Web viewPlease send an electronic version of the completed package in Microsoft Word ... chart 1a Department org chart.docx b. ... Training, ASSHTO/MTAP

REVIEW PACKAGE

FY 2012 STATE MANAGEMENT REVIEW

of the

Ohio Department of TransportationColumbus, Ohio

Recipient ID: 1225

Site Visit Dates: July 24-27, 2012

Sharon AhmadReid Consulting, LLC

1800 Wilson Blvd, Suite 128Arlington, VA 22201

Phone: (571) [email protected]

Table of Contents

INSTRUCTIONS 1SITE VISIT SCHEDULE3REQUESTED DOCUMENTS 5REVIEW PREPARATION 10

1. Program Specific Reviews 102. Reports and Submissions 123. Complaints/Lawsuits/Other 13

QUESTIONS FOR THE REVIEW 150. Program Profile 151. Program Management 18

Exhibit 1.1 Intercity Bus Expenditures 27Exhibit 1.2 State Management Plan Contents 29Exhibit 1.3 State Administrative Funds 32

2. Grant Administration 35Exhibit 2.1 Progress Reports 41Exhibit 2.2 Grant Analysis 45

3. Project Management 504. Financial Management 53

Exhibit 4.1 Examination of ECHO Drawdowns 595. Procurement and DBE 61

Exhibit 5.1 Procurements/Agreements Examined73Exhibit 5.2 Required Third Party Clauses 74Exhibit 5.3 Required Certifications, Reports and Forms 79

6. Asset Management 817. Lobbying 888. Charter Bus 909. School Bus 9210. Americans with Disabilities Act 9411. Title VI 10212. Equal Employment Opportunity 10413. Drug and Alcohol/Drug Free Workplace Act Programs 106

Exhibit 13.1 Drug and Alcohol Policy Checklist 113

i

INSTRUCTIONSThe Federal Transit Administration (FTA) is conducting a State Management Review (SMR) and Triennial Review (TR) of the Ohio Department of Transportation (ODOT). The reviews assess management practices and program implementation of the Metropolitan Planning and State Planning and Research programs (49 U.S.C. 5305), Urbanized Area Formula Program (49 U.S.C. 5307), Capital Investment Program (49 U.S.C. 5309), Elderly Individuals and Individuals with Disabilities Program (49 U.S.C. 5310), Nonurbanized Area Formula Program (49 U.S.C. 5311), Job Access and Reverse Commute Program (49 U.S.C. 5316), New Freedom Program (49 U.S.C. 5317), and American Recovery and Reinvestment Act of 2009 (ARRA) to ensure that the programs are administered in accordance with 49 U.S.C. Chapter 53, Federal transit law provisions, and FTA requirements and are meeting program objectives.

This Review Package describes the SMR process. A separately enclosed TR Review Package describes the TR process and will focus on ODOT’s Urbanized Area Formula Program.

A SMR consists of two stages. The first stage is a desk review conducted at the FTA regional office. During the desk review, FTA files pertaining to the grantee and TEAM-Web data are reviewed and discussed with FTA staff. The desk review has been completed. The second stage is a site visit where FTA representatives and the state discuss outstanding issues, examine FTA-funded facilities and equipment, review necessary additional documents, and visit selected subrecipients and contractors. The site visit to ODOT has been scheduled for July 24-27, 2012. Sharon Ahmad from Reid Consulting, LLC, will assist FTA staff in conducting the SMR.

As part of FTA’s ongoing effort to streamline the on-site review to minimize the use of the state’s valuable staff time during the site visit and enable FTA to issue the draft report at the exit conference, this package contains the comprehensive list of all the documents that will be needed and questions to be answered. Please complete this package, assemble the requested documents, and send the completed package and the documents to the reviewer so that they arrive no later than June 29, 2012. Please send an electronic version of the completed package in Microsoft Word format, not in portable document format (pdf). The reviewer will enter additional information. Electronic versions of the requested documents also are preferred.

This package contains the following items:

Combined Site Visit Schedule. The schedule lists the areas that will be discussed and the approximate time frame for discussion. Adjustments to the site visit schedule will be determined after the requested information has been received and reviewed. The final schedule will be provided to you approximately two weeks before the site visit.

Requested Documents. This section of the package lists the documents needed for the review. Most of the documents are requested to be provided in advance of the site visit. Electronic versions of the documents are preferred.

Review Preparation. This section of the package has a series of exhibits which present information collected during the desk review. Please review the information for accuracy and provide the additional requested information.

Questions for the Review. This section of the package lists the questions to be answered. Some of the questions have been answered based on information collected during the desk review. Many of the questions require more than a yes or no answer. Written answers are required before the site visit during which the answers will be discussed.

Before the site visit, we will contact you to select the facilities and subrecipients to be visited. At a minimum, we will visit a Section 5307, 5310 and 5311 subrecipient. Also before the site visit, the reviewer

1Grantee: Ohio DOT

will email you a completed package to allow you to follow along more easily with the discussion.

For the site visit, please have available the members of your staff who are familiar with the listed topics, as well as any pertinent documentation, so that our time together can be as productive as possible.

You may find additional information on the SMR process by accessing the State Management Review Workbook at http://www.fta.dot.gov/grants/12310_98.html.

FTA’s last State Management and Triennial Review of ODOT found deficiencies in the following areas: Program Management, Grant Administration, Selection and Eligibility, Financial Management, Maintenance, DBE, Procurement, Title VI, and ADA. Please ensure that you continue to implement the corrective actions that you submitted to FTA to close the deficiencies. States that have repeat deficiencies will be subject to higher levels of oversight.

If you have any questions about the review, the discussion items or the documentation required, please contact Lisa Joiner at (312) 353-2791 or [email protected] or Cyrell McLemore at (312) 886-1625 or [email protected] at the Region V Office, or your reviewer, Ms. Sharon Ahmad, at (571) 257-5090 ext. 227 or [email protected].

We look forward to a meaningful and successful visit. Thank you.

2Grantee: Ohio DOT

mailto:[email protected]



http://www.fta.dot.gov/grants/12310_98.html

SITE VISIT SCHEDULEFY 2012 State Management Review (SMR) and Triennial Review (TR)

Tuesday, July 24, 2012

9:00 am – 9:15 am Entrance Conference

9:15 – 10:30 Background / Program Management (SMR)

10:30 – 12:00 Legal - TR

Grant Administration (SMR)/Technical(TR)/Project Management - SMR

12:00 – 1:00 Lunch

1:00 – 2:30 Financial Management (SMR)/ Financial (TR)

Review ECHO draws

2:30 – 4:00 Asset Management (SMR)/Satisfactory Continuing Control (TR)/Maintenance (TR)

4:00 – 5:00 EEO, Title VI

SMR TR

Wednesday, July 25, 2012

8:30 am – 11:30 am Procurement / Buy America / Debarment and Suspension /DBE/ Lobbying

SMR TR

Review Procurement Files

SMR TR

11:30 am – 12:00 pm Drug-Free Workplace / Drug and Alcohol Program

12:00 pm – 1:00 pm Lunch

1:00 pm – 2:00 pm Americans with Disability Act

SMR TR

3Grantee: Ohio DOT

2:00 pm – 4:30 pm Charter Bus / School Bus

Remaining Triennial Review Areas (as applicable):

Planning/Program of Projects NTD Safety and Security ITS Architecture American Recovery and Reinvestment Act

Thursday, July 26, 2012

8:00 am – 5:00 pm Subrecipient site visits

SMR

Friday, July 27, 2012

11:00 am Joint SMR/TR Exit Conference

4Grantee: Ohio DOT

REQUESTED DOCUMENTSThe table below details the documents needed for the review as follows:

Information examined during the desk review : These documents were reviewed during the desk review and are indicated by an “X” in the “desk review” column. No action is necessary.

Information to be sent in advance : Please send to the reviewer the documents indicated by an “X” in the “pre-site visit” column. As discussed below, please send electronic versions. If sending hard copies, please do not send original documents. Please send the documents so that they arrive no later than June 29, 2012.

Information to have available on site : At the site visit, please provide access to information indicated by an “X” in the “site visit” column. The reviewer will not need to keep copies of these documents.

Documents that are shaded out are not needed for the review.

FTA prefers to receive electronic versions of the documents. Please submit the requested information electronically (e.g., on CD or flash drive) or set up a file transfer protocol (FTP) site from which the reviewer can download the files. Please organize the electronic files by review area, with a folder created for each review area and all files for that area included in each folder. Please name the files according to the list of documents in the review package so that both you and the reviewer can easily determine what each file includes. The following example shows the naming convention that should be used when organizing electronic responses:

Example: Folder/File Naming Convention

Review Area/ Document Folder/File Name

1. Program Management 1 Program Management

a. Departmental organizational chart 1a Department org chart.docx

b. Transit unit/section organizational chart 1b Transit org chart.docx

c. State management plans 1c 5311 SMP.docx

1c 5310 SMP.docx

1c 5316 SMP.docx

1c 5317 SMP.docx

5Grantee: Ohio DOT

Review Area/Documentation Desk Review

Pre-Site Visit

Site Visit

1. Program Management

a. Departmental organizational chart Xb. Unit/section organization chart Xc. State management plans, if updated since 2008 and 2009 Xd. Guidance regarding coordinated public transit-human services

transportation plan X

e. Documentation of review of a sample of coordinated plans Xf. Sample coordinated plans Xg. Sample of unified planning work programs (UPWPs) listing

coordinated planning efforts X

h. Sample guidance/technical assistance documents Xi. Subrecipient agreement for each program Xj. Oversight materials (reports, compliance checklists, follow up

letters/reports) for each programX

k. Oversight files for subrecipients/contractors/lessees to be visited Xl. Programs of projects, if most recent version is not in TEAM-web Xm. Grant application for each program or access to grant

management system, if automatedX

n. Grant program guides, if applicable Xo. Approved plans for allocating costs between rural and urban

serviceX

p. Section 5310 subrecipients' certifications that no non-profits are readily available in the area to provide the service

X

q. Approvals of public bodies to coordinate services for elderly persons and persons with disabilities

X

r. Notices of availability of Section 5316 and 5317 funds Xs. Published lists of selected Section 5316 and 5317 projects Xt. Governor’s certifications for the past three years, if applicable xu. Documents supporting the governor’s certification (evidence of

consultative process, assessments of intercity bus needs) X

v. Technical assistance documents/manuals Xw. Sample RTAP newsletter, if applicable X

2. Grant Administration

a. Progress reports Xb. Federal Financial Reports Xc. NTD reports and close-out letters for the past three years Xd. Grant management procedures, if written X

3. Project Management

a. Force accounts plans/justification X6

Grantee: Ohio DOT


Pre-Site Visit

Site Visit

4. Financial Management

a. Single audits Xb. Three to five year financial plan Xc. Budget for the current fiscal year Xd. State cost allocation plan and approval letter from cognizant

Federal agency, if applicable X

e. Subrecipient cost allocation plans and approval letter from cognizant Federal agency, if applicable X

f. Delegation of ECHO authorization authority Xg. ECHO request and payment documentation (Reviewers will review

a sample of ECHO drawdowns.) X

h. State or internal government audit reports addressing the transit program X

5. Procurement and DBE

a. Written procurement policies and procedures; state code Xb. State statute governing procedures for procuring A&E services Xc. List of all FTA funded state procurements since the last review.

