Florida does not. disabled? c. Are other state DOTs allowing for operating assistance with 5310 funds? Yes If so, have state DOTs encountered any issues with tracking, reporting, invoicing, etc.? Not yet, but we haven t done a lot of operating projects. d. Do state DOTs allow purchase of service with 5310 funds? We allow it, but we don t have any purchase of service awards currently. requirements into the specifications since they are changing each year? All have to get info from Erin Schepers on that. I ll send it after the first of the year when she returns. f. What challenges are presented if 5310 providers are also 5311 providers? In Florida if they are both 5310 and 5311, then they also tend to be recipients of Florida Commission for the Transportation Disadvantaged funds. The biggest challenge is making sure trips aren t prioritized solely for medical purposes. Elizabeth Stutts Grant Programs Administrator Florida Department of Transportation 605 Suwannee St., MS 26 Tallahassee, FL 32399 (850)414-4530 (850)414-4508 fax Response from Mike Spadafore, Kansas Department of Transportation a. No. b. n/a c. Yes. No problems tracking or reporting done with Black Cat program from Panther. d. No. e. We do contracts annually, and update the percentage as required. f. No challenges - financial matters are kept separate by funding source in Black Cat program from Panther. Thanks, Mike Spadafore, LEED AP
Public Transportation Manager, MPO Liaison Kansas Department of Transportation Mike.Spadafore@ks.gov Responses December 28, 2016 Response from Christine West, Oregon Department of Transportation a. Do state DOTs transfer 5310 money to 5311? No Oregon transfers $22 million in STP flex funding into 5310, but does not transfer any 5310 or STP to 5311. In Oregon the only issue we ve had with the STP transfer is the differing match rate. The STP transfer funds are a sliding scale match 89.73/10.27 and the FTA 5310 funds are an 80/20 match or 50/50 match depending on program. disabled? c. Are other state DOTs allowing for operating assistance with 5310 funds? Yes, Oregon was one of the first states to do this. The FTA impacted our ability to do this with elimination of the sliding scale and with the definition of traditional and nontraditional. If so, have state DOTs encountered any issues with tracking, reporting, invoicing, etc.? We have not had any reporting difficulties; the issues have been with the match rate. d. Do state DOTs allow purchase of service with 5310 funds? Yes, Oregon s regional transit coordinators review all purchased service agreements prior to transit providers entering into the agreement. requirements into the specifications since they are changing each year? In Oregon our state price agreement states, Vendors are required to meet all current and future Buy America requirements. We also emailed the four vendors to remind them of the Buy America Changes. In the contract we are preparing to solicit for, we have listed the Buy America requirements per year: Any vehicle scheduled for delivery September 2017 or later must meet 65% Buy America requirements, Any vehicle scheduled for delivery September 2019 or later must meet 70% Buy America requirements. f. What challenges are presented if 5310 providers are also 5311 providers? In Oregon, the majority of the 5311 recipients also receive 5310. We require 5310 funds be used for projects that specifically benefit seniors and individuals with disabilities and in accordance with Coordinated Plans. Other people may also benefit from these projects. Christine West Oregon DOT, Rail & Public Transit Division Capital Program Coordinator 503-986-3410 http://www.oregon.gov/odot/pt Responses December 29, 2016 Response from Bill Ryan, Arkansas State Highway and Transportation Department
Arkansas uses 5310 funds for Capital Rolling Stock purchase only. No transfer to the 5311 program. Bill Ryan Administrative Officer III Arkansas State Highway and Transportation Department 10324 Interstate 30 Little Rock, AR 72209 (501) 569-2472 bill.ryan@ahtd.ar.gov