Compliance%20Assessment%20Methodology%20for%20Section%205311%20Formula%20Funded%20Transportation%20Programs

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Compliance Assessment Methodology for Section
5311 Formula Funded Transportation Programs

• Sponsored by
• Illinois Department of Transportation
• and the
• Rural Transit Assistance Center Spring Conference
• Presented by
• John Edmondson
• RLS Associates, Inc.

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Role of Compliance Reviews

• Governing Principals Ensure Consistent Progress
  Toward SAFETEA-LU Objective
• Guidance From a Variety of Federal Agencies
• Federal Transit Administration (FTA)
• Office of Management and Budget (OMB)
• Federal Motor Carriers Safety Administration
  (FMCSA)

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Compliance Assessment Methodology

• Three-part Process
• Desk Review
• Examination of Requested Information Prior to
  Site Visit
• Site Visit
• Examination of Records, Facilities, and Vehicles
• Interview
• Administrative and Operational Personnel

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Areas of Review

• Grantee Review/Eligibility
• Eligible Services
• Budget and Audit
• Grants Management and Requests
• Procurement
• Vehicles, Equipment, and Real Property
• Civil Rights (Title VI, EEO, DBE)

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Areas of Review

• Section 504/Americans with Disabilities Act
• Safety and Security
• Suspension and Debarment /Integrity/Restrictions
  on Lobbying
• Charter Services
• School Bus Services

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Areas of Review

• Drug Free Workplace/Drug and Alcohol Testing
• Labor
• Buy America/New Bus Testing

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Grantee Review/Eligibility

• Grantee Eligibility
• Appropriate Entity (County, Municipality, MTD.)
  as Defined by IDOT
• Application Completed Appropriately
• Grant Agreement Executed
• Pass-Through Eligibility
• Appropriate Pass-Through Arrangement
• Eligible Pass-Through Entity (not-for-profit,
  human/social service, etc.)

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Eligible Services

• General Public Transportation Services
• Exclusive Client Services are Permitted but May
  Not Limit Availability to the General Public
• Marketing Materials
• Brochures
• Riders Guides
• Driver Manifests

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Eligible Services

• Participation in a Locally Developed Coordination
  Plan
• JARC/New Freedom Grants
• Consistent with a Locally Developed Plan

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Common Compliance Issues

• Inadequate Access to the General Public
• Seniors, Disabled, THEN General Public
• Routes Cater to Clients Only
• Prioritized Trips
• Medical Trips Scheduled Ahead of Generic Trips

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Budget and Audit

• Chart of Accounts
• Administrative, Operating, and Capital Expenses
• Quarterly Requisitions
• Line Item Figures
• Independent Audits
• Documentation Addressing Audit Findings
• Two Page Annual Financial Report (IDOT
  Requirement)
• Cost Allocation Plans

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Budget and Audit

• Transaction Documents to Ensure Proper Cost
  Classification
• Labor
• Fuel
• Maintenance
• Continuing Control
• Cash Handling Procedures

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Common Compliance Issues

• Lack of Adequate Cash Handling Procedures
• Driver Control
• Adequate Reconciliation
• Deposit Frequency
• Local Match Funds Not Pursued

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Grants Management and Requisitions

• Accounting Transactions to Determine Eligible
  Costs
• Concurrency Documentation
• Indirect Cost Plans (if applicable)
• Requisition Submittals

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Common Compliance Issues

• Requisitions Submitted Late
• IDOT Requires Submittal Within 30 Days of
  Quarters End
• Lack of Concurrence
• Annual Expenses in Excess of 10,000 to Any
  Single Vendor

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Procurement

• Procurement/Purchasing Policies
• Written Code of Conduct for Personnel Engaged in
  Purchasing Decisions
• Recent Procurement Documents (RFP, IFB, etc.)
• Recent Procurement Contracts

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Common Compliance Issues

• Inadequate/Missing Procurement Policy
• No Policy
• Policy Does not Meet the Standards Outlined in
  FTA Circular 4220.1F
• Procurement Policy Not Followed
• No Process Followed
• Gentlemens Agreements

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Vehicles, Equipment, and Real Property

• Fleet Roster
• Certification of Use
• FMCSA Registration (if applicable)
• Lease Agreements
• Preventive Maintenance Plans
• Insurance Coverage

