Application Instructions Grant Guidelines Coordinated Mobility Programs Section 5310 Elderly Individuals & Individuals with Disabilities Section 5316 Job Access Reverse Commute Section 5317 New Freedom FY 2012 Arizona Department of Transportation Multimodal Planning Division 206 South 17th Avenue, Mail Drop 340B Phoenix, AZ 85007 This page intentionally left blank. Table of Contents PART I. INTRODUCTION ........................................................................................................ 5 A. Foreword ...................................................................................................................................... 5 B. Program Updates ......................................................................................................................... 6 C. Application Timeline .................................................................................................................... 7 D. Contact Information ..................................................................................................................... 8 PART II. PROJECT APPLICATION AND CONTRACT ......................................................... 10 A. General Instructions .................................................................................................................. 10 B. Regional Application Process .................................................................................................. 10 C. Application/Contract Contents ................................................................................................. 12 D. Application Process and Awards ............................................................................................. 13 E. Application Submittal ................................................................................................................ 15 PART III. PROGRAM DESCRIPTION ................................................................................... 16 A. Overview and Purpose .............................................................................................................. 16 B. Applicant/Project Eligibility ...................................................................................................... 17 C. Applicant Responsibilities ........................................................................................................ 22 D. Local Match Requirements ....................................................................................................... 26 PART IV. PROGRAM ADMINISTRATION AND PROJECT MANAGEMENT ....................... 28 A. Contract with ADOT ................................................................................................................... 28 B. Expense Reimbursement .......................................................................................................... 28 C. Project Management, Monitoring, and Reporting ................................................................... 29 D. Procurement ............................................................................................................................... 33 E. Insurance .................................................................................................................................... 34 PART V. FEDERAL AND STATE REQUIREMENTS ............................................................ 36 A. Public Involvement .................................................................................................................... 36 B. Civil Rights ................................................................................................................................. 37 C. Drug Free Workplace Program ................................................................................................. 43 D. School Bus Requirements ........................................................................................................ 44 E. Lobbying ..................................................................................................................................... 44 F. Debarment and Suspension ...................................................................................................... 44 G. Labor Protection ........................................................................................................................ 45 PART VI. APPENDIX ............................................................................................................. 46 A. Annual Recipient Report and Vehicle Inspection Form ......................................................... 47 B. Sample Public Notice and Public Hearing Documents .......................................................... 51 C. Passenger Trip Calculation Worksheet ................................................................................... 54 This page intentionally left blank. ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 PART I. A. INTRODUCTION FOREWORD The Multimodal Planning Division (MPD) of the Arizona Department of Transportation (ADOT) administers for the State of Arizona three Federal Transit Administration (FTA) grant programs that make up the Coordinated Mobility Programs. Section 5310, the Elderly Individuals and Individuals with Disabilities Transportation Program, is a grant program that provides capital assistance for transportation programs to meet the special needs of elderly individuals (sixty years and over) and individuals with disabilities of any age. Funds are primarily used for new vehicles and related equipment. Also available are Mobility Management funds that allow agencies to use funds for providing innovative and coordinated transportation services. Section 5316, the Job Access and Reverse Commute (JARC) Transportation Program, is a grant program that provides operating and capital assistance to develop new or expanded transportation services that connect welfare recipients and other low income persons to jobs and employment-related activities. ADOT manages two distinct JARC funding amounts, one for the rural portions of the state and the other for the small Urbanized Areas between 50,000 and 200,000 population. Section 5317, the New Freedom Transportation Program, is a grant program that provides operating and capital assistance to public transportation services focused on persons with disabilities, and to address needs that go beyond those required by the Americans with Disabilities Act (ADA). New Freedom funds may be used to provide new transportation services to jobs, medical services and to meet other needs. ADOT manages two distinct New Freedom funding amounts, one for the rural portions of the state and the other for the small Urbanized Areas between 50,000 and 200,000 in population. ADOT works very closely with regional transportation planning agencies to solicit, review and award grant applications under the Coordinated Mobility Programs. In rural areas of Arizona these agencies are Council of Governments (COG) while in urbanized areas, Metropolitan Planning Organizations (MPO) fill this role. This Handbook provides all the basic information needed to understand what is required to apply for grant funds and what your responsibilities are, if funded. FY12 Application Instructions and Grant Guidelines Page 5 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 B. PROGRAM UPDATES – NEW FOR 2012 Our application process has changed. The application is no longer attached to this handbook. Our application is now linked to our contract directly and includes all the necessary contract language as well as federal clause and certification requirements. This year applicants will complete the application and that application, if approved, becomes your official funding contract. Applicants will be required to submit contract signature pages at the time of application submission, which will bind the applicant to officially commit to the funding at that time via a legal contract document. During the application cycle, the application budget details represent Exhibit A information. All contractual terms should be reviewed approved and accepted as if the entire application will be approved. Once the application review cycle is completed and actual awards are issued, Exhibit A will be updated to reflect your actual award. Actual awards will never exceed the amount in the original application, but there is no guarantee that you will receive all the funds or items for which you applied. Per the terms of the contract, the updated Exhibit A will provide a signature block for your final acceptance of the award(s). Authorized signature on the updated Exhibit A will be required prior to issuance of award(s). See Part II, Project Application and Contract, for instructions on how to access, complete, and submit the revised application and contract document. See http://mpd.azdot.gov/mpd/Transit_Programs_Grants/ProgGuide.asp for the application and also an electronic version of this handbook. New DBE program adoption requirements. All approved applicants for funding that involve contracts with vendors outside of the vehicle procurement ADOT oversees (i.e.: Mobility Management, Operations) must either already have adopted ADOT’s DBE program or have a policy stating they will adopt ADOT’s DBE program. See Part V, Federal and State Requirements, for more information on DBE program requirements. In addition, DBE reporting is no longer submitted annually. Instead, all contract invoices are submitted through the LPA tracker at https://arizonalpa.dbesystem.com Vehicle annual reporting requirements. Agencies with vehicles purchased with Coordinated Mobility Program funds (5310, 5316, 5317) that are approved for a lien release must continue to comply with required annual vehicle inspections and annual reporting requirements. A lien release does not preclude a recipient from continued ADOT reporting requirements for as long as the vehicle remains in a recipient’s fleet. See Part IV, Program Administration and Project Management, for more information on vehicle annual reporting requirements. FY12 Application Instructions and Grant Guidelines Page 6 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 Revised application timeline. See the timeline table on the next page for current deadlines. Applications are due to the COG/MPO in February or March of 2012 and applicant workshops are now being held in December or January. ADOT distributes applications and handbooks to COG/MPO. November 2011 Distribution of application/handbook to potential applicants by COG/ MPO. Nov. / Dec. 2011 Regional application workshops. Dec. 2011 / Jan 2012 Applications due to COG/MPO. (Schedule set by COG/MPO) Feb. / March 2012 COG-MPO/ADOT Regional Review Committee Meetings to evaluate and rank applications within each region. Feb. / March 2012 COG/MPO submit completed applications in order of regional priority to ADOT. March 16, 2012 Appeal deadline to ADOT. April 13, 2012 ADOT review of COG and MPO submitted projects and recommended awards. March 16 - May 1, 2012 ADOT begins preliminary procurement specification process for vehicles. June 2012 ADOT issues non-vehicle awards to recipients through appropriate media. October 2012 ADOT conducts issuance of vehicles to recipients in Phoenix; schedule varies by vehicle type. Spring / Summer 2013 *Timeframes are approximate and subject to change. FY12 Application Instructions and Grant Guidelines Page 7 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 C. CONTACT INFORMATION For program and training related inquiries please contact: ARIZONA DEPARTMENT OF TRANSPORTATION Multimodal Planning Division 206 South 17th Avenue, Mail Drop 340-B Phoenix, Arizona 85007 Dan Harrigan, Program Manager, Coordinated Mobility Transportation Programs E-mail: dharrigan@azdot.gov Phone: (602) 712-8232 Facsimile: (602) 712-3046 Sara Allred, RTAP Program Manager E-mail: sallred@azdot.gov Phone: (602) 712-4498 Facsimile: (602) 712-3046 WEBSITE Dedicated ADOT web pages for the Coordinated Mobility Programs can be accessed at http://mpd.azdot.gov/mpd/Transit_Programs_Grants/Index.asp . Select information on a specific grant program by going to the “Grant Programs” tab at the top left of the page. The website provides valuable information for parties interested in learning more about ADOT’s public transit programs. This handbook is available on the website along with information on related programs and initiatives. CIVIL RIGHTS CONTACT INFORMATION For more detailed information pertaining to civil rights, you may contact: ARIZONA DEPARTMENT OF TRANSPORTATION Civil Rights Office 1135 North 22nd Avenue, Second Floor - Mail Drop 154A Phoenix, AZ 85009 Phone: (602) 712-7761 Facsimile: (602) 712-8429 Title VI Compliance: Lucy Schrader (lschrader@azdot.gov) DBE Compliance: Deanna Graham (dgraham@azdot.gov) ADA Compliance: Eddie Edison (eedison@azdot.gov) FY12 Application Instructions and Grant Guidelines Page 8 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 REGIONAL PROGRAM CONTACTS CENTRAL ARIZONA ASSOCIATION OF GOVERNMENTS (CAAG) 1075 South Idaho Road Suite 300 http://www.caagcentral.org Apache