Please note single-bid, sole-source, and piggyback procurements and which involved change orders.

X

d. Files of selected procurements Xa. DBE program submissions Xb. Organizational chart showing reporting relationship of DBELO Xc. DBE goal (methodology) Xd. Evidence of consultation with interested parties Xe. Determinations of good faith efforts Xf. Uniform reports of DBE awards and commitments or payments Xg. Analysis of failure to meet DBE goal Xh. Evidence of compliance monitoring activities Xi. UCP agreement Xj. DBE application and instructions Xk. DBE certification files Xl. Annual affidavits X

6. Asset Management

a. Sample subrecipient agreement for real property Xb. Sample real property lease used by the state and a subrecipient, if

applicable X

c. Incidental use approval from FTA Xd. Correspondence regarding notification to FTA and FTA

concurrence on changes of use or property removal X

e. Listing of FTA-funded real property and/or equipment removed from transit service since the last review X

7Grantee: Ohio DOT


Pre-Site Visit

Site Visit

f. Excess real property inventory/utilization plan Xg. Sample of property records of FTA funded equipment Xh. Sample of leases of FTA funded property or equipment to private

operators X

i. Approved leases of Section 5310 funded vehicles Xj. FTA approval of leases to private operators Xk. Maintenance requirements for subrecipients (if separate from the

state management plan or subrecipient agreements X

l. Subrecipient facility maintenance plans X

m. Warranty recovery program and summary of warranty claims X

7. Lobbying

a. Files of selected procurements Xb. LLL form Xc. Quarterly updates X

8. Charter Bus

a. Quarterly reports to FTA X

9. School Bus

a. The reviewers will examine bus schedules, system maps, and other public information for the subrecipients to be visited X

10. ADA

a. Certifications of equivalent service from Section 5311 subrecipients

X

b. Facility renovation specifications Xc. Facility accessibility cost calculation Xd. ADA training manuals and materials for subrecipients Xe. Maintenance/operations policies, if separate from the state

management plan(s)X

f. Documentation of services exempt from ADA complementary paratransit

X

g. Ferry service policies for serving persons with disabilities Xh. Sample contracts with ferry shuttle service Xi. Organization chart showing the designated complaints resolution

official (CRO) X

j. Policies relating to duties of the CRO X

11. Title VI

a. Title VI program submissions Xb. Title VI complaint process Xc. Title VI complaints Xd. LEP analysis/implementation plan X

8Grantee: Ohio DOT


Pre-Site Visit

Site Visit

e. Documentation of public outreach/involvement X

12. EEO

a. Subrecipient EEO programs Xb. Documentation of review of subrecipient EEO plans X

13. Drug and Alcohol Program and Drug-Free Workplace Act

a. Drug and alcohol policy of subrecipients to be visited (Your reviewer will work with you to select the subrecipients) X

b. Procedures for monitoring vendors (consortia, third party administrators, collection sites, MROs, SAPs) X

c. Departmental/agency Drug-Free Workplace Act policy Xd. Correspondence/notification to employees Xe. Evidence of ongoing drug-free awareness program/posted notice

of drug-free workplace at state offices/employee handbooks, brochures, posters

X

9Grantee: Ohio DOT

REVIEW PREPARATION

1. Program Specific Reviews

Please comment on the status of open deficiencies and progress on meeting review deadlines.

Type of Review Site Visit Dates

Draft Report Date

Final Report Date

Deficiency Close/Due Date Comment

Financial Management Oversight (FMO) Full Scope Review

NA

FMO Follow-Up Review

NA

FMO Cost Allocation Plan Review

NA

FMO Agreed Upon Procedures or Special Assignment Review

NA

Real Estate Review

NA

Procurement System Review (PSR)

NA

PSR Follow-Up Review

NA

10Grantee: Ohio DOT

1. Program Specific Reviews

Please comment on the status of open deficiencies and progress on meeting review deadlines.

Type of Review Site Visit Dates

Draft Report Date

Final Report Date

Deficiency Close/Due Date Comment

DBE NA

Title VI Review NA

UCP Review NA

Drug and Alcohol Program Audit

NA

Equal Employment Opportunity Review

NA

ARRA Review Nov 16-18, 2010

Nov 18 2010

Dec 16, 2010

No deficiencies Review Closed

11Grantee: Ohio DOT

2. Reports and Submissions

Report/Submission Due Date Submitted Date FTA/Reviewer Comments State Response

Progress Reports 10/30/2011 No 2011 - 4Q MPRs in TEAM for several 5310/5311/5316/5317 grants

FFRs

Intercity Bus Certifications Governor’s certifications for 2009 and 2010, but not for 2011 and ARRA.

EEO Program Update 3/7/2011 Expires 3/7/2014

DBE Program Program was approved on 5/1/2000

DBE Small Business Element 5/25/2012

Conditional approval letter from Region V dated 4/19/2012. Updated SBE plan due to Region V office May 25, 2012 or conditional approval will expire.

DBE ARRA Quarterly Reports Reports uploaded to TEAM

DBE Goals 7/30/2010

Most recent goals in TEAM are for year ending 2011. 2011 goals were published. No evidence of approval or publishing of goals for 2012-13.

DBE Semi-Annual Reports

Title VI Program 2/17/11 Program was approved 7/21/11 and expires 2/17/2014

Standard form LLL

12Grantee: Ohio DOT

2. Reports and Submissions

Report/Submission Due Date Submitted Date FTA/Reviewer Comments State Response

Charter reports

Most recent quarterly charter exception report is for one subrecipient in 2nd quarter of 2010 (Lancaster). No other reports submitted since then.

NTD reports

3. Complaints/Lawsuits/Other

Please complete this table.

Review Area Identified by FTA

Identified by State State’s System for Processing

State’s System for Becoming Aware of/ Monitoring Subrecipient Issues in this

Area

Legal – Any litigation or legislation that would impact the provision of mass transit service

None

Selection and Eligibility – Complaints regarding distribution of funds

None

Intercity Bus - Complaints None

Subrecipient Single Audit Finings

None

GAO/OIG Audits None

13Grantee: Ohio DOT

3. Complaints/Lawsuits/Other

Please complete this table.

Review Area Identified by FTA

Identified by State State’s System for Processing

State’s System for Becoming Aware of/ Monitoring Subrecipient Issues in this

Area

Asset Management– Real property incidental use approvals

None

Asset Management– Prior concurrence for real property dispositions

None

Procurement – Bid protests/ complaints/ litigation

None

Buy America - Waivers None

Disadvantaged Business Enterprise – Complaints or bid protests

None

Charter Bus – Complaints/ litigation

None

School Bus - Complaints/ litigation

None

Title VI - Complaints/ litigation

None

Equal Employment Opportunity - Complaints/ litigation

None

ADA – Complaints/ litigation None

14Grantee: Ohio DOT

QUESTIONS FOR THE REVIEWPlease skip questions that are shaded.

0. Program ProfilePlease provide the following background information.

Section 5305

How many Section 5305 subrecipients does the state have?

Section 5311


Please provide the number of:

Public entities (excluding Indian tribes)

Private non-profit entities

Indian tribes

What types of service do they provide (fixed route, route deviation, demand response)?

Section 5310


On average, how many vehicles does the state fund each year?

How many vehicles are in operation that have remaining Federal interest?

Section 5316


How many do not receive 5307, 5310 or 5311 funds?

Do the small urban grantees apply for their Section 5316 funds directly with FTA?


15Grantee: Ohio DOT

Section 5317


How many do not receive 5307, 5310, or 5311 funds?

Do the small urban grantees apply for their Section 5317 funds directly with FTA?


Section 5307 and 5309

Does the state have Section 5307 and 5309 subrecipients? If yes, how many?

Are any of these subrecipients direct FTA grantees for Section 5307 assistance? If yes, how many?

Fixed Assets

List the subrecipients and location of any facilities constructed or renovated with FTA funds passed through the state. Note the source of FTA funding (5307, 5309, 5310, 5311, etc.)

See Attached Spreadsheet: Rural Transit Facilities 6-12-12.xls

Facilities Number Names/Locations FTA Interest? (Yes or No)

Bus Garages

Rail Facilities

Transit Centers

Other Facilities

Grant Activity

Please provide a brief description of any noteworthy projects completed within the past three years.

Please provide a brief description of noteworthy projects that are on-going.

Please provide a brief description of noteworthy projects that are planned for the next 3 to 5 years.

16Grantee: Ohio DOT

Please provide a brief description of ARRA-funded projects completed, underway or planned.

17Grantee: Ohio DOT

1. Program ManagementBasic Requirement: The state must dedicate sufficient resources to managing the FTA funded programs in accordance with the grant application, Master Agreement, and all applicable laws and regulations using sound management practices.

Reviewed X Not Applicable Comment:

Not Deficient Deficient

DEFICIENCIES

SMP out of date/incomplete Ineligible subrecipients

No public comment for significant SMP revisions Lacking criteria for oversight of technical capacity

Coordinated plans missing required elements Selection process issues

Coordinated plans not included in UPWP Insufficient monitoring of eligible services

Missing written agreements Insufficient monitoring of rural/urban cost allocation

Written agreements Intercity bus certification lacking

No technical assistance provided in meeting FTA requirements Intercity bus certification lacking

Inadequate oversight system Insufficient intercity consultative process

Insufficient resources Ineligible intercity bus projects

State match deficiencies Other

Insufficient oversight of local match

Review Questions FTA Comments State Response Reviewer Comments

Part A: Resources and Procedures

1. Which agency (or agencies) has the governor designated for administering the FTA programs?

ODOT per ORC Chapter 5501

18Grantee: Ohio DOT


What unit within the agency is responsible for administering the programs?

Office of Transit in the Division of Transportation System Development

Who is the person with day-to-day management responsibility for each program?

What is the organizational structure and staffing of the unit?

What are the major functions of the unit?

What other agencies or units support the FTA programs?

What training is provided to staff to ensure capacity?

The Office of Transit employees take all of the same training that is provided to the rural transit grantees/transit systems which include the following:

*Drug & Alcohol Program Manager, Reasonable Suspicion, Passenger Assistance, Rural/Urban Round Table, Accounting/Cost Allocation, CTAA Conferences/Training, ASSHTO/MTAP Meetings, Ohio Public Transit Association Annual Conference/Workshops, Internal Staff Meetings, FTA Training/Seminars and Workshops, Transit 101 Manager Training, Various ODOT Training and Workshops, Technical Assistance Reviews and Site Visits.

19Grantee: Ohio DOT


2. Has the state submitted to FTA a state management plan for the Section 5310, 5311, 5316, and 5317 programs?

Yes

What are the dates of the last revisions? 5311 5310 5316 5317

6/2009-(Draft) 12/3/2008 6/2009 6/2009

Have the plans been updated since the last State Management Review?

There is a “draft” uploaded to TEAM for 5311 dated June 2009.

Have the plans been updated to incorporate changes in program management or new requirements?

Have the plans been updated for new programs or capital projects?

Did the state seek public comment for significant revisions to the state management plans?

