Federal Transit Administration

Region V

Michigan Public Transportation Association

MeetingAugust 17-20

FTA Grant & Program OversightAgenda

• Introductions & Purpose -Marisol Simon• Civil Rights – Eric Allen• Grant Process – Angelica Salgado• Program Management – Sharletha Johnson• Contact information• General Q & A

Marisol R. SimónRegional Administrator

Dwight SinksErick Allen

Regional Civil Rights Officers

Rhonda ReedDeputy Regional Administrator

Renee BergerParalegal

VacantAdministrative Staff Assistant

Kimberly BarnesAdministrative Officer

Cecelia ComitoRegional Counsel

Melody Hopson, P.E.Sharletha Johnson, P.E.Duana Love, P.E.Cyrell McLemore

General Engineers

Derek DavisLisa JoinerNichole Neal Nolan

Transportation Program Specialists

Stephen PolitoDirector

Office of Planning & Program Development Dominick Gatto, P.E.Director

Office of Program Management & OversightVanessa AdamsReginald Arkell, AICPR. Stewart McKenzie, AICPDavid WernerWilliam Wheeler

Community PlannersAndrew Minyo

Transportation Representatives

Angelica SalgadoJoyce TaylorFelisha Phillips

Transportation Program SpecialistsLatonya Mickens

Administrative Program Assistant

Recovery Staff

Rotimi OgunsuyiAthena Medero, P.E., LEED AP

General Engineers

Mary CampbellSusan Weber, AICP

Transportation Program Specialists

Lois Kimmelman, LEED APEnvironmental Protection Specialist

FTA Civil Rights Program Overview

Erick Allen

JOHN, PAUL, RINGO & GEORGE of Civil Rights • EEO• ADA• Title VI• DBE

DOT / FTA Civil Rights Guidelines / Regulations

• EEO / UMTA C Circular 4704.1• Title VI / Circular 4702.1A• DBE / 49 CFR Part 26• ADA / Part !!, Americans with

Disabilities Act

Formal Civil Rights Reviews

• Preliminary Grant Review• Final Grant Review• State Management Review• Triennial Review• Civil Rights Compliance Review

EEO in TransitWho?• 50 or more transit-related employees, and;• $1,000,000.00 Capital / Operating assistance

or;• $250,000.00 planning assistance

WHAT?• Develop EEO Plan • Submitted to FTA every 3 years

EEO Plan Components

1. Statement of Policy2. Dissemination3. Designation of Personnel Responsibility4. Utilization Analysis5. Goals and Timetables6. Assessment of Employment Practices7. Monitoring and Reporting

ADA in Transit

KEY AREAS• Reasonable Modifications• Maintenance of Accessible Features• Comparable Para transit Service

Title VI in Transit

• Any entity receiving Federal financial assistance

• Recipients enter into a relationship with the Federal government akin to contract

• Primary recipients and sub recipients must comply with Title VI

Title VI in Transit

TWO TYPES of DISCRIMINATION• Disparate Treatment = Intentional

Discrimination • Disparate Impact = Unintentional

Discrimination.

Guidelines for All Recipients and Sub recipients

• Investigate complaints• Record complaints, investigations, and

lawsuits• Provide meaningful access to LEP participants • Inform the public • Include EJ analysis in NEPA documentation• Conduct inclusive public involvement• Submit a Title VI report to FTA or to direct

recipient

KEY TITLE VI PLAN COMPONENTS

• Limited English Proficiency (LEP) Program– 4 Factor Analysis

• Number or proportion of LEP’s• Frequency of contact• Nature & importance of program• Cost

• Environmental Justice Report– Analyze project impact on predominately

minority and low income communities

DBE Program Overview

DBE Program Overview• New Tri Annual DBE Goal Setting Requirement• Goals Due;

– Group A – August 1, 2010– Group B – August 1, 2011– Group C – August 1, 2012

Current goals remain effective until new due date

New goals will be effective for three (3) years

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Michigan PUBLIC TRANSIT CONFERENCEBellaire, MichiganMay 17-20, 2010

FTA TEAM GRANT DEVELOPMENTAngelica Salgado

Federal Transit Administration, Region 5

August 17-20, 2010

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GRANT DEVELOPMENT – Flow Chart

Send to DOL

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GRANT DEVELOPMENTFTA ProcessingPreliminary Review

• Transit agency requests FTA review grant in TEAM• FTA reviews grant and enters comments in TEAM.• Transit agency makes revisions.• Repeat as necessary.

• FTA grant rep. initiates internal preliminary review (~1 week).– Civil Rights– Paralegal/Legal– Project Management & Oversight

● FTA asks transit agency to submit grant.● Click on Submit Application under the Applications heading.● FTA notifies U.S. Department of Labor (DOL) to review grant.● DOL certifies within ~ 30 days.