Junction, Arizona 85219 Martin Lucero mlucero@caagcentral.org (480) 474-9300 FAX: (480) 474-9306 CENTRAL YAVAPAI METROPOLITAN PLANNING ORGANIZATION (CYMPO) 7501 E. Civic Circle http://www.cympo.com Prescott Valley, Arizona 86314 Vicky McLane vmclane@pvaz.net (928) 759-5520 FAX: (928) 759-5521 FLAGSTAFF METROPOLITAN PLANNING ORGANIZATION (FMPO) 211 West Aspen http://www.flagstaffmpo.org Flagstaff, Arizona 86001 Martin Ince mince@flagstaffaz.gov (928) 213-2685 FAX: (928) 779-7696 MARICOPA ASSOCIATION OF GOVERNMENTS (MAG) 302 North 1st Avenue, Suite 300 http://www.azmag.gov Phoenix, Arizona 85003 DeDe Gaisthea dgaisthea@azmag.gov (602) 254-6308 FAX: (602)254-6490 NORTHERN ARIZONA COUNCIL OF GOVERNMENTS (NACOG) 119 East Aspen Avenue http://www.nacog.org Flagstaff, Arizona 86001 Chris Fetzer cfetzer@nacog.org (928) 774-1895 FAX: (928) 773-1135 PIMA ASSOCIATION OF GOVERNMENTS (PAG) 177 North Church, Suite 405 http://www.pagnet.org Tucson, Arizona 85701 Jennifer O’Connor joconnor@pagnet.org (520) 792-1093 FAX: (520) 620-6981 SOUTHEASTERN ARIZONA GOVERNMENTS ORGANIZATION (SEAGO) 118 Arizona Street http://www.seago.org Bisbee, Arizona 85603 Melanie Greene melanie@mgreeneprd.com (520) 432-5301 FAX: (520)432-5858 WESTERN ARIZONA COUNCIL OF GOVERNMENTS (WACOG) 208 North 4th Street http://www.wacog.com Kingman, Arizona 86401 Sharon Mitchell sharonm@wacog.com (928) 377-1070 FAX: (928) 753-7038 YUMA METROPOLITAN PLANNING ORGANIZATION (YMPO) 502 South Orange Ave http://ympo.org Yuma, Arizona 85364 Norma Lekan nlekan@ympo.org (928) 783-8911 FAX: (928) 329-1674 FY12 Application Instructions and Grant Guidelines Page 9 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 PART II. PROJECT APPLICATION AND CONTRACT A. GENERAL INSTRUCTIONS ADOT’s MPD announces Coordinated Mobility Programs funding and application availability by email to all COGs and MPOs annually. The COGs and MPOs are then responsible for notifying interested parties that applications are available. Notice of funding availability and the current program application can also be found at: http://mpd.azdot.gov/mpd/Transit_Programs_Grants/Index.asp Application and Contract forms are available in electronic format (Microsoft Excel). If a paper or other format is needed, please contact your COG or MPO representative for assistance. One electronic and one paper copy of the application and contract must be submitted to the COG or MPO. The COG or MPO will then submit the final electronic copy and the application with original signatures to ADOT. Original signatures are required on the certifications and assurances and contract pages. The applicant should be sure to allow adequate time to both obtain the necessary signatures and approvals from appropriate parties and to mail or hand deliver a copy(s) of the application and contract documents to the appropriate COG or MPO office by the stated deadline. NOTE: Legal umbrella agency may submit multiple site locations under one application. B. REGIONAL APPLICATION PROCESS ADOT releases the Application/Contract and Handbook online and to Arizona's four regional COG’s and five MPO’s for distribution to all potential applicants. Then, each COG and MPO sponsors an application workshop to discuss the programs with interested applicants. ADOT staff is present at these workshops to present the programs and answer questions about the process. The regional COG/MPO set the deadline for local applications, which are generally due to these regional planning offices in February or March. Applicants complete the appropriate applications/contracts and all supporting documents and submit the completed application(s) to the COG/MPO by the due date. Applicants may contact either COG/MPO regional contacts or the ADOT Program contacts listed in this document for advice during this period. FY12 Application Instructions and Grant Guidelines Page 10 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 APPLICATION REVIEW Regional review panel committees are organized at the COG/MPO level and utilized to screen local applicants. The panel ranks the applicants in their region according to the evaluation criteria contained in this document. It is important that the applicant refers to these criteria when answering the questions in the application. ADOT receives applicant rankings from the COG/MPO, prioritizes applications within a statewide context, and finalizes an application to the FTA. The application to the FTA lists all applicants in two ranked categories depending on how completely requirements have been satisfied. CATEGORY A Includes those projects certified by ADOT as having met all the statutory and administrative requirements for approval. CATEGORY B Includes those projects that ADOT may approve, but which have not yet met all statutory and/or administrative requirements, or for which there is not adequate available funding. As the necessary requirements are satisfied or funding becomes available, these projects may be advanced to Category A. When the requests for funding assistance exceed the annual ADOT program budget, only the highest regional priorities will be placed on the statewide A-List. Depending on funding levels, all complete applications that meet requirements are typically assured at least B-List placement, which permits future award should a vehicle or other equipment become available at a later date. Occasionally, former B ranked agencies that exhibit a need for improvement during the first application round (including completing missing information such as authorizations or available local match funding) may be elevated in status at a later date. Note: ADOT is partnering with the City of Phoenix in the review process for Section 5316 and 5317 Maricopa County applications. ADOT is responsible for rural Maricopa County and the small Urbanized Area of Avondale; and the City of Phoenix is responsible for the Urbanized Area of Maricopa County. With the exception of the Phoenix/Maricopa County situation, the statewide 5316 and 5317 application process will parallel that of the Section 5310 program. FY12 Application Instructions and Grant Guidelines Page 11 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 APPEAL PROCESS All applicants will be notified in writing by their regional COG or MPO of funding recommendations made by the ADOT MPD. Applicants will be given the opportunity to appeal the ADOT MPD funding recommendations. The applicant must use the following process to be recognized as a valid appeal. The letter of appeal must clearly identify the applicant, contact person, address, phone number, project description and grounds for appeal. Letters of appeal must be postmarked by April 13, 2012 and mailed to: Coordinated Mobility Programs Manager, Arizona Department of Transportation, Multimodal Planning Division, 206 S. 17 Ave., Mail Drop 340 B, Phoenix, Arizona 85007. The Program Manager will review the appeal and notify the applicant in writing of his/her decision by May 1, 2012. If the applicant is not satisfied with the Manager’s response, an appeal may be made to the ADOT Multimodal Planning Division Director at the same address as above. This appeal must be submitted and postmarked by May 15, 2012. A copy of the appeal must also be sent to the Coordinated Mobility Programs Manager. The Multimodal Planning Division Director will provide a written response to the applicant within 30 days of receipt of the appeal to the Director’s Office. C. APPLICATION/CONTRACT CONTENTS The application/contract requires the following:  General Applicant Information  Required Application Documents (Training, Coordination, and Civil Rights)  Grant Request Specifications (Describing Request, Budget and Program)  Vehicle Inventory  Power of Attorney (Requires Signature)  Certifications, Assurances and Contract Pages (Requires Signatures) A checklist is provided at the end of Part II to help the applicant verify submission of all required documentation. Applicants are required to complete all sheets in the Excel document and be concise in their answers. Incomplete applications are typically not accepted. If you have difficulty obtaining important information or certifications, contact your COG or MPO to ask for written authorization for turning the information in late, if permitted. Exceptions for such occurrences may be made, depending on the nature of the problem and the ability of the applicant to submit the needed FY12 Application Instructions and Grant Guidelines Page 12 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 information before final decisions are made. The individual COG or MPO is responsible for making the decision on whether an exception will be made, and may contact ADOT MPD staff for concurrence prior to notifying the applicant of the decision. D. APPLICATION PROCESS AND AWARDS Applications will be considered for funding based on the evaluation and selection criteria provided in this section. What you submit as your application, with attachments, will be the main source of information used by the COGs/MPOs and ADOT in reviewing and prioritizing your request for funding. The final decision on project selection and funding will be made by the ADOT MPD. ADOT retains sole discretion to determine which projects will be funded and the amount of funds awarded to any given project. The MPD may request additional information from applicants to clarify information submitted. PROJECT SELECTION CRITERIA Specific criteria guide the development of the Coordinated Mobility Programs and are related to the broad goals defined in each program. In order to ensure fair and equitable distribution of FTA funds, the criteria listed are the basis for review and selection of applications for program funding. Sections 5310, 5316 and 5317 Evaluation Criteria Max. Points I. Ability of Applicant to Provide Service 10  Does the agency/applicant meet the minimum qualifications?  Are they an experienced provider?  If awarded funding are they capable of meeting the program goals and compliance requirements? II. Staff Training 10  Does the agency/applicant have an ongoing training program?  Are their driver/operators trained to proficiency? III. Coordination Efforts 25  Does the agency/applicant attend and participate in regional coordination meetings?  Are they included in the regional coordination plan?  Do they or can they actively coordinate with other agencies? FY12 Application Instructions and Grant Guidelines Page 13 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 IV. Civil Rights – Title VI Compliance 10  Has the agency/applicant signed all the appropriate certificates and assurances?  Do they have policies? Sections 5310, 5316 and 5317 Evaluation Criteria Max. Points V. Appropriateness of Service 10  Does the service proposed meet the needs of the ridership and program goals?  Do the service days, hours, and type of ridership meet their program demands? (5316 and 5317 only)  Does the service provide rides to job services? (5316 only)  Is this different from their 5310 program? (5317 only) VI. Budget – Financial Management 10  Does the agency/applicant have a financial plan or sound financial budget and ability to handle the financial management of FTA grant funds?  If this is a voucher program, did they provide how it will work, i.e., enrollment, ID, etc.? (5317 only) VII. Need for Capital Purchase    VIII. Assurances, Certificates, and Inventory    X. 5 Is the inventory form complete, if applicable? Are all required assurances signed? IX. Complete Grant  10 Is the existing fleet used to capacity? Does the service, and/or new service dictate the need for this request? Will other capital equipment or mobility management enhance the service and promote coordination? 