Do the plans address the required areas? [Please complete Exhibit 1.2 State Management Plan Contents]

3. Do the coordinated plans for Section 5310, 5316 or 5317 programs contain the required elements?

What is the cycle and duration of the coordinated plans?

20Grantee: Ohio DOT


Are all coordinated service planning activities undertaken in urbanized areas included in the unified planning work program of the applicable MPO?

Was the development of the coordinated plan prepared in coordination and consistent with the applicable statewide transportation planning process?

4. Has the state entered into a written agreement with each subrecipient stating the terms and conditions of assistance?

Do the agreements address Federal requirements? If not, how does the state pass through FTA requirements?

5. How and how often does the state provide technical assistance to subrecipients in meeting Federal requirements?

Technical Assistance Reviews, Listserv, e-mail alerts, training sessions via teleconferences, annual public transit conference, security conference, continuous training offerings in drug & alcohol, webinars and in person (site visits), assignment of ODOT representative as first line contact, review documents for federal compliance, website, produce manuals, resource documents, sample documents and templates. Every subrecipient receives a Technical Assistance Review ever 4 years.

21Grantee: Ohio DOT


6. How and how often does the state monitor subrecipients to ensure compliance with Federal requirements?

We monitor all Section 5310, 5311, 5316, and 5317 grant subrecipients through multiple mechanisms described below.

Applications/Proposals: We review all grant applications/proposals for federal and state required elements (e.g. program requirements, certifications and assurances, public participation process, project budget, etc.)

RFPs/RFQs: All subrecipient RFPs, RFQs and IFBs are reviewed by ODOT staff for federal and state requirements prior to implementation. All must be in compliance with State and Federal Procurement requirements. See Rural Transit Manual, Chapter 3, Program Requirements, Section D. Procurement, p. III-7.

Reporting Requirements: All program sub-recipients are required to file periodic reports based on program requirements.

Section 5310 Subrecipients are required to file semi- annual reports on vehicle usage, trips provided, mileage, and maintenance costs. The data is used to compare actual vehicle usage with estimated usage from applications.

Section 5310. We review 1/3 of the fleet every year. A checklist is used which reflects the condition of the vehicle, and if lift equipped, requires it to be operational.

22Grantee: Ohio DOT


23Grantee: Ohio DOT


Site visits: Periodic site visits are performed based on various program indicators.

Inspections: We conduct four (4) Section 5310, nine (9) Section 5311, and eight (8) Drug & Alcohol Technical Assurance Reviews (TARs) each year. Section 5310 TARs are provided to agencies with the most 5310 vehicles. Approximately 25% of Ohio’s Section 5311 Rural Transit Systems receive a TAR on a four-year rotating basis. Drug and Alcohol TARs are provided to Section 5311 systems with the greatest need (i.e. change in DAPM, need for technical assistance, D&A issues, etc.) We use a common TAR checklist report format to conduct the reviews (provided). Documentation of findings: All TARs are documented in a report that is sent to the agency, system, or project. All TAR reports are electronically filed. The reports include an Action Plan for completion by a negotiated date. ODOT’s Office of Transit monitor completion of TAR requirements in the Action Plan.Follow-up on issues/problems: Follow-up on requirements from TAR Action Plans is completed by ODOT Office of Transit staff. Each agency, transit system, or project is assigned an ODOT system representative or program manager to monitor and verify TAR requirement completion. Once completed, the TAR is closed and reported as “closed” .

24Grantee: Ohio DOT


7. Does the state devote adequate resources (staffing and budget) to administering the FTA funded programs? [Exhibit 1.3 documents use of state administrative funds.]

Yes

Part B: Selection and Eligibility

8. What are the state’s procedures for:

Determining the availability of subrecipients’ local match and operating funds?

Ensuring that only eligible sources are used as local match?

Ensuring that subrecipients fully document volunteered services or in-kind contributions used as local match?

25Grantee: Ohio DOT


Section 5311

9. How does the state define eligible subrecipients under Section 5311?

10. How does the state define technical capacity for Section 5311 subrecipients?

How does the state ensure that Section 5311 subrecipients have the technical capacity to carry out proposed projects?

11. What is the process used to distribute funds under Section 5311?

Capital

Operating

Project administration

How are Indian tribal governments, where present, treated?

NA

Does the project selection process provide for the fair and equitable distribution of funds?

12. What are the state’s procedures for monitoring Section 5311 subrecipients to ensure that services delivered continue to be eligible and are open and promoted to the general public?

26Grantee: Ohio DOT


13. Where meal delivery or other incidental service is provided, how does the state ensure such service does not conflict with the provision of transit service or result in a reduction of service to transit passengers?

How does the state ensure that nutrition programs pay the operating costs attributable to the meal delivery?

14. Do any Section 5311 subrecipients provide service in urbanized areas? Please identify.

How does the state ensure that costs are properly allocated between urban and rural service?

Section 5310


Do any governmental authorities receive Section 5310 funds? Please list. If yes:

Have the governmental authorities been approved by the state to coordinate services for elderly individuals and individuals with disabilities or have they certified that no nonprofits are readily available?

27Grantee: Ohio DOT


16. What is the process used to allocate funds?

Is the distribution of funds fair and equitable?


How does the state ensure that Section 5310 subrecipients have the technical capacity to carry out the proposed projects?

18. What are the state’s procedures for monitoring Section 5310 subrecipients to ensure that services being delivered continue to be eligible?

Section 5316


Did the state publicly advertise the availability of funds and selection criteria? Please describe.

Are projects selected using a competitive process? Please describe.


28Grantee: Ohio DOT


Did the state publish a list of selected projects? Where?



21. What are the state’s procedures for monitoring Section 5316 subrecipients to ensure the services delivered continue to be eligible?

Section 5317


Did the state publicly advertise the availability of funds and selection criteria? Please describe.

Are projects selected using a competitive process? Please describe.


Did the state publish a list of selected projects? Where?

29Grantee: Ohio DOT




24. What are the state’s procedures for monitoring Section 5317 subrecipients to ensure that services delivered continue to be eligible?

Section 5309

25. Does the service supported with Section 5309 assistance meet the definition of “public transportation?”

Are ineligible activities incidental to the delivery of public transportation?

26. How does the state ensure that Section 5309 subrecipients have the technical capacity to carry out the proposed project?

Part C: Intercity Bus

27. What amount and percentage of Section 5311 funds has the state programmed for intercity bus service per Section 5311(f) for the past three years?

30Grantee: Ohio DOT


Exhibit 1.1 Intercity Bus Expenditures

Year 2009 2010 2011 ARRA

Apportionment $17,905,908.00 $20,210,122.00 $20,211,542 $29,867,234

Grant OH-18-X029 OH-18-X030 OH-18-X031 OH-86-X001-01OH-86-X002-00OH-86-X003-00OH-86-X004-00

Intercity Bus $502,125 $254,282 $2,990,204 $2,241,200

% of Apportionment 3% 1% 15% 7.5%

28. If the state has programmed less than 15 percent on intercity bus projects, has the governor certified that intercity bus service needs are adequately met in relation to other rural transportation needs? If yes:

Governor’s certification in TEAM for 2009 and 2010. If grantee programmed less than 15% for 2011, there is no documentation in TEAM to support a change in use of ICB funds from pattern of prior years.

The ICB funds programmed are in Grant OH—86-X002. The ICB % shown is a % of the sum total for all ARRA grants awarded. There is no documentation to support why the % is less than 15%.

Did the state consult with intercity bus providers before the governor certified? Please describe the consultative process used to identify intercity bus projects.

31Grantee: Ohio DOT


Does the consultative process meet minimum requirements?

Is there a direct correlation between the results of the consultative process and a determination that the state’s intercity needs are adequately met?

29. What activities is the state pursuing to support intercity bus service in rural areas?

Are these activities eligible?

32Grantee: Ohio DOT

Exhibit 1.2 State Management Plan Contents

Please wait to complete this table in case the state sends updated plans.

If combined plan, please use Section 5311 checklist.

Topic

Enter page number

Reviewer Comments5311 5310 5316 5317

Program goals and objectives

Roles and responsibilities

Coordination

Eligible subrecipients

Eligible services and service areas

Eligible assistance categories

Local share and local funding requirements

Project selection criteria and method of distributing funds

Intercity bus transportation

Annual POP development and approval process

Funds transfers

33Grantee: Ohio DOT




Topic

Enter page number


State administration, planning and technical assistance

RTAP

Private sector participation

Civil rights

Maintenance

Charter rule

Section 504 and ADA

Program measures

NTD reporting

34Grantee: Ohio DOT




Topic

Enter page number


State program management (e.g., procurement, financial management, property management, vehicle use and disposition, accounting systems, audit and close out, subrecipient and project oversight and reporting, productivity/cost-effectiveness/service standards)

Other provisions (e.g., Section 5333(b), environmental protection, Buy America, pre-award and post-delivery reviews, lobbying restrictions, prohibition of exclusive school transportation, drug and alcohol testing, including oversight procedures)

35Grantee: Ohio DOT

Exhibit 1.3 State Administrative Funds

Section 5311

Year 2009 2010 2011 ARRA

Apportionment $17,905,908 $20,210,122 $20,211,542 $9,901,034 $7,316,000 $9,197,000

Grant number OH-18-X029 OH-18-X030 OH-18-X031 OH-86-X001 OH-86-X003 OH-86-X004

State Administration (FPC 6)

$0 $400,000 $850,000 $0 $0 $0

% of Apportionment 0% 2% 4% 0% 0% 0%

Section 5310

Year 2009 2010 2011

Apportionment $3,244,327 $3,034,066 $3,795,872

Total $3,244,327 $3,034,066 $3,795,872

Grant number OH-16-X003 OH-16-X004 OH-16-X006

State administration (FPC 6) $177,000 $50,000 $513,446

% of Apportionment 8.5% 2% 14%

36Grantee: Ohio DOT


Section 5316

Year 2010 2011 2012

Governor’s small urbanized area apportionment $470,064 $774,707 $887,542

Governor’s nonurbanized area apportionment $1,437,927 $835,591 $2,172,741

Total apportionment $1,907,611 $1,610,298 $3,060,273


State Administration (FPC 6) $0 $0 $0

% of Apportionment 0% 0% 0%

37Grantee: Ohio DOT


Section 5317

Year 2009 2011 2012

Governor’s small urbanized area apportionment

$751,713 $259,795 $881,196

Governor’s nonurbanized area apportionment

$1,159,321 $861,519 $1,559,976

Total apportionment $1,911,034 $1,121,314 $2,441,171


State Administration (FPC 6) $0 $0 $136,304

% of Apportionment 0% 0% 6%

38Grantee: Ohio DOT

2. Grant AdministrationBasic Requirement: The state must track and report on the progress of projects, report to the National Transit Database, expend grant funds on time, and close out projects and grants when project activity is completed.

Reviewed X Not Applicable Comment:


DEFICIENCIES

Not using oldest funds first Data in progress reports and FFRs do not agree

Late/incomplete progress reports FFATA reporting deficiencies

ARRA reports late/incomplete reports Annual NTD report not submitted

Late FFRs Lapsed Category C funds

ARRA FFRs late Ineligible ARRA grant budget revision

Incorrect FFR reporting Inactive grants/untimely grant closeouts

ARRA FFRs incorrect Other

Questions FTA Comments

State Response Reviewer Comments

1. What are the state’s procedures for development of the annual program of projects?

Does the state look to available funds in existing grants before applying for new funds?