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Common Compliance Issues

• Vehicle Safety
• Fire Extinguisher
• Improperly Secured
• Missing/Expired Inspection Tag
• Missing/Expired Insurance Card
• Missing Roadside Emergency Triangles
• Missing/Inadequate First Aid Kit
• Missing/Inadequate Biohazard Kit
• Wheelchair Securements Left in Channels

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Common Compliance Issues

• Vehicle Maintenance
• Missing/Inadequate Preventive Maintenance Plan
• Inadequate Pre- and Post-Trip Inspection Form
• Missing Mileage on Maintenance Records

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Common Compliance Issues

• Missing Lease Agreements
• Grantee to Lower Tier Subcontractor (Operator)
• Missing FMCSA Registration
• No Written Maintenance Plan for Lift Equipment
• Pre-Trip Inspection is NOT Adequate

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Civil Rights

• Title VI
• Equal Employment Opportunities
• 1,000,000 in Previous Federal Fiscal Year
• 50 or More Mass Transit Employees
• Disadvantaged Business Enterprise
• 250,000 in Contracting Opportunities

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Common Compliance Issues

• DBE Reporting Inaccurate
• Missing/Inadequate DBE Plan
• No EEO Officer Identified

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Section 504/Americans with Disabilities Act

• Complimentary Paratransit Plan (if applicable)
• Trip Denial Logs
• Fare Structure
• Information Disseminated to the Public
• Brochures
• Riders Guides

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Common Compliance Issues

• Information Disseminated to the Public
• Not Available in Alternative Formats
• Inaccurate Information
• Key Information Missing
• Service Denials Not Tracked
• Required for Complimentary Paratransit Service
• Useful Tool in Demand Response Service

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Common Compliance Issues

• Consequential Behavior Not Disseminated to
  Passengers
• No-Show Policy
• Disruptive Behavior
• Any Expectation Placed on the Passenger Must Be
  Communicated to the Passenger Along With
  Associated Consequences

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Common Compliance Issues

• Personal Care Attendants
• MUST Ride for Free
• No Certification Process
• Service Animals
• Must Be Permitted On-Board
• No Certification Process
• Common Mobility Devices

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Safety and Security

• Safety and Security Plans
• HSP Template Followed
• Participation in Emergency Preparedness Drills
• Training Documentation
• Training Policy
• Master Log
• Individual Log

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Common Compliance Issues

• No Written Hazard and Safety Plan
• Follow the HSP Template Located at
• www.transit-safety.volpe.dot.gov/Security/Security
  Initiatives
• Training Records Difficult to Follow
• Lack of Logs
• Incomplete Policy

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Debarment/Integrity/Restrictions on Lobbying

• Certification Part of Section 5311 Application
• Contracts in Excess of 100,000
• Compliance Issues are Rare

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Charter Service

• Annual Notices
• Willing and Able Solicitation Responses
• Cost Allocation Methodology for Recovery
• Exception Certification

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Common Compliance Issues

• No, We Dont Do Charter
• Public Participation Process Not Followed
• No Cost Allocation Plan for Recovery
• Must Recover 100

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School Bus Service

• Copies of Purchase of Service Contracts with
  School Systems
• Driver Manifests
• Compliance Issues are Rare

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Drug Free WorkplaceDrug Alcohol Testing

• Part of Overall Compliance
• Review Performed Separately by IDOT Staff
• Common Compliance Issues
• Identifiable Testing Pattern (mornings, Tuesdays,
  etc.)
• No Service Agent Oversight

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Labor

• Section 5333(b) Special Warranty
• Signed as Part of the Section 5311 Application
• Common Compliance Issue
• Warranty Not Posted

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Buy America

• Compliance Oversight Established as Part of CVP
  Process
• No Site Review
• Compliance Issues at Provider/Grantee Level are
  Rare

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Implementation

• Compliance Findings
• 1-3 Months (Immediate Solutions Available)
• 3-6 Months (Circumstantial Incidents)
• 6-9 Months (Annual Evaluations)
• On-going (Routine Analysis/Oversight)
• Annual Element Review
• Compliance Follow-Up

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Implementation

• Additional Suggestions
• Recommended but not Required Action Items
• Best Practices
• Management Analysis Tools
• IDOT Staff
• RTAC Technical Assistance
• RLS Technical Assistance

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Questions???

• Thank You!!!
• John Edmondson
• RLS Associates, Inc.
• 300 W. Adams, 2nd Floor
• Chicago, IL 60606
• 312-793-2257