5 Is the grant application complete? Is there a map of the service area? Attended Annual Application Workshop FY12 Application Instructions and Grant Guidelines 5 Page 14 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 E. APPLICATION SUBMITTAL Applications may be viewed, downloaded and completed online at http://mpd.azdot.gov/mpd/Transit_Programs_Grants/ProgGuide.asp. However, the application itself must be submitted electronically and in hard copy to your local COG or MPO representative, by the date and time set by each COG or MPO. Instructions on the due date and the number of applications to submit are provided by each COG or MPO along with this application package. FY12 Application Instructions and Grant Guidelines Page 15 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 PART III. PROGRAM DESCRIPTION This section provides an overview of the grant programs under the Coordinated Mobility Programs, as well as outlining eligibility requirements, applicant responsibilities and local match sources. A. OVERVIEW AND PURPOSE SECTION 5310 The overall goal of the Section 5310 program is to provide and strengthen the transportation services available to meet the special needs of the elderly and disabled. It is recognized that these populations have transportation needs which are often not met by conventional automobile or public transportation, and require specialized assistance in order to access services, employment, and medical care. All Section 5310 projects must provide service to elderly persons (60 years and over) and/or persons with disabilities of all ages. Agencies may transport a broader range of clientele, but the majority of persons who will be transported must be individuals who are elderly or have disabilities. SECTION 5316 The purpose of the Section 5316 Job Access and Reverse Commute (JARC) Program is to provide funding for new or expanded transportation services that connect welfare recipients and other low income persons to jobs and employment-related activities. Job Access projects are targeted to develop new or expanded transportation services such as shuttles, vanpools, new bus routes, connector services to mass transit, and guaranteed ride home programs for welfare recipients and low income persons who are unemployed or underemployed. These grants are designed to serve persons at or below 150% of the federally defined poverty level. Reverse Commute projects are generally not constrained by end-user income level and provide transportation services to suburban employment centers from urban, rural and other suburban locations for all populations. FY12 Application Instructions and Grant Guidelines Page 16 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 SECTION 5317 The New Freedom program seeks to reduce barriers to transportation services and expand the transportation mobility options available to individuals with disabilities. The purpose of New Freedom projects must be to provide new transportation options for individuals with disabilities, beyond the level of services required by the ADA. Projects must be both “new” (not operational before August 10, 2005) and beyond the requirements of the ADA. B. APPLICANT/PROJECT ELIGIBILITY ELIGIBLE APPLICANTS SECTION 5310  Private Non-Profit Corporations when publicly operated mass transportation services are unavailable, insufficient, or inappropriate. Evidence of non-profit status is demonstrated by submittal of a certified copy of the articles of incorporation or by an Internal Revenue Service (IRS) 501(c)(3) Federal income tax exemption letter.  Governmental Authorities  City, County, Town and Tribal governments including other related public bodies/Tribal community agencies can apply if they are approved by ADOT to coordinate services for elderly individuals and individuals with disabilities; or that certify to ADOT that no nonprofit corporation is readily available in an area to provide the needed service. The operational definition of “available” implies agencies which are also “capable and willing.”  Public Agencies - Applications which the State believes are conducted in the interest, or are otherwise strongly supportive, of local, regional and/or State coordination objectives would also fall under this category. SECTION 5316 Eligible applicants under both the “job access” and “reverse commute” segments of the 5316 Program include private non-profit organizations, State or local governmental authorities including tribal governments, and operators of public transportation services including private operators of public transportation FY12 Application Instructions and Grant Guidelines Page 17 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 services. The latter group includes private-for-profit cab, shuttle and transit operators that meet the objectives of the 5316 Program. SECTION 5317 Eligible applicants under the 5317 Program include private non-profit organizations, State or local governmental authorities including tribal governments, and operators of public transportation services including private operators of public transportation services. The latter group includes private-forprofit cab, shuttle and transit operators that meet the objectives of the 5317 Program. ELIGIBLE ACTIVITIES/PROJECTS SECTION 5310 Funds for the Section 5310 program are available for capital expenses to support the provision of transportation services to meet the special needs of elderly persons and persons with disabilities. Note: ADOT does not provide funding to purchase used vehicles or equipment, 15-passenger vans, or standard passenger cars. Examples of eligible capital expenses include:  Vehicles  Radios and Communication Equipment, Computer Hardware/Software  Fleet Maintenance Equipment  Vehicle Equipment/Parts Individually)  Vehicle Rehabilitation, Manufacture, or Overhaul  Operations and Maintenance Structures (Vehicle Shelters, Maintenance Structures)  Transit Related Intelligent Transportation Systems (ITS)  Mobility Management (Wheelchair Lifts and Restraints Bought Vehicle Accessibility: Providing wheelchair and other mobility device accessibility to local areas is a high priority of the Section 5310 Program, in order to meet the growing needs of individuals of all ages with mobility-impairments. However, applications for non-accessible vehicles will also be considered by FY12 Application Instructions and Grant Guidelines Page 18 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 ADOT if that best meets agency needs. However, in order to acquire a nonaccessible vehicle, applicants must assure adequate ADA-compliant “Equivalent Service.” Equivalent service means that in order to obtain a non-accessible vehicle, an applicant must already have in its fleet, or under contract, regular, guaranteed availability of an ADA-compliant, wheelchair-accessible vehicle, or vehicles, in reliable and safe operating condition, to serve the area targeted by the application, as well as qualified drivers to operate it. The agency must be able to provide accessible service on a scheduling and capacity basis which is equal to that provided by non-accessible vehicles. If equivalent service is by contract, the contractor must have a back-up plan in order to ensure that equivalent service is available. Eligible Trip Purpose: Equipment provided through this program may be used for all trip purposes for elderly and disabled populations. This includes but is not limited to transportation of people to:  Medical appointments  Meals  Social services and facilities  Employment  Rehabilitation services  Shopping  Recreational and social activities Trip Purpose Exceptions:  Vehicles and related equipment may not be used primarily for the delivery of meals to persons in their homes. Any meal delivery provided may only be incidental to the primary vehicle use of transporting people.  The Section 5310 program is not intended to provide emergency medical transport or ambulance service on a regular basis.  Section 5310 vehicles are also not to engage in regularly scheduled school bus service. Section 5310 recipients may operate multi-functional vehicles which meet the safety requirements for school transportation, but may not provide exclusive school service.  Applicants are encouraged to coordinate their services with public transit operators, or others, as long as that does not conflict with providing transportation to the elderly and disabled. FY12 Application Instructions and Grant Guidelines Page 19 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 SECTION 5316 Eligible activities for Job Access grants include capital (90% federal/10% local match), operating (50%/50%) and planning expenses (50%/50%) for services, equipment, facilities, and associated capital maintenance items related to providing access to jobs for low income individuals. Eligible projects include, but are not limited to:  Late-night and weekend service;  Guaranteed ride home services;  Shuttle service;  Expanding fixed route mass transit routes;  Demand-responsive van service;  Ridesharing and carpooling activities and transit-related aspects of bicycling;  Day-care related transportation—to and from;  Employment training (i.e., job skills, interviewing, trainee development, etc.);  Costs of promoting the use of transit by workers with nontraditional work schedules, the use of transit vouchers, and the use of employer-provided transportation including the promotional advertisement of transit benefits;  Mobility management;  Other capital costs include vehicles, related communications equipment, dispatching, scheduling and coordination hardware and software and ITS (Intelligent Transportation Systems) features such as real-time information displays to inform customers of service status; and  JARC-related planning functions (as an operating expense). For Reverse Commute grants, eligible activities include the same activities as for Job Access grants: operating costs, capital costs and other costs; however these project must address “reverse commute” by bus, train, carpool, vans or other transit service. SECTION 5317 Eligible activities for New Freedom grants include capital (90% federal/10% local match), operating (50%/50%) and planning expenses (50%/50%) for services, equipment, facilities, and associated capital maintenance items related to FY12 Application Instructions and Grant Guidelines Page 20 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 providing services for people with disabilities that go beyond the requirements of the ADA. Eligible projects include, but are not limited to:  Purchasing vehicles and supporting accessible taxi, ride-sharing, and vanpooling programs; including staff training, administration, and maintenance;  Providing paratransit services beyond minimum requirements (3/4 mile to either side of a fixed route), including for routes that run seasonally;  Making accessibility improvements to transit and intermodal stations not designated as key stations;  Supporting voucher programs for transportation services offered by human service providers;  Mobility management; and  Other capital costs include vehicle/service-related communications equipment, dispatching, scheduling and coordination hardware and software, and ITS (Intelligent Transportation Systems) features such as real-time information displays to inform customers of service status. MOBILITY MANAGEMENT Mobility Management is an eligible project under all three Coordinated Mobility Programs and can consist of short range planning and management activities and projects for improving coordination among public transportation and other service providers, to include personnel and technology activities. Mobility Management techniques may enhance transportation access for populations beyond those served by one agency or organization within a community. For example, a non-profit agency could receive New Freedom funding to share services it provides to its own clientele with other individuals with disabilities and coordinate usage of vehicles with other non-profits. Mobility Management is intended to build coordination among existing public transportation providers and other transportation service providers with the result of expanding the availability of service. Mobility Management activities may include:  Promoting, enhancing and facilitating access to transportation services, including integrating and coordinating services for individuals with disabilities, older adults, and low income individuals;  Supporting short term management activities to plan and implement coordinated services;  Supporting state and local coordination policy bodies and councils; FY12 Application Instructions and Grant Guidelines Page 21 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 C.  