Does the state take into account the status of current projects before awarding a subrecipient a grant for a new project?

39Grantee: Ohio DOT



2. What are the state’s procedures for ensuring that progress reports (MPRs) are completed as required?

What are the state’s procedures for obtaining and validating project information for state and subrecipient managed projects for inclusion in progress reports?

Are all applicable progress reports submitted for each open grant at required intervals and on time? Please refer to Exhibit 2.1 Progress Reports and respond to any comments.

3. Are Federal Financial Reports (FFRs) submitted for each open grant at the required intervals (quarterly or annually) and on time?

Is the form completed correctly for the following items:

a. Are Federal cash receipts and cash disbursements reported? If a positive balance of Federal cash is on hand at the end of the reporting period, is the amount reported and an explanation included in the remarks section?

OH-18-X029 - Cash on hand in October 11, 2011. OH-18-X031 - Cash on Hand 10/11/2011TEAM “went down” in Sept? (See remarks in FFR).

40Grantee: Ohio DOT



b. How are unliquidated obligations calculated?

Are they reported correctly?

c. If indirect costs are charged to a grant, is this section of the FFR for that grant completed?

No indirect cost charges to grants in FFRs in TEAM.

Are the rates shown consistent with the approved cost allocation plan or indirect rate cost proposal?

d. Does the state certify that the information is true, complete, and accurate to the best of its knowledge under the remarks and certification tab?

OH-04-0052-01 FFRs not certified by grantee: 1Q,2Q-2010; 1Q, 2Q,3Q & 4Q-2009. No remarks in FFRs to tie in with MPR.

Who certifies on behalf of the grantee?

(Positions/Programs?)

David Walker

Seth Budge

Brett Harris

Pat Pikula

Juana Hostin

e. Did the state respond to any comments made by FTA regarding a report?

Comments made by FTA in several grants MPR/FFR not responded to by grantee for that particular reporting cycle.

41Grantee: Ohio DOT



4. What are the procedures for coordinating the development of and reconciling the data in progress reports (MPRs) and FFRs?

5. For grants received after October 1, 2010, did the state report sub-awards by the end of the month following the month it made the subaward in accordance with the Federal Funding Accountability and Transparency Act of 2006 (FFATA)?

Grants Awarded after October 1, 2010:

OH-16-X006

OH-16-X007

OH-18-X032

OH-37-X087

OH-57-X044

Were subawards made?

6. Did the state submit its NTD reports for each of the past three years?

7. Have all Category C funds been allocated to specific projects within 12 months?

Have funds not allocated within 12 months been allocated within the period of availability (the year of apportionment plus two)?

42Grantee: Ohio DOT



Status as of: 3/31/2012

Grant Year of Apportionment Category C Balance

OH-16-X002-02 2008 $15,577 As of 6/19/2009 Revision

OH-16-X003-00 2008 $34,729 As 10/26/2011 Revision

OH-16-X004-00 2009 $14,214 As 8/12/2011 Update

OH-16-X005-00 2009 $0

OH-16-X006-00 2010 $190,801

OH-16-X007-00 2010 $0

OH-18-X-027-01 2007 $241,926 Completion date is 12/31/2010 in 2011 4Q MPR but no revised POP in TEAM

OH-18-X029-00 2008 $0 According to POP, grant is combination of two grants – X028 and X030

OH-18-X030-00 2009 $0 $884,481 in application; no revised POP in TEAM.

OH-18-X031-00 2010 $1,400,404

$225,000

Most recent POP in TEAM dated 7/13/2010. MPR shows awards made but no revised POP in TEAM.

OH-18-X032-00 2011 $500,104

Have funds not obligated within the period of availability been deobligated?

43Grantee: Ohio DOT



8. If an ARRA grant budget has been revised, did the revision comply with FTA’s ARRA budget revision procedure?

9. What procedures are followed to ensure that projects are completed and grants closed on time?

What is the status of all open grants? Please refer to Exhibit 2.2 Grant Analysis and respond to any comments.

Are any grants ready for closeout?

10. Does the state close out projects with subrecipients within 90 days of completion of project activity?

See Exhibit 2.2 Status of Open Grants

Does the state initiate grant closeout with FTA within 90 days of completion of all activity in the program of projects?

See Exhibit 2.2 Status of Open Grants

44Grantee: Ohio DOT

Exhibit 2.1 Progress Reports

Questions Reviewer Comments Regional Office Comments State Response

Do progress reports contain the required information?

Section 5305

Section 5310, 5311, 5316 and 5317:

a. Updated program of projects that contains active projects reflecting revised project descriptions, changes in projects from one category to another, and adjustments within budget categories

Not all grants have POPs that reflect current status of Category C funds.

b. Revised milestones for activity line items (ALIs) that require milestones with grant submission (vehicle procurements, construction projects, and program reserve) and, for revised estimated completion dates, an explanation for the revision

ALIs in several grants need estimated/actual completion dates updated.

c. Budget revisions for changes in line item budgets

d. Significant civil rights compliance issues

e. Additional information requested by the regional office

45Grantee: Ohio DOT



Section 5309:

a. Current status of each open ALI within the active/executed grant

OH-04-0052-01 - ALI 11300-113210-3 – No revised completion date in MPR

b. Narrative description of projects, status, problems encountered in implementation, specification preparation, bid solicitation, resolution of protests, and contract awards

c. Detailed discussion of all budget or schedule changes

d. Dates of expected or actual requests for bid, delivery, etc.

e. Actual completion dates for completed milestones

f. Revised estimated completion dates when original estimated completion dates are not met accompanied by:

- Explanation of why scheduled milestones or completion dates were not met.

- Identification of problem areas

- Narrative on how the problems will be solved

46Grantee: Ohio DOT



g. Discussion of the expected impacts and the efforts to recover from the delays

h. Analysis of significant project cost variances using quantitative measures, such as hours worked, sections completed, or units delivered, and discussion of completion and acceptance of equipment and construction or other work, together with a breakout of the costs incurred and required to complete the project

i. List of outstanding claims exceeding $100,000 and all claims settled during the reporting period accompanied by a brief description, estimated costs, and the reasons for the claims

j. List and brief description of all potential and executed change orders and amounts exceeding $100,000, pending or settled, during the reporting period

47Grantee: Ohio DOT



k. List of claims or litigation involving third party contracts and potential third party contracts that:

- Have a value exceeding $100,000

- Involve a controversial matter, irrespective of amount

- Involve a highly publicized matter, irrespective of amount

l. List of real property acquisition actions, including just compensation, property(s) under litigation, administrative settlements, and condemnation for each parcel during the reporting period

48Grantee: Ohio DOT

Exhibit 2.2 Status of Open Grants

Ohio Department of Transportation – ID: 12253/31/2012

Grant Date Executed FPC

Year Funds Ap’d

TEAM Balance

Date of Last

Drawdown

FFR Unl’d Ob’sAs of

9/30/11, 12/31/11, 3/31/12

FFR Unob’d Balance

As of 9/30/11 or

12/31/11 or 3/31/12

Projected Close Date Comment

OH-04-0052-01 7/20/2009 00 2006-2009

$67,770 None 0 $67,770 5309--Passenger Shelters and BenchesIssues with subrecipient SEAT’s financial situation suspended completion of project.What is current status?

OH-04-0068-00 4/14/2011 00 2010 $0 2/23/2012 0 $69,440 5309 - FY2010-2011 Bus EarmarkAll funds drawn down according to TEAM. Can grant closeout amendment be initiated?

OH-04-0072-00 1/12/2012 00 2010 $2,628,110 3/28/2012 0 0 5309 - 2010 OH Rural State of Good Repair

OH-16-X002-02 7/15/2009 0006

20072008

$160,774$14,127

2/23/20121/11/2011

$0 $529,112 5310 - FY2007-2008 Lapsed Cat C funds? Amended Program of Projects. Was add’l money moved into Cat C in POP?

OH-16-X003-00 6/26/2009 0006

2007-2008

$502,575$ 12,755

3/28/1201210/18/2011

$542,572 $164,245 2009 Section 5310 Program of Projects.

OH-16-X004-00 6/30/2010 0006

20082009

$702,878$50,000

2/22/2011None

$925,787 0 5310 - FY2010 Vehicle/Equipment Acquisition

OH-16-X005-00 8/4/2010 00 2009 $222,589 3/28/2012 $435,180 $48,050 5310- CY 2011 Mobility Management

49Grantee: Ohio DOT


Year Funds Ap’d

TEAM Balance

Date of Last

Drawdown


9/30/11, 12/31/11, 3/31/12


As of 9/30/11 or

12/31/11 or 3/31/12


OH-16-X006-00 8/9/2011 0006

20092010

$3,282,426$414,005

None3/28/2012

$3,795,872 0 5310 - Ohio’s 2011 Section 5310 Grant

OH-16-X007-00

OH-18-X027-01

8/9/2011

3/27/2008

00 2010

2007

$890,151 None $890,151

$448,015

0

$1,228,362

5310 - FY2009 Mobility Management

5311 - Grant Program for 2008Lapsed Cat C funds?

0609

$1,070,793 10/11/20113/28/2012

OH-18-X029-00 7/8/2008 060709

2008 $5,610$48,906

$943,795

2/18/20113/28/20122/23/2012

$1,251,173 $782,103 5311 Grant Program for 2009Lapsed Cat C funds?Using oldest funds first (Admin)?

OH-18-X030-00 8/5/2009 0709

2009 $137,092$4,121,795

3/28/2012 0 $5,076,908 5311 Grant Program for 2010Unspent RTAP Lapsed Cat C?

OH-18-X031-00 8/26/2010 060709

2010 $827,829$275,515

$6,987,372

3/28/2012None

3/28/2012

$3,445,544 $8,780,163 5311 Grant Program for 2011Calculating unliquidated obs correctly?

OH-18-X032-00 8/25/2011 060709

2011 $600,000$273,592

$16,401,054

NoneNone

3/28/2012

$0 $20,283,115 5311 Grant Program for CY 2012

OH-26-0005-00 7/10/2006 02 2006 $36,978 2/11/2009 $36,978 FY 2006 United We Ride (Research)Award made to consultant for marketing /website.

50Grantee: Ohio DOT


Year Funds Ap’d

TEAM Balance

Date of Last

Drawdown


9/30/11, 12/31/11, 3/31/12


As of 9/30/11 or

12/31/11 or 3/31/12


OH-37-X043-01 9/4/2008 00020406

2006 $54,594$2,727

$13,201$56,438

3/28/20123/1/2011

3/28/20123/16/2011

$141,949 $41,609 5316 - FY2006 State of Ohio JARC Grant

OH-37-X071-00 9/24/2009 0004

2007-2008

$88,324$513,108

2/23/20123/28/2012

$384,013 $293,995 5316 - FY 2010 State of Ohio JARC Grant

OH-37-X079-00 9/10/2010 0004

2008-2009

$372,550$1,237,748

3/28/20123/28/2012

$694,034 $713,625 5316 - FY 2011 State of Ohio JARC Grant

OH-37-X087-00 9/14/2011 0004

2009-2010

$1,128,245$1,932,028

NoneNone

$3,060,273 5316 - FY 2012 State of Ohio JARC Grant

OH-57-X004-01 6/23/2008 04 20062007

$46,920 11/21/2011 $10,340 $36,583 5317 - 2008 New Freedom GrantCan spend down and begin close-out amendment?