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GRANT DEVELOPMENTFTA Processing

Final Review

● FTA goal to award grant within 36 days of formal submission (non earmarks).

● Concurrence: ● Grant Representative● PMO Representative● Planning Director● Civil Rights● Paralegal● Regional Counsel● Funds Reservation Staff● Regional Administrator

­ Forward talking points to HQ for earmarks­ Award !!

Grant Development

Part 1: • Ensure that all Grantee recipient information is

current.Part 2:• Ensure that all information has been updated

in the following areas:• Start/End Date• Program Date• Pre-Award Authority• Congressional Districts

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GRANT DEVELOPMENTPROJECT DESCRIPTION/DETAILS – VERY IMPORTANT!!!

• Concise general summary of what is occurring• Enter in Project Description/Details box of Part 2: Project Information section• Include:

– Agency name & location– Section of funding– Total amount of federal funds– Year of funds– Dates of project

• Example: This grant to Kalamazoo Metro Transit, in Kalamazoo, MI is for Section 5307 FY2010 funds in the amount of $2,968,200 for capital, planning and operating expenses for the period May 2010 through June 2011.”

• Other information to include if applicable:– Toll Revenue Credit amount/Reference to attached MIDOT approval letter– Construction: “FTA Region 5 approved the project as a categorical exclusion pursuant to

correspondence dated June 24, 2008. The Michigan Historic Preservation Office concurred with a finding of no significant impact to archaeological and cultural resources pursuant to correspondence dated November 20, 2007.”

• Amendments:– Retain original description and label as ORIGINAL GRANT.– Insert new description at top and label as AMENDMENT ONE.

Grant Development

• Part 3• Include the Budget and ensure that you have

included a Scope for each ALI

• Include Quantity, FTA amount and Total Project Cost

• Include an extended budget description for each ALI

Grant Development

• Ensure that you include Alternative Fuel codes for vehicles

• Part 4 Update Milestone and ensure that for each milestones you include at least two entries (initial date and completed date)

• Part 5Include an environmental finding for each ALI

• Part 6Include a Fleet status if the grant involves procurement of vehicles

Planning Documentation

All grants must attach the following information in TEAM to demonstrate compliance with the planning requirements:

• FTA Approval Letter• Letter from State DOT• TIP/STIP Table

TIP/STIP Details

• Projects must be in current year of TIP

• Budget amounts in applications cannot exceed 20% of amount shown in TIP; Otherwise project goes back through MPO process

TIP/STIP TABLE

Common Planning Pitfalls

• Projects are in prior or future program year• ALI’s do not match scope in grant application• Documentation not attached in Team

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GRANT DEVELOPMENTOTHER USEFUL THINGS

● Operating Assistance­ Available to UZA’s with < 200,000 in population.­ Fuel, wages, and other management-related activities.­ See FTA C9030.1D (III-19 to III-22) and OMB Circular A-87.

● Preventive Maintenance­ All activities, supplies, materials, labor, services, to preserve assets.­ See FTA C 9030.1D, Appendix E.

● ADA/CAA Equipment­ 90% federal share for ADA/CAA vehicle-related equipment if

itemized.

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GRANT DEVELOPMENTOTHER USEFUL THINGS

● Transportation Development Credits (Toll Revenue Credits): ­ Can be used for local share­ Require letter from State DOT­ TEAM total cost and FTA share is the same 100% amount

● Transit Enhancements – 1% UZA apportionment minimum­ Bus Shelters­ Landscaping­ Public Art­ Pedestrian Access/Bicycle Access­ Signage

● Attachments in TEAM: ­ STIP/STIP Amendment Page(s) w/Projects Listed­ MIDOT STIP Cover Page or Amendment Request Letter­ FTA STIP/STIP Amendment Approval Letter

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GRANT DEVELOPMENTOTHER USEFUL THINGS

● Pre-Award Authority­ “…permits a grantee to incur costs on an eligible transit capital, operating,

planning or administrative project without prejudice to possible future Federal participation in the cost of the project.”

­ Currently available for all formula programs through FY2010­ Expires when funds lapse.­ Must meet all federal requirements:

Planning projects must be in UPWP JARC/New Freedom

­ Completion of Coordinated Plan­ Project Competitively Selected

Section 5309/Other Discretionary Programs – Appropriation of Funds Capital Project Implementation – Written FTA Categorical Exclusion

Concurrence ­ Property Acquisition­ Demolition­ Construction

Important FTA Publicationsfor Pre Award Activities

• FTA Circular 5010.1D (Grant Mgt.)