Operating transportation brokerages to coordinate providers, funding agencies, and customers;  Providing coordination services, including employer-oriented Transportation Management Organizations’ and Human Service Organizations’ customeroriented travel navigator systems and neighborhood travel coordination activities such as coordinating individualized travel training and trip planning activities for customers;  Developing and operating one-stop transportation traveler call centers to coordinate transportation information on all travel modes and managing eligibility requirements and arrangements for customers among supporting programs; and  Operational planning for the acquisition of intelligent transportation technologies to help plan and operate coordinated systems inclusive of Geographic Information Systems (GIS) mapping, Global Positioning System technology, coordinated vehicle scheduling, dispatching and monitoring technologies as well as technologies to track costs and billing in a coordinated system and single smart customer payment systems (acquisition of technology is also eligible as a stand alone capital expense). APPLICANT RESPONSIBILITIES COORDINATION REGIONAL TRANSPORTATION COORDINATION PLAN All projects funded under the Coordinated Mobility Programs must be derived from a locally developed, coordinated public transit-human services transportation planning process. Coordination is a key element which is now required for all FTA programs. In order to be awarded grant assistance, successful applicants must be included in the Regional Coordination Plan for their area and have participated in related coordination activities such as coordination meetings. The state of Arizona is divided into nine planning regions. Each planning region is expected to develop a Coordinated Public Transit-Human Services Transportation Plan. The key elements of this plan include the following:  An assessment of transportation needs for targeted groups of people;  An inventory of available services that identifies areas of redundant service and gaps in service; FY12 Application Instructions and Grant Guidelines Page 22 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317  Strategies to address the identified gaps in service;  Identification of coordination actions to eliminate or reduce duplication in services and strategies for more efficient utilization of resources; and,  Prioritization of implementation strategies. Development of a regionally prioritized list of projects in the Coordination Plan occurs simultaneously with providers’ development of their local applications, and is finalized with the COG/MPO evaluation panels and the regions’ submittal of the annual regional transportation coordination plan updates to ADOT. If an applicant is not listed in the regional plan, in terms of participation and prioritization, it cannot be included in ADOT’s FTA application for program funding. Applicants and existing recipients should be aware that they need to participate in activities related to their region’s plan even if they are not applying for grant assistance for a particular year(s) and as long as they have a vehicle(s) on lien or other grant assistance that is still active. In addition, grantees are encouraged to continue to participate regardless of their status, i.e., even when they are inactive/past their lien as an ADOT grantee, but still providing the same or similar special needs transportation (or are partners with others that provide this service for them). In addition, the regional transportation coordination plans are not intended just for ADOT grantees, and therefore should not be viewed as just an ADOT function, but are for all public and human service transportation agencies and their partners, including private-for-profit providers. LOCAL COORDINATION The applicant must participate in local and/or regional efforts to coordinate services in an effort to make the best use of transportation resources in Arizona. The local coordination efforts will vary by region, and will be guided largely by the United We Ride efforts. Local or regional coordinating councils are established in each region, and participation on these committees is a requirement of all grantees. ADOT strongly encourages a coordinated application by two or more agencies with one agency acting as the lead and principal applicant. Coordination can take on many forms, including sharing information and referrals, joint training, sharing of maintenance facilities, insurance providers, drivers and even vehicles. One of the primary forms of coordination is the utilization of one agency, typically a central funding or grant–making agency, to combine several smaller agencies or groups with similar clientele into one interrelated program with multiple local facilities from which agency services are rendered. FY12 Application Instructions and Grant Guidelines Page 23 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 A common method of providing a coordinated application is through the utilization of an umbrella agency, which may function as a central grant writing, fund-raising or administering entity and which may also oversee satellite serviceprovider agencies. An umbrella agency would be a private non-profit organization or public agency that would submit an application for project funding that would be subcontracted or otherwise distributed to affiliated eligible agencies on a needs basis. The advantages of this arrangement may include reduced administrative costs, greater trip coordination, and centralization of reporting and record keeping. Mobility Management activities are strongly encouraged under local coordination efforts and ADOT is providing statewide assistance in 2012 to push forward an effort to have regional mobility managers assist with coordination efforts. LOCAL FINANCIAL SUPPORT Local financial support may come from the applying agency or in the form of funding from a private non-profit agency, donations, or grants from local governments. Awarded applicants are to secure their local matching funds at the time of application, even for capital purchases. Vehicle delivery often occurs late in the fiscal year following the application process, approximately 16 to 18 months after an agency’s application to the State for capital assistance. Applicants are encouraged to notify appropriate local decision makers of this fact relative to their matching funds programming needs so that, if necessary, the funds can be re-appropriated or carried forward. SAFETY & TRAINING A commitment to operating safe services is a core requirement of the Coordinated Mobility Programs. Drivers must be trained to proficiency not only in the safe operations of vehicles and equipment but also in how to assist and relate to passengers with special needs. VEHICLE SAFETY All vehicles purchased with Coordinated Mobility Programs grant funding must be regularly maintained and serviced in order to provide safe operations. Recipients must document routine maintenance including but not limited to oil/fluid changes, tire condition, wheel chair lift inspections (if applicable) and maintain all aspects of the vehicle in accordance with the manufacturers’ recommended maintenance standards. FY12 Application Instructions and Grant Guidelines Page 24 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 TRAINING All drivers and other safety-sensitive personnel operating vehicles or equipment must be trained to proficiency including, but not limited to, the following areas:  Defensive driving;  ADA accommodations/wheelchair securement and passenger sensitivity;  Emergency evacuation; and  Basic first aid/CPR. ADOT’s MPD Training Coordinator is available to assist grantees with training needs, whether it be setting up specific ADOT-sponsored training locally, or providing other resources. REPORTING AND MONITORING Capital award recipients have reporting requirements that extend throughout the useful life of equipment. Through this reporting, recipients assure ADOT of ongoing appropriate equipment use and equipment maintenance. Upon taking delivery, the recipient assumes an obligation to use the equipment in a manner that is consistent with the service identified in its application and with the contractual requirements of the State. ADDITIONAL REQUIREMENTS Limitation of out-of-country and out-of-state travel No ADOT-funded vehicle or other capital asset may be taken across an international boundary without prior written ADOT approval. Cross-state boundary travel is permitted as long as it is consistent with the objectives of the Coordinated Mobility Programs grant award. Charging fares for elderly and disabled transportation services Fares may be charged for elderly and disabled transportation services as long as the fares do not exceed those required to operate the system or route under consideration. In determining fair and reasonable charges, service providers should keep in mind the primary end-user/clientele group utilizing services and their income status. The operator may require fares that exceed the “normal” fare if it is providing general public service to others outside the core end-user group. FY12 Application Instructions and Grant Guidelines Page 25 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 D. LOCAL MATCH REQUIREMENTS Projects funded under the Coordinated Mobility Programs utilize a local matching ratio of 50% for operating and planning expenses. Capital projects funded under the Coordinated Mobility Programs utilize a local matching ratio of 10% of the final invoice for all projects, including Mobility Management. An additional administrative fee including delivery/inspection and MVD fees will be added for capital equipment procurements conducted by ADOT on behalf of the recipient. (% TBD) It is important to note that local match for capital procurements must be in monetary form, such as one agency check or one Cashiers Check, and must be submitted to ADOT upon order. Pledges and in-kind donations do not count towards local match requirements for capital purchases. For Mobility Management personnel projects, assurance of the availability of dedicated local funds or in-kind resources is required at the time of application. MATCH FUNDING RESOURCES Many agencies are faced with dwindling internal resources to provide transportation services, which can often make identifying local match the greatest challenge facing program applicants. However local government funding, human service program funding and other non-DOT Federal funds can be used for local match and applicants are encouraged to seek out these funding sources. Federal funds that cannot be used as local match are other DOT program funds, including Section 5310, Section 5311, Section 5316 and Section 5317 funds. Federal funds that can be used are highlighted in the table below. Older Americans Act Title III   Temporary Assistance to Needy Families (TANF) Indian Reservations Roads Program    STP Flexible Funds   Used to provide program services for the elderly including transportation services. Contact your local AAA to see if there are opportunities for coordination. Funds may be used for transportation to provide benefits for low income individuals. Provides funding for transportation facilities within public lands, national parks, and Tribal lands. Funds are administered directly by the appropriate Federal land management agency. Funds can be used for transit capital in addition to roadways. Available only to those municipalities and FY12 Application Instructions and Grant Guidelines Page 26 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 counties that are eligible to receive funds from the FTA. Non-Federal local match can be in the form of contract revenue, derived as part of purchase of service agreements with human service agencies, only if the funding source is local or state. If the source is federal, the revenue will only be considered as local match if allowed by the federal funding source. It should be noted though, that funds derived from purchase-of-service agreements pursuant to service agreements with a state, local social service agency, or a private social service organization may be treated as local rather than Federal funds, even though the original source of such funds may have been another Federal program. Examples of Federal programs where funds can be used as match in this instance are Older Americans Act Title III funds, Temporary Assistance to Needy Families (TANF) funds, and Community Services Block Grant funds. Other examples of non-Federal local match sources include:  State or Local Appropriations;  Dedicated Tax Revenues;  Private Donations; and  Net Income Generated From Advertising and Concessions. Grantees may use non-cash shares such as donations, volunteered services, or in-kind contributions toward the local match only if the grantee formally documents the value of each non-cash share, and if this value represents a cost that would otherwise by eligible under the project. Use of non-cash match sources and documentation must be approved by ADOT. Farebox revenues from service cannot be used as local match. Farebox revenue is only to be used to reduce the net operating expense of the program. FY12 Application Instructions and Grant Guidelines Page 27 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 PART IV. PROGRAM ADMINISTRATION AND PROJECT MANAGEMENT A. CONTRACTS WITH ADOT Each successful applicant is provided funds through a grant contract agreement with ADOT that has specific terms and conditions. The agreement identifies the responsibilities of ADOT and the grantee, lists the performance expectations and contract deliverables, and includes all Federal requirements. This agreement is entered into at the time of application. By signing the application, the applicant is committing to a legal binding agreement with ADOT if awarded funding. Agreements are effective from October 1 to September 30 each year, consistent with the Federal fiscal year. Agreements must be executed before October 1 of the contract year in order for grantees to be eligible for reimbursement of costs incurred beginning October 1. ADOT Multimodal Planning Division will not assume financial obligation or liability until the Agreement is executed. Approved grantees are responsible for all expenses incurred prior to the eligible date established in the Agreement. No Federal funds will be available until the contract is executed. Agencies that use local funds to cover expenses before the agreement is signed need to be aware that these funds will not count toward their local match requirements for federal funds available after the Agreement is executed. Per the agreement, ADOT has the authority to re-distribute funds if the agreement is not executed by December 30th of each year. B. EXPENSE REIMBURSEMENT For operations, planning, mobility management and non-ADOT procured capital equipment expenses; recipients must invoice ADOT on a quarterly basis. A Summary/Progress Reporting Form and