OH-57-X031-00 8/17/2009 0004

2007-2008

$445,338$286,451

3/28/20123/28/2012

$1,019,652 $137,127 5317 - 2009 New Freedom Grant

OH-57-X038-00 8/5/2010 000406

2008-2009

$252,704$298,678$14,656

8/26/20113/28/20121/13/2012

$347,399 $350,040 5317 - 2010 New Freedom Grant

OH-57-X044-00 8/25/2011 000406

200920102011

$723,494$1,581,373

$136,304

NoneNoneNone

$0 $2,441,171 5317 - 2012 New Freedom Grant LAPSING (in title of grant-what does this mean?) – Just executed in 2011.

OH-70-X002-00 12/20/2004 00 2003 $0 12/29/2011 $0 $0 Right of Way Rehabilitation and Signalization (FHWA Section 1301 – Projects of National and Regional Significance)CLOSE OUT AMENDMENT

51Grantee: Ohio DOT


Year Funds Ap’d

TEAM Balance

Date of Last

Drawdown


9/30/11, 12/31/11, 3/31/12


As of 9/30/11 or

12/31/11 or 3/31/12


OH-80-0003-00 7/1/2009 02 2008 $1,429 10/11/2011 $0 $304,850 Planning - FY 2010 State Planning/Tech AssistanceCan draw down remaining funds and close out?

OH-80-0004-00 8/9/2011 02 200920102011

$1,541,051 1/17/2012 $0 $1,833,756 Planning - FY 2012 State Planning/Tech Assistance

Why not draw from OH-80-0003 and close it out?

OH-85-X001-00 5/3/2010 09 2010 $98,000 None $0 $98,000 Sched/Dispatch Module and Hardware(FHWA Flex 5311)

OH-86-X001-00 6/26/2009 09 2009 $1,142,616 3/28/2012 $0 $1,247,393 ARRA 5311 - Purchase of Replacement Rolling Stock

OH-86-X002-01 7/22/2010 09 2009 $1,904,780 3/28/2012 $571,003 $1,336,786 ARRA 5311 - Facility Rehabilitation and PM – Intercity Bus Shelter/Marion County Rehab

OH-86-X003-00 7/20/2009 00 2009 $3,901,057 3/28/2012 $4,462,002 0 ARRA 5311 - Const. of 3 Maint/Admin Facilities (Carroll, OCTA, Pike)

OH-86-X004-00 3/3/2010 09 2009 $5,937,548 3/28/2012 $976,946 $5,362,191 ARRA 5311 - Facility Construction and RehabsLogan, Medina, Morgan, Sandusky, Ross, Seneca

52Grantee: Ohio DOT


Year Funds Ap’d

TEAM Balance

Date of Last

Drawdown


9/30/11, 12/31/11, 3/31/12


As of 9/30/11 or

12/31/11 or 3/31/12


OH-90-X363-00 9/14/2000 00 2000 $18,986 2/23/2012 $0 $49,627 5307 - P/E for I-71 Corridor Light Rail According to 1Q-2012, all work complete. Has GCRTA submitted final invoices? Can closeout amendment be prepared? Remaining funds de-obligated?

OH-90-X421-00 2/7/2003 02 2002 $182,376 8/20/2009 0 $182,376 5307- CMAQ funds for GCRTA ECTP.All work is complete. Can closeout amendment be prepared? Remaining funds de-obligated?

OH-90-X520-02 1/22/2007 00 2006 $2,445,645 2/23/2012 0 $3,088,697 5307 - Euclid Corridor Non-FFGA (C04)

OH-90-X551-00 5/12/2006 00 2006 $0 2/23/2012 0 $24,003 5307 - Euclid Corridor Non-FFGA Project (C05B)According to TEAM, all funds have been disbursed. Can grant closeout amendment be initiated?

OH-95-X024-01 9/2/2008 00 2008 $865,819 9/6/2011 $0 $866,400 5307 Flex - FY 2009 CMAQ AmendmentAccording to 1Q-2012 MPR, all vehicles delivered. What is status of remaining unobligated funds?

OH-95-X050-01 4/11/2011 00 2010-2011

$5,792,866 2/23/2012 $6,161,146 0 5307 Flex - FY2010-2011 Ohio Clean and Green Program

OH-95-X077-00 4/11/2011 00 2010-2011

$5,642,450 2/23/2012 $0 $14,775,000 5307 Flex Next Generation Clean and Green (CMAQ)

53Grantee: Ohio DOT

3. Project ManagementBasic Requirement: The state must be able to implement FTA-funded projects in accordance with the grant application, Master Agreement, and all applicable laws and regulations using sound management practices.

Reviewed X Not Applicable Comments:


DEFICIENCIESNo procedures for technical inspection/supervision of work in progress Lacking force account plan/justification

Excessive delay in project implementation Other



1. Provide a brief description of state-managed and subrecipient-managed capital projects initiated or completed since the last review.

2. Provide a brief description of capital projects underway.

3. Provide a brief description of capital projects planned for the next three to five years.

4. Identify which, if any, of the above projects utilized FTA ARRA funds.

54Grantee: Ohio DOT



5. For planned projects, has the state implemented a similar project in the past three years? If not, how does the state plan to maintain or increase its technical capacity to ensure project implementation?

6. What are the state’s procedures for providing technical oversight of directly managed projects?

What are the state’s procedures for overseeing projects managed by subrecipients?

7. Are projects on schedule and on budget? If not, why not? What are the recovery plans for the schedules and budgets?

8. “What is the state doing to ensure that funds are expended for ARRA projects by September 30, 2015?

Are any projects at risk of not being completed on time? If so, please list and discuss the reasons why.

9. Is the state’s or a subrecipient’s work force used in the execution of capital grant projects? If yes:

55Grantee: Ohio DOT



a. If the force account work equals $10,000,000 or more, was a force account plan and justification submitted to FTA?

b. Is a plan on file for force account work of $100,000 or more but less than $10,000,000?

56Grantee: Ohio DOT

4. Financial ManagementBasic Requirement: The state must demonstrate the ability to match and manage FTA grants and expend FTA funds only on eligible activities.

Reviewed X Not Reviewed Comments:


DEFICIENCIES

Insufficient financial capacity ECHO documentation deficient

No existing financial plan Excess cash problems

Cost allocation plan deficiencies Insufficient effective control

Insufficient oversight of indirect costs Insufficient financial oversight of single audits

Insufficient tracking of grant balances Unresolved internal, state, or local audit findings

Insufficient oversight of financial management systems Other



Part A: Financial Capacity

1. Does the state have a financial plan for its transit program that covers the next three to five years?

For the past three years, what were the amounts and sources of state funds to support transit programs?

What are the anticipated amounts and sources for the next three years?

57Grantee: Ohio DOT



If the state does not provide matching funds for transit programs, what is the source of that funding?

2. Are there any transit programs or projects that are being delayed due to the lack of local fund availability? If so, what is the plan for mitigating these forecasted funding deficits?

3. Is there any pending legislation or “sunset” provision in existing legislation that could affect the sources of state or local funding or financial capacity? If yes, please identify.

4. In the next few years, does the state anticipate any significant changes in the levels of local funding for transit, the sources of local funding for transit, or the current transit service levels? If yes, please describe.

Part B: Financial Management

5. Are indirect costs of the state agency being charged to FTA grants? If yes:

58Grantee: Ohio DOT



Does the state have an approved cost allocation plan?

Who is the cognizant Federal agency?

Was the annual cost allocation plan and/or indirect cost rate proposal retained for audit or submitted to the cognizant agency in accordance with the cognizant agency’s requirements? What is the status of that submission?

Are indirect costs charged in accordance with the plan?

Are state central services costs included in the indirect cost rate? If yes:

Is there an approved central services plan?

Are the rates in the plan consistent with the rates charged to the operating agency and included in the operating agency’s indirect cost proposal?

6. Are subrecipients charging indirect costs to FTA grants? If yes:

59Grantee: Ohio DOT



What procedures does the state use to review these indirect cost rates or to ensure that cost allocation plans have been submitted to a cognizant agency?

What procedures does the state use to monitor that the correct rate is charged by subrecipients for FTA-funded reimbursements?

Part C: Funds Management

7. What are the state’s procedures for ensuring that TEAM-Web and state grant balances agree?

Are there any discrepancies between TEAM-Web and state grant balances? If yes, please identify.

8. What are the state’s procedures for ensuring subrecipients have the financial management systems to carry out the programs and to receive and disburse Federal funds?

Is this documented in the state management plan?

60Grantee: Ohio DOT



9. What are the state’s procedures for processing and reviewing subrecipients’ reimbursement requests?

10. What is the process for receiving and disbursing FTA funds?

See Exhibit 4.1 at the end of this section for the list of ECHO draws to be examined. (To be provided before the site visit.)

Do records support the ECHO requests and the disbursement of funds?

Are draw requests signed by an authorized official other than the individual who requests the payment?

Are funds disbursed within three business days of receipt?

OH-80-X002-01 - ODOT submitted an ECHO request on 9/26/11 for $6,484 for which FTA disbursement transaction date shows was on 10/11/11.

Part D: Audits/Reviews

11. What are the state’s procedures for ensuring that single audits of subrecipients are conducted and FTA program related findings resolved?

61Grantee: Ohio DOT



12. Since the last review, have any internal reviews or audits been conducted that included the transit program? If yes:

Were there any findings related to FTA program requirements? Please identify.

Were these findings resolved?

Finding Corrective Action Status

62Grantee: Ohio DOT

Exhibit 4.1 Examination of ECHO DrawdownsThe reviewer will complete this table

Project Number (Grant

number)

Financial Purpose

Code

ECHO Transaction

Date

ECHO Transaction

Amount (minimum of

9)

Segregation of Duties

(Y/N)

Underlying Transaction

Amount

Federal Share of


Source Documentation for Underlying

Transaction Amount (i.e.

invoice, payroll, etc.)

Grant Eligible

(Y/N)Date

Disbursed Comment

63Grantee: Ohio DOT

Project Number (Grant

number)

Financial Purpose

Code

ECHO Transaction

Date

ECHO Transaction

Amount (minimum of

9)

Segregation of Duties

(Y/N)


Amount

Federal Share of


Source Documentation for Underlying

Transaction Amount (i.e.

invoice, payroll, etc.)

Grant Eligible

(Y/N)Date

Disbursed Comment

64Grantee: Ohio DOT

5. Procurement and DBEBasic Requirement: States use their own procurement procedures that reflect applicable state laws and regulations, provided that the process ensures competitive procurement and the procedures conform to applicable Federal law.

The state must comply with 49 CFR Part 26 to ensure nondiscrimination in the award and administration of DOT-assisted contracts. States also must create a level playing field on which disadvantaged business enterprises (DBEs) can compete fairly for DOT-assisted contracts.