• FTA Circular 9030.1D (Urbanized Area Formula Program)

• FTA Circular 9300.1B (Capital Investment Program)

• http://www.fta.dot.gov/laws/leg_reg_circulars_guidance.html

FTA Program Management and Oversight (PMO)

Sharletha Johnson

PMO activities and role in Grant Management

Program Management and OversightPost Award/Grant Management Activities

• Grant Award and Implementation– Technical Reviews and Concurrence For Specified Projects– Federal Financial Report (FFR)– Milestone/Progress Report (MPR)

• Grant Modifications– Budget Revisions

• No change in the grantee purpose, scope codes, and Federal funding – Amendments

• A change in the scope or an addition of Federal funds to an existing grant

• Grant Closeout• All $’s expended from the grant• No activity within the last 18 months (inactive)

Reference: FTA Circular 5010.1D

Program Management and Oversight

• Technical Assistance With Periodic Reports– Federal Financial Report (FFR) Review– Milestone/Progress Report (MPR) Review– ARRA Reporting:

• ARRA 1201-C Periodic Grantee Report• ARRA 1512-C Quarterly Grantee Report (OMB

Requirement)

The FTA will consider non-compliance to the reporting requirements a violation of the award agreement

Note: All reporting is done in TEAM except for ARRA 1512-C which is done using the Online Reporting Tool: www.federalreporting.gov

Program Management and Oversight Oversight Programs and Activities

• FTA Oversight Review Program includes 15 review areas:

– a. Grant Oversight Assessment– b. Triennial Review– c. State Management Review– d. State Safety Oversight Program– e. Planning Certification Review– f. Financial Management Reviews– g. Procurement System Review– h. Americans with Disabilities Act (ADA)– i. Title VI– j. Disadvantaged Business Enterprise (DBE)– k. Equal Employment Opportunity (EEO)– l. Safety and Security Industry Guidance– m. Drug and Alcohol Audit– n. Research and Cooperative Agreements– o. Oversight Guidance

Program Management and Oversight

Oversight Programs and Activities• Annual Grantee Oversight Assessment

– Identify the potential risk that the grantee poses to the overall integrity of FTA programs.

– Results of the risk assessment are used to identify grantees that pose relatively greater risk and where to focus oversight resources.

– The risk assessment process may result in an oversight review.

• On-Site Reviews (6)– Triennial Reviews– Financial Management Oversight (FMO)– Procurement System Reviews (PSR)– State Management Reviews (SMR)– Safety and Security Oversight (SSO) – Civil Rights

Triennial Reviews– Mandated by Congressional Law– Important Performance Measure for FTA– Urbanized Area Formula Program (Section 5307) grantees– Technical Assistance Added to the Program

• 24 Areas of Review (including new area on ARRA)• Findings Summary

– Diligent; Attentive; Knowledgeable– Average number of findings is 6– Key Concerns – Maintenance; ADA; Charter; Drug & Alcohol

• Keys to a Successful Review– Start and maintain a file– Study the previous review– Flexible schedule to include agency staff– Consultant as a resource of idea when on-site– Follow-up on findings before the due date

• Michigan Reviews in 2010 (Battle Creek Transit, City of Holland, Muskegon Area Transit, Grand Rapids, City of Jackson, MI)

Procurement System Reviews (PSR)

1. The Federal Transit Administration (FTA) has a vested interest in assisting grantees to maintain efficient and effective procurement systems…..

2. The objectives of the PSR are, – To encourage and facilitate improved grantee

procurement operations, – Foster the use of industry best practices, and – Assess the grantee’s compliance with Federal

procurement requirements, specifically the requirements of FTA Circular 4220.1F and applicable statutory and administrative requirements.

3. The PSR is designed to be a customer-oriented review that emphasizes mutual respect between FTA and the grantee.

Procurement System Reviews (PSR)

• The PSR consists of three phases:– Assessment Phase– Contract Review Phase– Reporting Phase

• Michigan PSRs in 2010– Flint and MDOT

Procurement Resources: - Procurement Systems Review Guide- Best Practices Procurement Manual(http://fta.dot.gov/funding/thirdpartyprocurement/

grants_financing_6037.html)

Important FTA Publications for Post Award Activities

• FTA Circular 5010.1D (Grant Management)• FTA Circular 4220.1F (Procurement)• Best Practices Procurement Manual (BPPM)• PMO Standards for Hiring Real Estate Consultant• Periodical Reporting: www.federalreporting.gov• Reporting of Waste, Fraud and Abuse

– www.oig.dot.gov– 1-800-424-9071– hotline@oig.dot.gov

FTA and Transit Training Resources

• National Transit Institute – www.ntionline.org

• FTA Online Submit A Question Tool: www.fta.dot.gov

• FTA Regional Workshops (contact Region V)– Triennial Review (Feb/March of every fiscal year)– Procurement Systems Review (Upcoming workshop

in November 2010)– State Management Review – Financial Management Review

Contact InformationFTA Region V Michigan Team

• Stewart Mckenzie (312) 886-1621• Angelica Salgado (312) 886-1621• Eric Allen (312) 353-3855• Sharletha Johnson (312) 353-3869• Rotimi Ogunsuyi (312) 353-4070• Email: first.last@dot.gov