an Invoice Form will be provided by ADOT to each recipient for this purpose. Detailed back-up documentation must be included for each invoice submitted and no other reporting forms will be accepted. FY12 Application Instructions and Grant Guidelines Page 28 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 C. PROJECT MANAGMENT, MONITORING, AND REPORTING ADOT RESPONSIBILITIES In addition to developing the annual statewide application for submittal to FTA, ADOT administers the Coordinated Mobility Programs at the State level by performing the following activities:  Providing program information and technical development, implementation and operation;  Monitoring the progress of each project through completion;  Coordinating the program with other ADOT administered FTA Programs including the Section 5311 Rural Public Transportation Program, Planning programs for rural and urban areas (funded under Sections 5303 and 5304, respectively), and the Rural Transit Assistance Program (RTAP);  Coordinating vehicle purchases through a competitive bid process;  Assuming responsibility for complying with Federal procurement, auditing and other requirements to minimize the requirements placed on individual grantee agencies; and  Networking with FTA, other federal agencies, state DOTs, and associations, to include attendance at regional and national conferences, meetings, and pertinent training forums, to enhance communication with industry peers and remain current in program management developments. assistance for project PROJECT MONITORING – ON-SITE VISITS In depth management reviews / site visits of all agencies receiving Coordinated Mobility Program funds are completed periodically, at least once every three years. These reviews / site visits focus on program compliance, vehicle use, maintenance, insurance, and safety. Representative topics include:  Recent Program Changes (administrative and service)  Compliance with Work Scope (i.e., is the vehicle still being used in accordance with the description in the recipient’s original or approved-revised application?) FY12 Application Instructions and Grant Guidelines Page 29 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 In addition, ADOT will be looking for continued compliance with FTA requirements which include:  Program Management - written internal organization policies and procedures;  Financial Management - procedures, recent audits, etc.;  Civil Rights, including Americans With Disabilities Act (ADA) Service Provisions; Title VI; Limited English Proficiency (LEP); Equal Employment Opportunity (EEO); Disadvantaged Business Enterprise (DBE) participation, and other related activities;  Vehicle Use, including insurance coverage reviews (if applicable); and  Vehicle Maintenance & Safety (if applicable); If site visits reveal common issues with compliance, ADOT will hold regional workshops to address compliance and training issues. These workshops provide ADOT with the opportunity to assist its recipients on technical or management matters. VEHICLE TITLE AND LIEN ADOT conducts all vehicle title and registration activities for the recipient agency as a part of the ADOT led procurement process. In order that ADOT may act on behalf of the recipient for these transactions, a signed Power of Attorney must be submitted to the Department. This form is included in the application/contract documents and must be signed before an application is submitted. The Power of Attorney form is used exclusively for titling and registering vehicles awarded through the program. In order to ensure proper use of grant funded equipment through the useful life, ADOT will hold a first lien on all equipment in the amount of the federal share of the equipment cost. The lien will extend through the useful life of the capital equipment until the remaining asset value is less than $5,000. In the case of vehicles, the lien placed will remain in effect for at least four years and 100,000 miles. VEHICLE INVENTORY MANAGEMENT ADOT manages an inventory of vehicle information for all vehicles funded under the Coordinated Mobility Programs. Grant agreement requirements are kept upto-date via annual reports filed with ADOT by recipients, and incorporated into project database files for program management use. This asset management system promotes proper vehicle maintenance and use and identifies problems or issues related to fleet defects or improper vehicle management. FY12 Application Instructions and Grant Guidelines Page 30 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 Among other tasks, the fleet focus system flags agencies that may be due for vehicle replacement and inspections. The objective of this system is to ascertain statewide condition of the FTA funded vehicle fleet and help determine what current and future actions are most beneficial to ensure overall fleet service viability. RECIPIENT RESPONSIBILITIES RECORD KEEPING Records must be maintained in an auditable manner during the period of contractual obligation to ADOT and for three years following the date of completion of the project and/or release of the ADOT lien. A recipient may be audited without notice at any time during this period. The recipient should maintain records regarding vehicle trip logs as well as information on driver safety records/incidents, vehicle insurance, regular and major maintenance and repair, and operating budget(s). The recipient should also keep up-to-date records on such aspects as ADA and other Civil Rights program requirements. For vehicle projects, the recipient must submit detailed maintenance and repair logs (on each vehicle) to ADOT or ADOT-contracted personnel for review at annual vehicle inspections. These documents, as well as the agency’s maintenance policies, will also be examined at program evaluations and other site visits. AUDITS FTA does not require an annual financial audit of a recipient when the assistance is provided solely in the form of capital equipment procured directly by the State. Normally, therefore, Section 5310 grantees do not require an annual audit. However, as recipients of federal funds and/or state assistance, ADOT’s programs are subject to an audit and in any given year ADOT or federal auditors may choose to review financial records of recipients. QUARTERLY REPORTING – SECTION 5316 Section 5316 reporting requirements must be met with a quarterly report through the COG or MPO to ADOT and must describe progress relative to the applicant’s stated objectives and contract performance criteria. Reporting will be completed on a template provided by ADOT. The FTA has identified two key reporting areas for the JARC program. FY12 Application Instructions and Grant Guidelines Page 31 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317  Number of passenger trips (one way).  Number of jobs accessed. QUARTERLY REPORTING – SECTION 5317 Section 5317 reporting requirements must be met with a quarterly report through the COG or MPO to ADOT and must describe progress relative to the applicant’s stated objectives and contract performance criteria. Reporting will be completed on a template provided by ADOT. The FTA has identified three key reporting areas for the New Freedom program.  Description of services beyond the requirements of the ADA.  Number of passenger trips (one way) provided.  Any changes to infrastructure (e.g., facilities, sidewalks, etc.), if appropriate. QUARTERLY REPORTING – MOBILITY MANAGEMENT Mobility Management reporting requirements must be met with a quarterly report through the COG or MPO to ADOT and must describe progress relative to the applicant’s stated objectives, timeline, and contract performance criteria. Reporting will be completed on a template provided by ADOT. ANNUAL REPORTING – VEHICLES Central to the management responsibilities a recipient undertakes when they are awarded a vehicle is the commitment to comply with required annual vehicle inspections and annual reports. Recipients should expect annual vehicle inspections and an annual request for operational information via an Annual Report/Notice of Impending Vehicle Inspection inquiry. ADOT’s Equipment Services Division staff statewide will conduct annual vehicle inspections and the Coordinated Mobility Programs Manager will contact new recipients and/or ADOT Equipment Services upon award or delivery of a vehicle to determine the precise reporting schedule in effect for that year. After the agency completes a vehicle inspection form (received via mail) for each vehicle an appointment for the inspections(s) will be made. Annual reporting and vehicle inspections are requirements through the entire life of the vehicle, not just through the vehicle “useful life” and lien period. A lien release does not preclude a recipient from continued ADOT reporting requirements for as long as the vehicle remains in a recipient’s fleet. FY12 Application Instructions and Grant Guidelines Page 32 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 ACCIDENT REPORTING Any vehicle damage and/or injuries requiring medical attention or hospitalization that results from, or is otherwise related to, vehicle operation (including passenger entry and exit) should be reported immediately to the Coordinated Mobility Programs Manager. CHANGE IN EQUIPMENT STATUS OR CONDITION Any extraordinary change in the status or condition of a vehicle or other capital equipment to include damage, operational failure, or legal involvement, must be reported to ADOT within 5 working days, even if satisfactory repair can be made within this period. Items such as flat tires, minor glass and paint scratches, minor “parking-lot dings,” other incidental body dents, and regular, non-accident related repair or normal replacement items are not subject to this requirement unless a vehicle is out of service for more than 24 hours. D. PROCUREMENT ADOT conducts the procurement for most vehicle purchases. Recipients should be aware that for specialized vehicles and other types of equipment not normally procured by ADOT, the recipient must qualify for and utilize the ADOT Section 5311 program’s Capital Procurement Handbook. The Capital Procurement Handbook provides the framework for purchases outside the ADOT direct procurement system. The Handbook is available online at mpd.azdot.gov/MPD/Transit_Programs_Grants/PDF/CapitalProcurementHandbo ok.pdf. Applicants who procure equipment on their own must comply with all steps associated with major capital procurements, including, but not limited to, selecting an appropriate method of solicitation, advertisement, conducting a federally approved bidding process, contracting, and obtaining appropriate federal Buy America, Bus Testing, Lobbying and Debarment certifications. Recipients are advised to contact the ADOT Coordinated Mobility Programs Manager prior to engaging in any procurement activity, as all procurements require final ADOT approval. ADOT Procurement and Available Vehicle Types The ADOT led vehicle procurement process currently offers the following vehicle types: FY12 Application Instructions and Grant Guidelines Page 33 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317  Maxivan With Lift - Raised-roof van with wheelchair lift, seats up to eight (8) ambulatory passengers and has 2 wheelchair (w/c) positions, (lessoned ambulatory capacity with wheelchair occupancy);  Cutaway With Lift - Raised-roof “body-on-chassis cutaway” with wheelchair lift, seats up to nine (9) ambulatory passengers and has 2 wheelchair positions (lessened ambulatory capacity with wheelchair occupancy);  Minivan With Ramp: Minivan with one (1) wheelchair position and manual accessibility ramp, seats up to five (5) ambulatory passengers (lessoned or no ambulatory capacity with wheelchair occupancy). Since this has limited seating, requests for this type of vehicle will reviewed on a case-by-case basis;  Maxivan No Lift: A Twelve (12) passenger (including driver) Maxivan without a wheelchair lift;  Minivan No Ramp: A Seven (7) passenger (including driver) minivan without a wheelchair lift. Vehicle brand and configuration will be determined by ADOT. Although every attempt is made to procure and deliver vehicles within one calendar year of the ADOT submittal of a statewide application to the FTA, longer periods are not uncommon, and is highly subject to invitation-for-bid and delivery schedules, ADOT staffing, and industry manufacturing cycles and inventories. E. INSURANCE MINIMUM REQUIRED INSURANCE COVERAGE Recipients are responsible for acquiring and maintaining current, appropriate insurance on their capital equipment while under ADOT lien. Vehicle and large capital equipment require the recipient to list ADOT as the Certificate Holder, Loss Payee and Additional Insured on their policy. It is critical that the vehicle operator ensure that it retains on file up-to-date insurance, that this information is readily available for review by ADOT and its auditors, and that a current insurance card is located in the vehicle at all times. Vehicle collision and comprehensive insurance to cover liability and under/uninsured motorists is required in order to successfully apply for and operate