DEFICIENCIES

Procurement procedures not followed Inadequate staff to administer DBE programLacking full and open competition for one or more methods of procurement Small business element no submitted and/or implemented

Improper use of geographic preferences DBE goal not submitted to FTA

Lacking compliant A&E procurement practices DBE goal submission deficiencies

No FTA clauses DBE goal public participation process deficiencies

Buy America provision not in solicitation and/or contract Uniform DBE reports not submitted semi-annually

Contract files lacking Buy America certifications Uniform DBE reports dot not include required information

No verification that excluded parties are not participating ARRA-specific DBE reports not submitted correctly

Excluded parties participating in covered transactions Goal achievement analysis not completed or not submitted

Change order procedures deficiencies Inadequate implementation of DBE contract compliance

Procurement quantities in excess of need Grantee does not monitor DBE compliance

Improper piggyback purchase Grantee not complying with DBE termination process

Contract(s) exceed five year limitation DBE goal achievement analysis not completed or not submitted

Pre-award and/or post-delivery audits not performed Inadequate implementation of DBE contract compliance

65Grantee: Ohio DOT

Pre-award and/or post-delivery certifications lacking Grantee not complying with DBE termination process

No TVM certification Not participating in a UCP

Insufficient oversight of procurement DBE certifications not adequate

No approved DBE program Interstate certification deficiencies

Inadequate designation of DBE officer DBE directory does not include NAICS codes

DBE program not updated Other (Applicable Triennial Review deficiency)


State Reponses Reviewer Comments

Policies and Procedures

1. What policies and procedures guide FTA funded procurements conducted by the state?

How do these procedures ensure full and open competition?

How does the state ensure that those procedures are followed?

What are the state’s key procurement requirements for:

Micro-purchases (please list thresholds)

Small purchases (please list thresholds)

Sealed bids (IFBs) (please list thresholds and types of items procured using this method)

66Grantee: Ohio DOT



Competitive proposals (RFPs) (please list thresholds and types of items procured using this method)

Over the past three years, how many single bids or sole source procurements were there?

2. What is the process and horizon for the state’s FTA funded procurement planning?

What procurements does the state anticipate conducting in the upcoming year?

What procurements does the state anticipate its subrecipients to be conducting in the upcoming year?

Are any of these procurements of a type and size not recently executed by the state or its subrecipients?

3. What processes does the state have in place to prohibit the inclusion of geographic preferences in its FTA funded procurements?

4. Does the state have a statute prescribing a formal procedure for the procurement of A&E services?

67Grantee: Ohio DOT



If yes, do the procedures provide for full and open competition?

If no, did the state use competitive proposal procedures based on the Brooks Act when procuring A&E services with FTA funds?

5. Have applicable clauses been included in FTA funded procurements exceeding the micro-purchase limit ($3,000) and construction contracts over $2,000? [See Exhibit 5.2]

In intergovernmental agreements and subrecipient agreements? [See Exhibit 5.2]

6. What is the state’s process for ensuring compliance with Buy America requirements?

Does it ensure that the state includes a Buy America provision in all procurements of steel, iron, and manufactured products, except for products with a waiver or purchases under $100,000?

Does this procedure encompass procurements such as rolling stock and construction?

68Grantee: Ohio DOT



Has the state obtained Buy America certifications from successful vendors?

7. Do the state’s procedures for making awards only to responsible contractors include ensuring that contractors are not suspended or debarred?

Did the state search the Excluded Parties Listing System (EPLS) to ensure that excluded parties do not participate in covered transactions?

8. Are excluded parties participating in covered transactions?

If yes, did the state promptly inform FTA in writing of this information?

9. What policies and procedures does the state have in place regarding change orders to FTA funded projects?

How are these policies monitored for subrecipients administering FTA funded projects?

10. Has the state conducted any piggyback procurements? If yes, identify.

69Grantee: Ohio DOT



Is the appropriate documentation on file?

Rolling Stock Procurements

11. Does the state have any contracts for revenue rolling stock and replacement parts that include ordering periods exceeding five years in total length including base and options? If yes, please identify.

12. Did the state conduct pre-award and post-delivery audits for its purchases of revenue rolling stock?

What process was used to verify domestic content, final assembly activities, and location of final assembly at the pre-award and post-delivery stages?

Does the state have on file signed pre-award and post-delivery Buy America, purchaser’s requirements, and Federal Motor Vehicle Safety Standards (FMVSS) certifications?

70Grantee: Ohio DOT



13. If the state purchased revenue rolling stock with multiple delivery dates using either options or multi-year procurements, did it perform and certify a pre-award audit for each group of vehicles before placing the order?

14. Did the grantee use in-plant inspectors when required?

15. For procurements of transit vehicles (e.g., buses, railcars) conducted since the last review, did the state obtain DBE certifications from the transit vehicle manufacturers with the bids/ proposals submitted?

Procurement Oversight

16. What oversight procedures and processes does the state implement to mitigate the risk associated with subrecipients conducting procurements with FTA funds?

Disadvantaged Business Enterprise

17. Does the state meet the threshold for a DBE program?

a. If no, skip to question 26.

71Grantee: Ohio DOT



b. If yes, has the state’s DBE program been approved by FTA? If no, provide an explanation.

c. If yes, has the program been uploaded to TEAM-Web?

18. Who is the state’s DBE liaison officer (DBELO)? Please list name and position.

Is this the same organizational position as that detailed in the state’s most recent DBE program?

To whom does this person report for DBE matters?

Is this a collateral duty assignment?

If yes, do potential conflicts exist and how are they identified and resolved?

Does the state have adequate staff to administer the program?

19. Has the state included an element in its DBE program for fostering small business participation?

72Grantee: Ohio DOT



Has the state implemented effective strategies to foster small business participation?

20. What is the process that the state has in place to ensure that both its own direct FTA-funded contracting activities and those of its subrecipients are incorporated into overall agency goal-setting?

a. Did the state’s goal submission detail the data sources used?

b. Did the goal submission include a race-conscious and race-neutral breakout?

c. Did the state conduct a consultative process in setting these goals?

Did the state publish its goals for 45 days in general circulation media, available minority focused media, and trade association publications prior to submission to FTA?

21. Do the state’s Uniform Reports of DBE Awards or Commitments and Payments include the contracting opportunities of the state and its subrecipients?

73Grantee: Ohio DOT



22. Did the state’s DBE reports for FY2011 indicate that its awards to DBEs were less than the overall goal applicable to that year?

If yes, did the state conduct the required shortfall analysis?

Did it provide this shortfall analysis to its RCRO, if applicable?

23. Since the last review, if the state has contract goals, did it award a contract to a firm that did not meet the specified DBE contract goal?

How did the state determine if “good faith efforts” were sufficient?

Did the state approve of the good faith efforts?

24. What process does the state use to monitor contactors and subrecipients to ensure that DBE obligations are fulfilled?

Does this monitoring include monitoring for adherence to prompt payment and return of retainage requirements?

74Grantee: Ohio DOT



What enforcement mechanisms does the state use for DBE requirements?

Does the state require contractors to obtain prior written state consent prior to terminating or substituting a DBE firm after contract award?

25. What process does the state use to monitor projects to ensure that DBEs are actually performing work committed to at the time of contract award?

Does the state review contracting records for compliance with DBE requirements?

Does the state monitor worksite for compliance with DBE requirements?

Does the state complete a written certification that it has done the above activities?

26. Is the state the lead agency for the Unified Certification Program (UCP)?

If not, is it signatory to its state’s UCP?

75Grantee: Ohio DOT



27. Does the state certify DBEs itself? If yes, does the state:

Use the correct application form, instructions and document checklist?

Conduct site visits prior to certification?

Obtain annual affidavits from each certified DBE affirming that the DBE continues to meet the eligibility criteria of the regulation?

Comply with the requirements of interstate certification?

Include the NAICS codes of DBEs in the UCP directory?

76Grantee: Ohio DOT

Exhibit 5.1 Procurements/Agreements Examined

The reviewer will complete exhibits 5.1, 5.2 and 5.3

METHOD TYPE GOODS DATE AMOUNT COMMENT

1.

2.

3.

4.

5.

6.

7.

8.

9.

10.

11.

12.

77Grantee: Ohio DOT

Exhibit 5.2 Required Third Party Clauses(excluding micro-purchases, except for construction contracts over $2,000)

CLAUSE COMMENTSMASTER

AGREEMENT REFERENCE

1 2 3 4 5 6 7 8 9 10 11 12

LEGEND: X – included; O – not included; NA – does not apply

All FTA-Assisted Third-Party Contracts and Subcontracts

No Federal government obligations to third-parties by use of a disclaimer

§2.f

Program fraud and false or fraudulent statements and related acts

§3.f

Access to Records §15.t

Federal Changes §2.c(1)

Civil rights (EEO, Title VI & ADA) §12

Incorporation of FTA terms Per FTA C 4220.1F §15.a

Energy conservation §26

Awards Exceeding $10,000

Termination provisions49 CFR Part 18Not required of states

§11

Awards Exceeding $25,000

Debarment and Suspension

2 CFR Parts 180 and 1200 §3.b

78Grantee: Ohio DOT



AGREEMENT REFERENCE

1 2 3 4 5 6 7 8 9 10 11 12


Awards Exceeding the Simplified Acquisition Threshold ($100,000)

Buy America

When tangible property or construction will be acquired

§14.a

Provisions for resolution of disputes, breaches, or other litigation

§56

Awards Exceeding $100,000 (by Statute)

Lobbying §3.d

Clean air §25.b

Clean water §25.c

Transport of Property or Persons

Cargo preference

When acquiring property suitable for shipment by ocean vessel

§14.b

Fly America

When property or persons transported by air between U.S. and foreign destinations, or between foreign locations

§14.c

79Grantee: Ohio DOT



AGREEMENT REFERENCE

1 2 3 4 5 6 7 8 9 10 11 12


Construction Activities

Davis Bacon Act

Except for contracts <$2,000 or third party contracts for supplies, materials, or articles ordinarily available on the open market

§24.a

Copeland Anti-Kickback Act

Section 1: All

Section 2: >$100,000§24.a

Contract Work Hours & Safety Standards Act Contracts >$100,000 §24.a

Bonding for construction activities exceeding $100,000

5% bid guarantee100% performance bondPayment bond equal to:

50% for contracts < $1 M

40% for contracts > $1 M, but < $5 M

$2.5 M for contracts > $5 M

Not required of states

§15.o(1)

Seismic safety

Contracts for construction of new buildings or additions to existing buildings

§23.e

80Grantee: Ohio DOT



AGREEMENT REFERENCE

1 2 3 4 5 6 7 8 9 10 11 12


Nonconstruction Activities

Nonconstruction employee protection (Contract Work Hours and Safety Standards Act)

Applies to all turnkey, rolling stock and operational contracts (excluding contracts for transportation services) > $100,000

§24.b

Transit Operations

Transit employee protective arrangements

Applies to Section 5307, 5309, 5311 and 5316 projects

§24.d

Charter service operations §28

School bus operations §29

Drug and Alcohol Testing

Safety sensitive functions.Applies to Section 5307, 5309 and 5311 projects

§32.b

Planning, Research, Development, and Documentation Projects

Patent rights §17

Rights in data and copyrights §18

81Grantee: Ohio DOT



AGREEMENT REFERENCE

1 2 3 4 5 6 7 8 9 10 11 12


Miscellaneous Special Requirements

Disadvantaged business enterprises (DBEs)