an ADOT funded vehicle. Fair Market Replacement Value, as well as Collision and Comprehensive insurance, including fire, theft, and vandalism, in an amount not less than the actual purchase price of equipment, is required as follows: FY12 Application Instructions and Grant Guidelines Page 34 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 VEHICLE SEATING CAPACITY (including driver) 8 or less passengers 9 to 15 passengers 16 + passengers LEVEL OF INSURANCE COVERAGE $1,000,000 auto liability $ 300,000 uninsured motorist $1,000,000 auto liability $300,000 uninsured motorist $ 5,000,000 auto liability $ 300,000 uninsured motorist The Certificate of Insurance must be submitted to ADOT prior to taking delivery of the vehicle(s). In addition, a current copy of the Certificate must be included with the Annual Report/Notice of Impending Vehicle Inspection. A breakout of coverage, effective insurance dates and ADOT being listed as Certificate Holder, Additional Insured/Loss Payee and lien holder is then verified by ADOT. FY12 Application Instructions and Grant Guidelines Page 35 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 PART V. FEDERAL AND STATE REQUIREMENTS As a Federal program, Federal legislation and a variety of Federal regulations form the foundation of how the Coordinated Mobility Programs are operated. ADOT has developed procedures on how some of the Federal provisions are enacted in Arizona. In other cases, the requirement and language is straight from the Federal legislation and regulations. In this section, the basic Federal and State requirements are summarized. In addition to reading the abbreviated summaries in this handbook, applicants are urged to read the applicable FTA Program and Office of Management and Budget Circulars for a more in-depth description of the Federal requirements. A. PUBLIC INVOLVEMENT Applicants are required to notify interested parties in the community of their intent to apply for CAPITAL EQUIPMENT funding under all Coordinated Mobility Programs. Operating or mobility management projects do not require public notice in advance of the application. To complete the public involvement requirements, agencies are required to: 1. Place a public notice in a newspaper of general circulation in the vicinity of the project stating the intent of the applicant. 2. Send a letter to all public and private transportation providers notifying them of the same and inviting their participation. NOTE: In the Maricopa and Pima urban areas, the Maricopa Association of Governments (MAG) and Pima Association of Governments (PAG) take care of the public notification responsibilities on behalf of the applicants in their area. In addition, public agencies must also provide an opportunity for a public hearing if one is requested. This requirement does not apply to private non-profit agencies. Public notices shall be published in the newspaper(s) having general circulation in the vicinity of the proposed undertaking. If someone with a significant economic, social or environmental interest in the matter requests a hearing, such public hearings must be held at a place and time generally convenient for persons affected by the proposed undertaking and accessible to persons who are elderly or have disabilities. Provisions should be made at the hearing for submission of written statements, exhibits, or oral statements. As appropriate to the ethnic makeup of the community or upon request, translators should be provided for non-English speaking persons at the hearing. A FY12 Application Instructions and Grant Guidelines Page 36 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 written summary of the oral proceedings must be prepared. In addition, requests for appropriate accommodation for persons with mobility, hearing or sight impairments must be honored. With the exception of private non-profit providers in the MAG and PAG regions, all other private and public transit providers in the applicant's service area must be informed of the applicant’s plans, via written notice, and provided with an opportunity to participate in the project. All replies of private and public sector providers must be included in the application. Supporting documentation must be provided if an applicant should deny existing private and public systems the opportunity to provide the service. In Pima and Maricopa counties, the Pima Association of Governments or Maricopa Association of Governments may place a single public notice, which takes the place of the above requirements for individual notifications to providers, and offer to conduct a single public hearing on behalf of all applicants. However, it is recommended in these regions that applicants voluntarily notify all “obvious” organizations, agencies or companies within their service area which might have an interest in and wish to comment on their application. Samples of public notice and public hearing documents are provided in the appendix. B. CIVIL RIGHTS All recipients of FTA assistance are responsible for compliance with all Civil Rights requirements applicable to transit related projects, including 49 U.S. 5332 (Nondiscrimination), Title VI of the Civil Rights Act of 1964, Equal Employment Opportunity (EEO), Section 504 of the Rehabilitation Act of 1973, the Americans with Disabilities Act of 1990, Disadvantaged Business Enterprise (DBE) program requirements, and DOT policy guidance concerning recipient’s responsibilities to Limited English Proficient (LEP persons (FRAC 5010.1D pg. II.8). Recipients also must include these requirements in each subcontract financed in whole or in part with Federal assistance provided by FTA, modified only if necessary to identify the affected parties. Recipients are required to have internal agency written policies in place to address compliance with these requirements. Recipients must comply with current DBE, EEO, LEP and ADA regulation requirements, as identified in the respective assurances enclosed in the application/contract package. Failure by the recipient to carry out the terms of the DBE, EEO, LEP and ADA programs will be treated as a violation of the Grant Agreement. FY12 Application Instructions and Grant Guidelines Page 37 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 DISADVANTAGED BUSINESS ENTERPRISES (DBE) All approved applicants for funding that involve contracts with vendors outside of the vehicle procurement ADOT oversees (i.e.: Mobility Management, Operations) must either already have adopted ADOT’s DBE program or have a policy stating they will adopt ADOT’s DBE program. Assurances: The contractor, recipients (including vehicle awardees) or subcontractors shall not discriminate on the basis of race, color, national origin, or sex in the performance of this contract. The contractor shall carry out applicable requirements of 49 CFR part 26 in the award and administration of DOT-assisted contracts. Failure by the contractor to carry out these requirements is a material breach of this contract, which may result in the termination of this contract or such other remedy, as the sub-recipient deems appropriate. The Objectives of the DBE Program are: The Arizona Department of Transportation’s policy is to ensure nondiscrimination in the award and administration of DOT-assisted contracts in its highway, transit and airport financial assistance programs. To achieve this, ADOT will strive:  To create a level playing field on which DBEs can compete fairly for DOT-assisted contracts;  To ensure that the DBE program is narrowly tailored in accordance with applicable law;  To ensure that only firms that fully meet this part’s eligibility standards are permitted to participate as DBEs;  To help remove barriers to the participation of DBEs in DOT-assisted contracts; and  To assist the development of firms that can compete successfully in the marketplace outside the DBE program. Recipients of Coordinated Mobility Program funds should take affirmative steps to ensure that socially and economically disadvantaged business enterprises participate in the performance of contracts and subcontracts. This may mean as actual transportation service providers, or as suppliers of commodities or services needed in the operation of transportation service. Where the recipient or contractor is found to have failed to exert sufficient reasonable and good faith efforts to involve DBEs in the work provided, ADOT may declare the recipient or contractor in breach of contract, refer to 49 CFR pt. 26. FY12 Application Instructions and Grant Guidelines Page 38 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 The ADOT Grant Administrator files semi-annual contracting activity reports to FTA. The recipients must submit all contract invoice activity through the Arizona Local Public Agency Contract Management System at https://arizonalpa.dbesystem.com/ on a monthly basis or when invoicing occurs for that contract. If there are no contracts, the recipients should report to ADOT that they have no contracts every six months. All applicants who receive preliminary approval for their project must notify the ADOT Civil Rights Office and inform them of all proposed contracting and purchasing opportunities in the project, and request the Program Administrator’s assistance in locating and contracting with DBE’s. TITLE VI – NON DISCRIMINATION Title VI of the Civil Rights Act of 1964 prohibits discrimination on the basis of race, color, or national origin. Related laws and regulations, as cited below, prohibit discrimination on the basis of age and gender. Together these requirements are sometimes referred to as “Title VI.” Specific citations for FTA provisions for grantees include:  Title VI of the 1964 Civil Rights Act, Section 601.  Section 19 of the Federal Transit Act provides guidance in the area of age and sex discrimination.  FTA Circular 4702.1A, "Title VI Program Guidelines for FTA Recipients," outlines specific State and grantee requirements. Recipients receiving funds or equipment from the Federal government through ADOT, are required to submit the following information as part of their application and annually thereafter, as long as a federal interest remains in their equipment or program:  Concise description of any lawsuits or complaints alleging discrimination in service delivery;  Status or outcome of any lawsuits or complaints;  Activities (contracts, programs, policies, etc.) which are supportive of positive efforts to enhance the inclusion of all individuals in the recipient’s employment or provision/receipt of service, regardless of race, color, creed, age or gender;  Any Civil Rights reviews of their organization; and,  Information on other Federal financial assistance applications. Applicants (and subsequently, recipients annually) may be requested to provide information on the ethnic make-up of their organization (employees and clientele). FY12 Application Instructions and Grant Guidelines Page 39 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 In addition, recipients must also have:  A Title VI plan;  A published complaint policy and procedure;  A complaint log;  A published Title VI notice to the public and instructions to the public regarding how to file a Title VI complaint including a copy of the complaint form;  A copy of the recipient’s plan for providing language assistance to persons with limited English proficiency; and  A restriction against recipients investigating themselves to include a provision that complaints must be submitted to the ADOT Civil Rights Office. LIMITED ENGLISH PROFICIENCY (LEP) Limited English Proficiency (LEP) stems from Presidential Executive Order 13166 http://www.fta.dot.gov/documents/LEP_Executive_Order.doc - and functions as a supporting element of Title VI-Non Discrimination. It is a provision which protects individuals utilizing services associated with these federally-assisted programs who do not speak English as their primary language; that is, they cannot speak, write or understand English to the degree they have difficulty understanding the program, or are otherwise uncomfortable communicating and interacting with persons administering or utilizing these programs. A number of indicators may (need to) be present which provide an operational definition of a person who is limited in their English proficiency for any particular region or locale; these factors and related information can be found at http://www.fta.dot.gov/documents/Newlepguidance.doc . An excerpt reads: Recipients are required to take reasonable steps to ensure meaningful access to their programs and activities by LEP persons. While designed to be a flexible and fact-dependent standard, the starting point is an individualized assessment that balances the following four factors: (1) The number or proportion of LEP persons eligible to be served or likely to be encountered by a program, activity, or service of the recipient or grantee; (2) the frequency with which LEP individuals come in contact with the program; (3) the nature and importance of the program, activity, or service provided by the recipient to people's lives; and (4) the resources available to the recipient and costs. The applicant is required to certify that their agency provides reasonable alternatelanguage accommodation of individuals who are limited-English-Proficient or LEP, to the extent that the individuals represent a minority class that is sufficiently large enough to be described as a significant alternate language within the region or locale. FY12 Application Instructions and Grant Guidelines Page 40 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 This status can be determined in a number of ways, one of the most useful may be information obtained from the local school district regarding predominant classes (i.e., alternate languages) of LEP individuals. Reasonable accommodation for persons with LEP may range from information provided in a commonly observed pamphlet(s) or flyer(s) regarding the agency’s services to volunteer or contracted interpreters. Although each situation may present its own unique circumstances, typically the agency does not need to provide all of its communications in the alternate language, but sufficiently enough for their services to adequately and clearly be conveyed to the requesting individual(s). Visit www.lep.gov or contact the ADOT Civil Rights Office for further information. EQUAL EMPLOYMENT OPPORTUNITY (EEO) As part of the Certifications and Assurances section of the application, the applicant agrees that it will not discriminate against any participant on the grounds of race, color, creed, gender, disability, age, or national origin. The applicant also agrees to take affirmative action to ensure applicants and employees are treated without regard to their race, color, creed, gender, disability, age, or national origin. Such actions shall include, but not be limited to the following: employment, upgrading, demotion or transfer, recruitment or advertising, layoff or termination, rates of pay or other forms of compensation, and selection for training. FTA Circular 4704.1, Equal Employment Opportunity Program Guidelines for FTA Recipients," outlines FTA EEO objectives. A copy of this and other FTA circulars is available from the ADOT Multimodal Planning Division. Title I of the Americans with Disabilities Act also contains specific provisions prohibiting employment discrimination on the basis of disability and requiring employers to make reasonable accommodations for persons with disabilities. AMERICANS WITH DISABILITIES ACT (ADA) All ADOT recipients of vehicles and other FTA grant assistance must comply with the Americans with Disabilities Act of 1990. The ADA was enacted by Congress as a national mandate for the elimination of discrimination against individuals with disabilities. In addition, any new construction of public access facilities must have accessible features incorporated to provide accessibility to persons who are mobilityimpaired. Recipients can stay apprised of ongoing ADA requirements by visiting the following website and subscribing to the online ADA newsletter published by the FTA at: http://www.fta.dot.gov/civilrights/12325.html. Service Provisions: The ADA requires of transportation providers a number of specific service provisions to be in place and operational. During site reviews of FY12 Application Instructions and Grant Guidelines Page 41 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 program recipients, ADOT staff will interview recipients regarding the status of the following ADA transportation service provisions:  Maintenance of accessible features;  Procedures to ensure lift vehicle availability;  Lift and securement use (local policies and procedures);  Announcement of stops (where applicable);  Vehicle identification mechanisms in accordance with ADA;  Service animals (what policies and procedures are in place which are in accordance with ADA?);  Public information/communications (what actions are taken to apprise the disability community of transportation services available, and to otherwise ensure that persons with disabilities are given maximum opportunity to participate in the provision of services?);  Lift deployment at stops, where requested;  Service to persons using respirators or portable oxygen;  Adequate time for vehicle boarding and disembarking (what actions are taken to ensure that reasonable time is provided?); and  Training. Recipients should undertake all reasonable means to provide for the needs of sight and hearing-impaired individuals in their communication within their facilities. Brailleetched sign and other forms of written communication as well as telephone devices for the hearing impaired are some examples of facility improvements, which are covered under the ADA. ADA Vehicle Maintenance Guidelines: During the course of a recipient’s participation in an ADOT program, maintenance of a grant funded vehicle(s) is a critical component of stewardship. The Certificate of Compliance with the Manufacturer’s Maintenance Schedule, located in the Application/Contract, indicates that the signing party will abide by, or exceed, all manufacturers’ recommendations related to vehicle servicing and other maintenance, including accessibility-related components and equipment. The ADA requires that:  Public and private entities providing transportation services shall maintain in operative condition those features of facilities and vehicles that are required to make the vehicles and facilities readily accessible to and usable by individuals with disabilities. These features include but are not limited to, lifts and other means of FY12 Application Instructions and Grant Guidelines Page 42 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 access to vehicles, securement devices, signage and systems to facilitate communications with persons with impaired vision or hearing.  Accessibility features shall be repaired promptly if they are damaged or out of order. When an accessibility feature is out of order, the entity shall take reasonable steps to accommodate individuals with disabilities who would otherwise use the feature.  A system of regular and frequent maintenance checks of lifts is required. If a lift fails to operate when in service, the ADA requires the vehicle be taken out of service before the beginning of the vehicle’s next service day and repair the lift before the vehicle returns to service. If there is a contract operator, the recipient must ensure the contractor notifies the recipient immediately of any failure of the lift to operate in service.  If there is no spare vehicle to take the place of a vehicle with an inoperable lift, the recipient may keep the vehicle in service for no more than five days if it serves an area of 50,000 or less population or three days if it serves an area of 50,000 or more population.  This section does not prohibit isolated or temporary interruptions in service or access due to maintenance or repairs. C. DRUG-FREE WORKPLACE PROGRAM All applicants are required to have in place a “Drug-Free Workplace” Certification (See the certificate, #3 General Assurances, in the Application/Contract). Section 5310, Section 5316, and Section 5317 recipients are not required to have a testing program and other extensive monitoring. A Drug-Free Workplace certification should be posted in a publicly visible location, and the agency should conduct basic employee orientation regarding the use/abuse of drugs and alcohol in/affecting the workplace. Holders of commercial drivers licenses (CDLs) who operate Commercial-class vehicles are subject to Federal Motor Carrier Safety Administration (FMCSA) rules for drug and alcohol testing. The vast majority of Coordinated Mobility Program funded projects use vehicles that do not require commercial licenses of drivers to operate. However, if vehicles require drivers with CDLs, FMCSA drug testing requirements apply. Recipients should have established basic policies and procedures regarding what actions may be taken if drug or alcohol abuse in, or affecting, the workplace should occur. A Section 5311 Program recipient in your region may be able to assist in your development of a workable policy for your organization, as these agencies are required to have stringent testing and employee orientation policies in place. Contact ADOT’s Section 5311 administrator, or if in a rural area your COG representative, for further information on the Section 5311 program nearest you. FY12 Application Instructions and Grant Guidelines Page 43 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 Recipients may develop their own drug testing and monitoring policies and procedures as long as they comply with civil rights and other state and federal regulations governing such testing programs. All equipment operators must of course comply with state regulations regarding post-accident and reasonable cause testing which may be required of all motor vehicle operators by state and local law enforcement. D. SCHOOL BUS REQUIREMENTS Under FTA school bus requirements, set out under 49 U.S.C. 5323(f) and 49 CFR Part 605, recipients may not engage in school bus operations exclusively for the transportation of students. These provisions derive from 49 U.S.C. 5302(a), which authorizes FTA assistance for mass transportation, but specifically exclude school bus service from such Federal assistance. Providing Section 5310 vehicles for special needs schools, often referred to as schools for exceptional children, typically serving youth with mental and/or severe learning disabilities, is a popular and permitted use. In these circumstances, the applicant must be aware of any other state or federal school transportation requirements which may prohibit use of the Section 5310 type of vehicle. E. LOBBYING Applicants must certify that no Federal funds have been used to influence Federal employees or Federal elected officials. The applicant also must certify that if nonFederal funds have been used for this purpose, then the applicant has filed appropriate Federal disclosure forms of this activity. This certification applies to all applicants. F. DEBARMENT AND SUSPENSION In order to protect the public interest, it is the policy of the Federal Government and the Arizona Department of Transportation to conduct business only with responsible persons/recipients. Primary covered transactions: Except to the extent prohibited by law, persons who are debarred or suspended shall be excluded from primary covered transactions as either participants or principals throughout the Executive Branch of the Federal Government for the period of their debarment, suspension, or the period they are proposed for debarment under 48 CFR part 9, subpart 9.4. Accordingly, no agency shall enter into primary covered transactions with such excluded persons during such period, except as permitted pursuant to Sec. 29.215. Lower tier covered transactions: Except to the extent prohibited by law, persons who have been proposed for debarment under 48 CFR part 9, subpart 9.4, debarred or FY12 Application Instructions and Grant Guidelines Page 44 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 suspended shall be excluded from participating as either participants or principals in all lower tier covered transactions (see Sec. 29.110(a)(1)(ii)) for the period of their exclusion. G. LABOR PROTECTION Section 13 of the Urban Mass Transportation Act of 1964, as amended, specifies that as a condition to any financial assistance, fair and equitable arrangements be made to protect the interests of employees of transit providers, which may be affected by the project receiving such assistance. Applicants must provide the required labor protection information. On an annual basis ADOT is required to certify to the Department of Labor that 5310/5311/5316/5317 recipients are in compliance with terms and conditions of the Special Section 13(c) Warranty. FY12 Application Instructions and Grant Guidelines Page 45 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 PART VI. APPENDIX A. Annual Recipient Report and Vehicle Inspection Form B. Sample Public Notice and Public Hearing Documents C. Passenger Trip Calculation Worksheet FY12 Application Instructions and Grant Guidelines Page 46 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 A. SAMPLE ANNUAL RECIPIENT REPORT ARIZONA DEPARTMENT OF TRANSPORTATION Multimodal Planning Division Sections 5310 / 5311 / 5316 / 5317 206 South 17th Avenue, 340B Phoenix, Arizona 85007 SAMPLE ANNUAL RECIPIENT REPORT TO: SUSAN BROWN ARIZONA FOUNDATION 440 W. GLENVIEW SOMEWHERE, AZ 86000 RE: NOTICE OF IMPENDING VEHICLE INSPECTION ARIZONA FOUNDATION (COG/MPO) SECTION 1: INSTRUCTIONS 1. Be advised you will be contacted soon to schedule your time and location for your vehicle inspection. 2. Please fill in ALL blanks on this form. 3. Mail this form back to ADOT at the above address. SECTION 2: PLEASE REVIEW AND CORRECT THE FOLLOWING INFORMATION IF NECESSARY Contact: Susan Brown Provider: ARIZONA FOUNDATION Address: 440 W. Glenview City: Somewhere Zip: 86000 Phone: (520) 123-0000 Fax: (520) 456-0000 Email: sbrown@thearizonafound.xyz Name of person completing this report SECTION 3: GENERAL QUESTIONS ABOUT YOUR AGENCY 1. Enter the total number of vehicles that you are currently operating, regardless of funding source. 