Contracts awarded on the basis of a bid or proposal offering to use DBEs

§12.d

Prompt payment and return of retainage

Per 49 CFR Part 26, if grantee meets the threshold for a DBE program (for non-TVM purchases)

§12.d

Recycled products

Contracts for items designated by EPA, when procuring $10,000 or more per year

§15.k

ADA access

Contracts for rolling stock or facilities construction/ renovation

§12.g

Assignability clause Piggyback procurements §15.a

Special Notification Requirements for States

Special notification requirements for states §38

82Grantee: Ohio DOT

Exhibit 5.3 Required Certifications, Reports and Forms(excluding micro-purchases, except for construction contracts over $2,000)

REQUIREMENT COMMENTSMASTER

AGREEMENT REFERENCES

1 2 3 4 5 6 7 8 9 10 11 12


Bus testing certification and report

Procurements of buses and modified mass produced vans

§15.n(4)

TVM certifications Procurements of buses and modified mass produced vans

§12.d(1)

Buy America certification

Procurements of steel, iron or manufactured products > $100,000

§14.a

Pre-award audit Rolling stock procurements §15.n(3)

Pre-award Buy America certification

Rolling stock procurements > $100,000

§15.n(3)

Pre-award purchaser’s requirements certification

Rolling stock procurements §15.n(3)

Post-delivery audit Rolling stock procurements §15.n(3)

Post-delivery Buy America certification

Rolling stock procurements > $100,000

§15.n(3)

Post-delivery purchaser’s requirements certification

Rolling stock procurements §15.n(3)

83Grantee: Ohio DOT

Exhibit 5.3 Required Certifications, Reports and Forms(excluding micro-purchases, except for construction contracts over $2,000)

REQUIREMENT COMMENTSMASTER

AGREEMENT REFERENCES

1 2 3 4 5 6 7 8 9 10 11 12


On-site inspector’s report

Rolling stock procurements > 10 vehicles for areas >200,000 in population and 20 for areas <200,000 in population

§15.n(3)

Federal motor vehicles safety standards pre-award and post-delivery certification

Non-rail rolling stock procurements §15.n(3)

Excluded Parties Listing System search

Procurements > $25,000 §3.d

Lobbying certification Procurements exceeding $100,000 §3.d(1)

Standard Form LLL and quarterly updates (when required)

Procurements > $100,000 where contractor engages in lobbying activities

§3.d(1)

84Grantee: Ohio DOT

6. Asset ManagementBasic Requirement: The state must maintain control over real property, facilities and equipment and ensure that they are used in transit service. States must keep Federally funded equipment and facilities in good operating order.



DEFICIENCIES

Inadequate control of real property Useful life standards not followed

Violation of incidental use requirements Lease issues

Real property use issues Insufficient maintenance standards

Lacking excess real property utilization inventory/plan out of date Facility maintenance plan lacking or inadequate

Failure to comply with property disposal requirements Insufficient oversight of maintenance

Inadequate control of equipment Warranty claims not pursued effectively

Useful life standards not established Other



Part A: Real Property

1. What are the state’s procedures for monitoring the use of its FTA-funded real property?

2. What are the state’s procedures for monitoring the use of FTA-funded real property by subrecipients?

85Grantee: Ohio DOT



3. Does the state or a subrecipient make incidental use of any FTA funded real property?

If yes:

Was FTA approval obtained?

Is continuing control over the property maintained?

Is revenue used for transit planning, capital, or operating expenses?

4. Since the last review, did the state or a subrecipient dispose of any FTA funded real property? If yes:

What was disposed?

Did FTA provide prior concurrence with the method of disposition of real property?

Was FTA reimbursed for its share of disposition proceeds, if required?

What did the state or subrecipient do with its share of the proceeds?

5. Since the last review, did the state or a subrecipient change the use of or remove FTA-funded real property from service? If yes:

86Grantee: Ohio DOT



Did FTA provide prior concurrence when use of real property changed or was removed from the service originally intended at grant approval or when property was put to additional or substitute uses?

What was the utilization plan for the real property that changed use?

Part B: Equipment

6. What procedures does the state follow to manage and maintain control over FTA funded equipment and ensure its continued use? Examples:

Equipment inventories (Describe. Note data elements tracked, addition/disposition procedures, etc.)

Annual vehicle use certifications

Periodic reporting of vehicle use [Note frequency, data collected, and whether by vehicle or aggregate]

Retention of or liens on titles

Disposition requirements

Lease restrictions

Productivity standards

87Grantee: Ohio DOT



Site visits

Insurance

Other (please describe)

7. What are the state’s useful life standards for rolling stock?

Vehicle Type Standard

Do they follow FTA’s useful life standards or has the state developed its own?

For rolling stock purchased with Section 5309 assistance, do the state’s standards meet or exceed FTA’s standards?

88Grantee: Ohio DOT



8. Does the state or a subrecipient lease FTA funded assets to other public entities, nonprofit organizations, or private for-profit operators?

Did the state agree in writing to the lease of any Section 5310 vehicles?

What are the state’s procedures for monitoring subrecipients’ leases?

9. Does the state lease FTA assets to private operators, including intercity bus operators? If yes:

Was prior concurrence from FTA obtained for leases entered into on or after November 1, 2008?

Do the leases include the following required provisions?

a. A requirement for the lessee to operate the project property to serve the best interest and welfare of the state and the public

b. A requirement for the lessee to maintain project property at a high level of cleanliness, safety, and mechanical soundness under maintenance procedures outlined by the state

89Grantee: Ohio DOT



c. A cross reference to a service agreement

d. A requirement that the leased property may not be subleased without state written approval and may not be otherwise encumbered without FTA written approval

Part C: Maintenance

10. What are that state’s requirements for subrecipients, including intercity bus operators, for the maintenance of FTA funded vehicles?

Are the requirements adequate to protect the Federal interest and maintain property in good operating order?

11. Does the state have or require subrecipients to have maintenance plans for FTA funded facilities and facility related equipment?

12. What procedures does the state use to monitor maintenance of vehicles, facilities and facility related equipment?

13. Is any FTA funded equipment operated by a subrecipient under warranty? If yes:

90Grantee: Ohio DOT



What is the system(s) for recovering warranty claims?

Are claims pursued satisfactorily?

91Grantee: Ohio DOT

7. Lobbying

Basic Requirement: Recipients of Federal grants and contracts exceeding $100,000 must certify compliance with restrictions on lobbying before they can receive funds.

Reviewed X Not Applicable


DEFICIENCIESLobbying certifications not included in agreements/procurement solicitations

Subgrantee, contractor, or subcontractor did not submit Standard Form LLL/quarterly update

Lobbying certifications not signed by subgrantees, contractors, or subcontractors

Lacking process for receiving and filing the certifications and disclosure statements

Grantee did not submit Standard Form LLL/quarterly update Other


State Responses Reviewer Comments

1. Has the state included the lobbying certification in all FTA funded agreements and procurement solicitations exceeding $100,000?

Have subrecipients, contractors and subcontractors signed certifications?

2. Has the state used non-Federal funds for lobbying activities? If yes:

Have proper disclosures been made and filed with FTA on Standard Form LLL?

92Grantee: Ohio DOT


State Responses Reviewer Comments

Have all disclosures been updated quarterly, if needed, and so reported?

3. Have subrecipients, contractors and subcontractors that file certifications used non-Federal funds for lobbying activities?

If yes have proper disclosures been made and filed with the state on Standard Form LLL?

Did the state file the disclosures with FTA?

93Grantee: Ohio DOT

8. Charter BusBasic Requirement: Grantees are prohibited from using federally funded equipment and facilities to provide charter service if a registered private charter operator expresses interest in providing the service. Grantees are allowed to operate community based charter services excepted under the regulations.



DEFICIENCIES

Insufficient oversight of charter service Charter reporting issues

Insufficient oversight of charter complaints Other



1. What are the state’s procedures for ensuring that subrecipients comply with the charter regulations?

How does the state handle charter complaints/violations by subrecipients?

2. Do subrecipients operate any charter service, as defined in the regulation? If yes:

94Grantee: Ohio DOT



Does the service fall under one or more of the allowed exceptions? If so, under what exception(s) is the charter service operated?

Government officials

Qualified human service organization

Leasing of equipment and driver

No response by registered charter provider

Agreement with all registered charter providers

Petition to the Administrator

Were the requirements of the exception followed?

3. Did the state report all charter services provided under the exceptions by subrecipients?

Were the quarterly reports submitted on time?

Did they note under which exception the charter service was provided?

95Grantee: Ohio DOT

9. School BusBasic Requirement: Grantees are prohibited from providing exclusive school bus service unless the service qualifies and is approved by the FTA Administrator under an allowable exemption. Federally funded equipment or facilities cannot be used to provide exclusive school bus service. School tripper service that operates and looks like all other regular service is allowed.



DEFICIENCIES

Insufficient oversight of school bus service Other



1. What are the state’s procedures for ensuring that subrecipients comply with school bus regulations?

2. Do any subrecipients operate exclusive school bus service? If yes:

Does the service qualify for one of the statutory exemptions?

Has the state received approval from the FTA Administrator?

Does the service operate only with non-FTA funded equipment and facilities?

3. Do any subrecipients provide school "tripper service"?

96Grantee: Ohio DOT



If yes, is the service open and promoted to the general public?

97Grantee: Ohio DOT

10. Americans with Disabilities ActBasic Requirement: Titles II and III of the Americans with Disabilities Act of 1990 (ADA) provide that no entity shall discriminate against an individual with a disability in connection with the provision of transportation service. The law sets forth specific requirements for vehicle and facility accessibility and the provision of service, including complementary paratransit service.



DEFICIENCIES

Insufficient oversight of vehicle accessibility requirements Insufficient oversight of fixed route service

Facility accessibility standards deficiency Insufficient oversight of ADA complementary paratransit service requirements

Insufficient oversight of ADA facility accessibility requirements Ferry service deficiencies

Insufficient oversight of ADA service provision/training requirements Insufficient oversight of ADA ferry service requirements

Insufficient oversight of ADA maintenance requirements Other

Insufficient oversight of route deviation service



Part A: Complaints/Lawsuits

1. Does the state have a procedure for responding to and tracking complaints?

Who handles the complaints (state program managers, DOT civil rights office)?

98Grantee: Ohio DOT



Does the state require subrecipients to report complaints?

2. Has the state or its subrecipients received any complaints of discrimination due to disability?

What is the status of the complaints?

3. Are there any lawsuits alleging discrimination on the basis of disability?

If so, identify parties to suits and issues.

Part B: Buses

4. What are the state’s procedures for ensuring that subrecipients comply with the ADA requirements for the acquisition of accessible vehicles?

5. Has the state obtained a certification of equivalent service from Section 5311 subrecipients that acquire non-accessible vehicles for demand-responsive service?

99Grantee: Ohio DOT



6. How does the state monitor its subrecipients’ compliance with equivalent service provisions?

Part C: Facilities

7. Since the last review, has the state or a subrecipient constructed any new transit facilities (please list)?

Are the facilities accessible?