2. Since your last performance report, have you encountered any major transportation operations problems that have been difficult to resolve? A major transportation operations problem is a recurring problem that has lasted for more than one month. (Select all that apply) If “other”, please specify:__________________________________ ______________________________________________________ ______________________________________________________ ______________________________________________________ ______________________________________________________ FY12 Application Instructions and Grant Guidelines Vehicles:______ __ Drivers/Staffing __ Fuel Costs __ Travel Distances __ Funding __ Mechanical repair __ Training __ Routine Vehicle __ Maintenance __ Insurance __ Other __ None Page 47 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 SECTION 4: QUESTIONS ABOUT YOUR VEHICLES 1. What type of service is the vehicle operated in? (Select one) If “other”, please specify: ____________________________ 2. Is the vehicle being used daily, as a backup, or is it out of service? __ Demand Response __ Fixed Route __ Deviated Fixed route __ Other __ In service daily __ Backup __ Out of service 3. Verify the vehicle base. At what address is the vehicle parked overnight? Address: _________________________________________________________________________________ 4. Enter the annual miles of service this vehicle drove during the last year. (Oct – Sep) Miles: ________ 5. Enter the annual maintenance cost for this vehicle. (Oct – Sept) Cost: $________ 6. Enter the annual cost of operating this vehicle. (Oct – Sept)(5310 Only) Cost: $________ 7. Enter the annual number of passenger trips taken on this vehicle. (Oct – Sept) (5310 Only) Trips: ________ 8. Enter the number of revenue hours this vehicle operated per week. Hours: _______ 9. Does your insurance certificate show ADOT as additional insured and loss payee? Yes/No 10. Does the vehicle have at least $300,000 in uninsured motorist coverage? Yes/No 11. If the vehicle has a capacity of 16 or more, does the vehicle have at least $5 million in liability coverage? Or, if the vehicle has a capacity of 15 or fewer, does it have at least $1,000,000 in liability coverage? Yes/No 12. Since your last inspection, has the vehicle had any major mechanical problems requiring repairs over $1,000? If yes, identify the problem (select all that apply): __ Powertrain __ Lift __ Body/doors If “other”, please specify: ______________________ __ Hydraulics Yes/No FY12 Application Instructions and Grant Guidelines __ Electrical System __ A/C __ Tires/wheels __ Other Page 48 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 A. SAMPLE VEHICLE INSPECTION FORM FTA ANNUAL VEHICLE INSPECTION 2011 COMPONENTS INSPECTED: TASK DESCRIPTION: BRAKES ADUSTMENT MECH. COMPON DRUM/ROTOR HOSE/TUBING LINING PARKING BRAKES OTHER: (describe) OK REPAIR TASK DESCRIPTION: EXHAUST LEAKS PLACEMENT OTHER: (describe) OK REPAIR TASK DESCRIPTION: LIGHTING HEADLIGHTS TAIL/STOP CLEARANCE/MARKER IDENTIFICATION REFLECTORS OTHER (describe) OK REPAIR TASK DESCRIPTION: CAB/BODY ACCESS EQUIPMENT/LOAD SECURE TIE-DOWNS OTHER (describe) OK REPAIR TASK DESCRIPTION: STEERING ADJUSTMENT COLUMN/GEAR AXLES LINKAGE POWER STEERING OTHER (describe) OK REPAIR TASK DESCRIPTION: FUEL SYSTEM TANK(S) LINES OTHER (describe) TASK DESCRIPTION: SUSPENSION SPRINGS ATTACHMENTS SLIDERS OK REPAIR OK REPAIR FY12 Application Instructions and Grant Guidelines Page 49 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 OTHER (describe) TASK DESCRIPTION: FRAME MEMBERS CLEARANCE OTHER (describe) OK REPAIR TASK DESCRIPTION: TIRES TREAD INFLATION DAMAGE OTHER (describe) OK REPAIR TASK DESCRIPTION: WHEELS/RIMS FASTENERS DISC/SPOKES OTHER (describe) OK REPAIR TASK DESCRIPTION: BODY/MISC MIRRORS WINDSHIELD WIPERS DECALS OTHER (describe) OK REPAIR TASK DESCRIPTION: WHEEL CHAIR LIFT INSPECTION WHEEL CHAIR LIFT OK REPAIR COMMENTS: WHEEL CHAIR LIFT INSPECTION CHECKLIST (IF APPLICABLE) THE FOLLOWING OPERATIONS & CONDITIONS MUST BE FUCTIONALLY VERIFIED IN ORDER FOR THE LIFT TO BE FMVSS 403/404 COMPLIANT: 1. VEHICLE MOVEMENT IS PREVENTED UNLESS THE LIFT DOOR IS CLOSED 2. LIFT OPERATION SHALL BE PREVENTED UNLESS THE VEHICLE IS STOPPPED AND VEHICLE MOVEMENT IS PREVENTED. 3. THE PLATFORM WILL NOT FOLD/STOW IF OCCUPIED 4. THE INNER ROLL STOP WILL NOT RAISE IF OCCUPIED 5. THE OUTER BARRIER WILL NOT RAISE IF OCCUPIED 6. VERIFY PLATFORM LIGHTING WHEN LIFT IS DEPLOYED AND PENDANT ILLUMINATION WHEN LIFT IS POWERED 7. A WARNING WILL ACTIVATE IF THE THRESHOLD AREA IS OCCUPIED WHEN THE PLATFORM IS AT LEAST ONE INCH BELOW FLOOR LEVEL. 8. PLATFORM MOVEMENT IS PROHIBITED BEYOND THE POSITION WHERE THE INNER ROLL STOP IS FULLY DEPLOYED (UP) 9. PLATFORM MOVEMENT SHALL BE INTERRUPTED UNLESS THE OUTER BARRIER IS DEPLOYED (UP) FY12 Application Instructions and Grant Guidelines Page 50 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 B. SAMPLE PUBLIC NOTICE AND PUBLIC HEARING DOCUMENTS SAMPLE OF PUBLIC NOTICE The following is a sample of a public notice to be published once in a newspaper of general circulation in the community in which the service is to be offered. Your notice must include the ADA provision as stated, or use essentially similar language to that noted below. The notice must be published sufficiently in advance to allow at least a 15-day response period for affected transportation providers within the applicant's service area, prior to the applicant's submittal of its application to the COG/MPO. A copy of this notice is to be included with your application. (In some areas the COG/MPO places the public notice for all interested agencies. Check with your COG before placing your notice and be sure to include a copy of the notice even if placed by the COG/MPO.) PUBLIC NOTICE This is to notify all interested parties that_______________ is applying for an accessible vantype vehicle under the Elderly Individuals and Individuals with Disabilities Program (49 U.S.C. § 5310). The vehicle will be used to transport those elderly and disabled persons in the area of ______ ________________, on a fixed route or demand responsive basis, at least 5 days per week and up to 24 hours per day. Pursuant to the Americans with Disabilities Act (ADA) of 1990, this notice additionally serves to inform interested parties that request may be made of the applicant for accommodation of “special needs” for a person(s) with a disability(s) to have maximum feasible opportunity for physical and information access to and regarding the above proposed project. Anyone wishing to comment on this application should do so by ___________________, 20__, to Community Service Organization, 123 Saguaro Blvd., Somewhere, Arizona 85000. Any public or private transit or paratransit operator wishing to provide an equivalent service to that proposed above should submit to the above named agency within 30 days, a written proposal detailing the service that operator would provide. Published: ARIZONA LEDGER, _____________________, 20___ FY12 Application Instructions and Grant Guidelines Page 51 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 Required of Public Agency applicants only. Public agencies are required to post a public hearing if they are requested to do so by a party interested in their application. SAMPLE LANGUAGE FOR NOTICE OF PUBLIC HEARING NOTICE OF PUBLIC HEARING Notice is hereby given that a public hearing will be held by (applicant) at (address of hearing location) at (time and date) for the purpose of considering a project for which financial assistance is being sought from the U.S. Department of Transportation. Grant funds will be used to (describe project, including location, items to be purchased, etc.). At the hearing, (applicant) will afford an opportunity for interested persons or agencies to be heard with respect to the social, economic and environmental aspects of the project. Interested persons may submit oral or written evidence and recommendations with respect to said project. A copy of the grant proposal is currently available for public inspection at (location). _______________________________________________ Applicant’s Authorized Representative FY12 Application Instructions and Grant Guidelines Page 52 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 SAMPLE LETTER OF NOTIFICATION TO OTHER PROVIDERS APPLIES TO RURAL APPLICANTS ONLY (CAAG, SEAGO, WACOG, NACOG REGIONS) The following is a sample notification letter to be sent to every public and private transportation service agency/business in your service area. This letter supplements the public hearing notice and does not replace it. Maricopa and Pima county applicants are exempt from sending this letter as MAG and PAG are responsible for notification requirements. (Use your letterhead) SAMPLE Dear____________: This is to notify you that (your agency) is applying for financial assistance under the ADOT Elderly Individuals and Individuals with Disabilities Program authorized under 49 U.S.C. Section 5310 for capital assistance. (Your agency) has requested (Give a brief but complete description of the equipment your agency has requested and what it will be used for. Include: 1. The Service Area; 2. Days and Hours of Operation; 4. Fare Schedule, if any. Attach more detailed information, if appropriate.) The purpose of this letter is to advise you of our application and to insure that this proposal would not represent a duplication of your service. Private and public transit and paratransit operators may receive reimbursement funds through purchase of service agreements. Therefore, we solicit your involvement in our proposed service. I ask that you contact this office in writing within 10 days if you believe that you can provide all or a part of this service or if you have specific objections to the proposed project. In your letter you should state your specific objections or counter proposal. If you support the application, please complete the enclosed sign-off letter and return it to this office. Our address is: (your address) Also, please send a copy of your letter to the Arizona Department of Transportation, which is the funding agency for the Rural Public Transportation Program. Their address is: Arizona Department of Transportation 206 South 17th Avenue, Room 340 B Phoenix, Arizona 85007 Should you desire any additional information on the proposed service, please contact me at ___________________________________________________________. Sincerely, FY12 Application Instructions and Grant Guidelines Page 53 ADOT Coordinated Mobility Programs – FTA Grant Sections 5310, 5316, 5317 C. PASSENGER TRIP CALCULATION WORKSHEET PASSENGER TRIP CALCULATION WORKSHEET (This worksheet is to be used in conjunction with related questions of the application) This worksheet explains the way passenger trips are calculated for the Section 5310 program. Use the following formulas as a guideline in calculating passenger trip numbers for the application. Note: 1 passenger “trip” is a one-way boarding and de-boarding of a passenger on a vehicle, discounting incidental stops such as a one minute letter drop off of a letter as part of a “larger” (primary purpose) trip. Two options are provided for some of the calculations. Trip Examples:  4 people board a van at a local senior center and then get off (deboard) at the local grocery store. This routing counts as 4 passenger trips. The van is idle until it picks up the same people at the grocery store later and returns them to the senior center. This return route counts as an additional 4 trips. This van has provided 8 one-way trips that day for 4 individuals.  1 person boards a van and is taken to the doctor. This counts as 1 trip. While “waiting” for this person’s one-hour appointment, the driver picks up 3 additional people at the adjacent clinic and takes them to the senior center. Add 3 trips. The driver returns to pick up the person visiting the doctor and returns her to the senior center. Add 1 trip. This vehicle has provided 5one-way passenger trips for 4 individuals. Three people each made one oneway trip and one person made two one-way trips.  10 people are picked up at the agency’s rehabilitation center in the morning and taken on a (Use either method) Daily and Weekly Trips driving field trip where the only stop is a brief restroom break. The van returns these 10 individuals to the center at the end of the excursion. 10 one-way passenger trips were made by the van this day. Average number of trips each person makes in a day (1) Average number of people riding each day x Average number of trips each person makes each week (2) Average number of people riding each week Annual Service Miles Annual Trips x Average weekly one-way ridership Average number of miles vehicles will travel daily with passengers onboard x Equals = Equals Average daily ridership Times five days equals X 5 = Average weekly oneway ridership Average weekly one-way ridership = Times 50 weeks Equals x 50 = Five days weekly 5 FY12 Application Instructions and Grant Guidelines Equals = Average annual one-way ridership Times 50 weeks per year x 50 Equals = Annual service miles Page 54