8. Since the last review, has the state or a subrecipient altered any transit facilities in any way? Please list.

If yes, were the modifications in accordance with 49 CFR 37.9 and Subpart C to 49 CFR Part 37?

If no, does the state have documentation sufficient to support the determination that the facility was made accessible to the maximum extent feasible or that the cost of alterations required to the path of travel were disproportionate to the overall alterations in terms of cost and scope?

100Grantee: Ohio DOT



9. When subrecipients construct or modify facilities, how does the state ensure that they comply with ADA requirements as incorporated into 49 CFR Part 37?

Part D: Subrecipient Oversight

10. What are the state’s procedures for ensuring subrecipients comply with the general service provision requirements in Subpart G of Part 37?

11. What are the state’s procedures for ensuring that subrecipients are trained to proficiency so that they operate vehicles and equipment safely and properly assist and treat individuals with disabilities who use the service with respect and courtesy?

What training does the state provide? How often?

How does the state define proficiency?




12. What are the state’s procedures for ensuring that subrecipients comply with ADA vehicle and facility maintenance requirements?

What are the state’s procedures for ensuring subrecipients comply with ADA requirements regarding lift and ramp failures on in-service vehicles, and the provision of alternate transportation?

13. Do any subrecipients provide route deviation service (please list)?

What are the state’s procedures for ensuring that route deviation service provided by subrecipients has the characteristics of demand responsive service, i.e., that the service deviates for people with and without disabilities and the availability of route deviation service is advertised to the public?

14. Do any subrecipients provide fixed route service (please list)?

Do they also provide ADA complementary paratransit service?




If not, do the subrecipients provide commuter or “university” service?

What are the state’s procedures for ensuring that commuter service is properly classified and meets the characteristics specified in the DOT ADA regulations?

15. What are the state’s procedures for ensuring that the complementary paratransit service provided by subrecipients meets ADA requirements in the following areas:

Eligibility determinations

Service criteria

Service capacity

Origin-to-destination service

Visitors’ service




Part E: Ferry Service

16. If the state operates or oversees the operation of ferry service:

a. Does the entity limit the number of persons with disabilities aboard its vessels, require medical documentation or advance notice, or otherwise subject passengers with disabilities to restrictions that do not apply to other passengers?

N/A

Does the entity impose higher fares, surcharges, or other fees upon persons with disabilities?

b. Does the entity have a policy that determines how it will make reasonable modifications in policies, practices or procedures when necessary to accommodate individuals with disabilities, and the basis for determining whether specific modifications would fundamentally alter the nature of the service?

c. If transportation service is provided to and from a ferry, is the transfer service accessible?




d. Does the entity provide assistance as requested to passengers with disabilities in moving between the terminal entrance or drop-off point and the ferry boarding location, including assistance with ticket counters and baggage checking/claim areas?

e. Does the entity ensure that assistance is promptly provided to passengers with disabilities who are not able to board or disembark without assistance?

f. Are briefings and other safety-related information provided through means that effectively communicate their content to passengers with hearing or vision impairments?

Are written materials provided in alternative formats?

g. Are individuals with mobility disabilities able to use wheelchairs (power and manual) and mobility aids such as walkers, crutches, canes, braces or similar devices in any areas that are open to pedestrian use?




17. Does the entity make a designated complaints resolution official (CRO) available for contact on each vessel and at each terminal?

N/A

Does the CRO have the power to overrule the decisions of any other personnel, excluding the master of the vessel with respect to safety matters?

What are the state’s procedures for ensuring that the service complies with 49 CFR Part 39 requirements?


11. Title VIBasic Requirement: The grantee must ensure that no person shall, on the grounds of race, color, or national origin, be excluded from participating in, or be denied the benefits of, or be subject to discrimination under any program, or activity receiving Federal financial assistance. The grantee must ensure that federally supported transit services and related benefits are distributed in an equitable manner.



DEFICIENCIES

Complaints not addressed properly Insufficient oversight of Title VI

Lacking assessment or provisions for LEP persons No existing basis for Title VI certification

Public outreach deficiencies Other

Questions FTA Comments State Responses Reviewer Comments

1. Has the state conducted an analysis of how the four factors in the DOT limited English proficient (LEP) guidance apply to the state’s programs and activities?

What steps has the state taken to ensure meaningful access to the benefits, services, information, and other important portions of its programs and activities for individuals who are LEP?



2. In the implementation of FTA programs, does the state conduct public outreach and involvement activities?

How has the state sought out and considered the viewpoints of minority, low-income, and LEP populations in the course of these activities?

Is this consistent with the state’s approved Title VI program?

3. How does the state monitor to ensure that subrecipients comply with Title VI requirements?

Does this monitoring include MPOs?

What process does the state have in place to be made aware of Title VI complaints received by its subrecipients?

4. What processes does the state use to evaluate if it is distributing funds in a nondiscriminatory manner?



Does it analyze the overall allocation of the benefits and burdens of transportation investments in light of Title VI considerations?


12. Equal Employment OpportunityBasic Requirement: The state must ensure that no person in the United States shall on the grounds of race, color, religion, national origin, sex, age, or disability be excluded from participating in, or denied the benefits of, or be subject to discrimination in employment under any project, program, or activity receiving Federal financial assistance under the Federal transit laws. (Note: The Equal Employment Opportunity Commission’s regulation only identifies/recognizes religion and not creed as one of the protected groups.)



DEFICIENCIES

Failure to obtain EEO plans from subrecipients/contractors Other

Failure to adequately review EEO plans



1. Which subrecipients meet the threshold for submission of a formal EEO program? For those subrecipients:

What is the process the state uses to receive and review the EEO plans?

Does the state’s oversight process include obtaining program updates every three years? If not, provide an explanation.




2. Does the state adequately review applicable subrecipient EEO plans for compliance in the following areas:

EEO Officer designation

Utilization analysis

Narrative and statistical assessment of employment practices

Monitoring and reporting system


13. Drug and Alcohol/Drug Free Workplace Act ProgramsBasic Requirements: Recipients of Section 5307, 5309 or 5311 funds must have a drug and alcohol testing program in place for all safety-sensitive employees.

Grantees are required to maintain a drug-free workplace for all employees and to have an ongoing drug-free awareness program.



DEFICIENCIESInsufficient oversight of subrecipient drug and alcohol testing programs DFWA policy lacking required elements

Drug and/or alcohol program vendors not properly monitored No ongoing Drug Free Workplace awareness program

No written DFWA policy Other (applicable Triennial Review deficiencies)



1. Has the FTA conducted a drug and alcohol program compliance audit in the past two Federal fiscal years?

No

If yes, when was the site visit

Is an audit scheduled for the current Federal fiscal year?




2. Does the grantee and its subrecipients, contractors, subcontractors and lessees have drug and alcohol testing programs for safety-sensitive employees as defined by FTA?

3. Does the grantee and its subrecipients, contractors, subcontractors and lessees with safety-sensitive employees have a drug and alcohol policy as required by FTA drug and alcohol regulations?

Do the policies contain the required elements? [Refer to Exhibit 13-1 Drug and Alcohol Policy Checklist.]

4. Does the grantee and its subrecipients, contractors, subcontractors and lessees with safety-sensitive employees conduct the required types of drug and alcohol testing?

a. Pre-employment (mandatory for drugs, optional for alcohol)

b. Random

c. Post-accident

d. Reasonable suspicion




e. Return-to-duty (only for employers with 2nd chance policies)

f. Follow-up duty (only for employers with 2nd chance policies)

5. Does the grantee and its subrecipients, contractors, subcontractors and lessees with safety-sensitive employees test for the required substances:

a. Marijuana

b. Cocaine

c. Opiates

d. Phencyclidine

e. Amphetamines (includes ecstasy (MDMA))

f. Alcohol

6. Are the minimum random testing rates of 25 percent for drugs and 10 percent for alcohol achieved?

a. Total number of safety-sensitive employees




b. Number of random test periods per year

c. Number of test periods completed as of site visit

d. Number of required random tests for drugs [0.25 * (“a”/”b”)] * c

e. Actual number of random tests for drugs

f. Number of required random tests for alcohol [0.1 * (“a”/”b”]*c

g. Actual number of random tests for alcohol

7. Does the grantee and its subrecipients, contractors, subcontractors and lessees with safety-sensitive employees conduct post accident testing under FTA authority only when the conditions set forth in Part 655 are met?




8. Does the grantee and its subrecipients, contractors, subcontractors and lessees with safety-sensitive employees check on the drug and alcohol testing record of new hires and transfers that they are intending to use to perform safety-sensitive duties?

9. Are drug and alcohol testing program records maintained in a secure location with controlled access?

10. How does the state monitor subrecipients and their contractors, subcontractors, and lessees with safety sensitive employees to ensure that their drug and alcohol testing programs are administered in accordance with the regulations?

11. How does the state monitor vendors (e.g., consortia, third party administrators, collection sites, MROs) that support the programs of subrecipients and their contractors, subcontractors, and lessees to ensure compliance with program requirements?




12. Has the state’s subrecipients submitted annual calendar year Management Information System (MIS) reports for itself, contractors, subcontractors, and lessees summarizing drug and alcohol test results as requested by FTA?

13. Were reports submitted by March 15?

14. If the state’s subrecipients contract private carriers, how does it ensure that they comply with FTA drug and alcohol requirements?

15. Does the state have a written policy as prescribed in the Drug-Free Workplace Act (DFWA)?

Has the state distributed it to all transit-related employees?Does the policy notify employees that:

The unlawful manufacture, distribution, dispensing, possession, or use of a controlled substance is prohibited in the workplace?

They must abide by the terms of the policy statement as a condition of employment?




If convicted of a drug statute violation occurring in the workplace, they are to report such to the employer in writing no later than five days after such a conviction?

16. Has any employee reported a criminal conviction for a drug statute violation that occurred in the workplace? If yes:Was such notice timely?

Did the grantee provide FTA timely notice of the conviction?What action was taken against personnel that reported such a conviction?

17. Has the state established an ongoing drug-free awareness program?

How and how often does the state inform employees of the dangers of drug abuse and any available drug counseling, rehabilitation, and employee assistance programs?


Exhibit 13.1 Drug and Alcohol Policy Checklist

The reviewer will examine the policies of the subrecipients to be visited. The reviewer will work with you to select the subrecipients before the site visit.

Policy ElementPage Number Where Element is Found

Reviewer CommentsEntity Entity Entity Entity

a. Proof of policy adoption by governing body

b. Identity of contact person

c. Employee categories subject to testing

d. Prohibited behavior

e. Testing circumstances

f. Testing procedures consistent with 49 CFR Part 40

g. Requirement that covered employees submit to testing

h. Behavior that constitutes a refusal to submit to a test

i. Consequences for an employee who has a verified positive test result

j. Consequences for an employee found to have an alcohol concentration of 0.02 or greater but less than 0.04


Exhibit 13.1 Drug and Alcohol Policy Checklist

The reviewer will examine the policies of the subrecipients to be visited. The reviewer will work with you to select the subrecipients before the site visit.

Policy ElementPage Number Where Element is Found

Reviewer CommentsEntity Entity Entity Entity

k. Policy regarding secondary testing upon receipt of a negative dilute result from the medical review officer (MRO)?
