New Grantee / Director Training Presented by NCDOT - PTDNew Grantee/Director Training Quest for Knowledge On an index card write a question you have about funding, program requirements,

May 17-18, 2017

New Grantee / Director Training

Presented by NCDOT - PTD

NCDOT.GOV

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New Grantee/Director Training

Quest for Knowledge

On an index card write a question you have about funding, program requirements,

procurement, reimbursement, or any related subject. We will provide an answer by the

end of the workshop.

NCDOT.GOV

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Housekeeping

Breaks will be taken throughout the day (10-15 minutes depending

on schedule) - location of drink and snack machine

Parking pass instructions

Restroom Facilities

Emergency exits

Cellphones, taking calls, and multi-tasking

Side bar conversations

Lunch

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New Grantee/Director Training Agenda Day 1

9:00 am – 4:00 pm

Welcome

Module One – Workshop Overview

Module Two – Grants and the Role You Play

Module Three – Grant Contract Review

Module Four – TAM

Module Five - Safety Compliance

Q & A – (4:00-5:00 pm - PTD staff available to answer questions)

Agenda Day 2

9:00 am – 12:00 pm

Procurement Workshop

Questions

Adjourn

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New Grantee/Director

Training

Name OrganizationAdjective to

Describe Yourself

Areas of Concern

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Module 1

Workshop Overview

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Goal:

Ensure transit system personnel understand the grant

application process; requirements of the grant contract, and

have knowledge of the available state and federal references

and resources.

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Objectives:

• Participants will be able to interpret the contract and fulfill the obligations

on the part of the sub-recipient within the performance period.

• Participants will be able to utilize many pieces of reference material

available to transit systems to effectively manage their program

operations each year.

• Participants will be able to utilize the information presented in the

workshop to navigate the on-line application system (Partner Connect)

and complete the applications for grant funding by the application period

deadline and submit claims on a monthly or quarterly basis.

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Handouts

• Agenda

• PowerPoint Presentations

• Training Needs Questionnaire

• Partner Connect Review Sheet

• Contract Template

• Definitions

• Benefits of Transit in North Carolina

• Drug and Alcohol Testing

• MDS Assignment Area

• Evaluation Form

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Reference Material on Flash Drive

• All Handouts• FTA Circulars• Procurement and Disposition Documents• 2016 State Management Plan• Grant Application MDS Checklists• Fully Allocated Cost Model• Pre-Award Audit Questionnaire for New Grantees• Acronym Lists• Websites for Resource Information• Funding Overview

NEW GRANTEE/DIRECTOR

TRAINING

I DIDN’T KNOW THAT!!!

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First biggest challenge was…

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Module 2

Grants and the Role You Play

• Grants PTD Manages

• PTD’s Role in Process

• Grantee’s Role in Process

• Partner Connect

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Grants PTD Manages

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New Grantee/Director

Training

5311

5310

5339

5307

5303 Metropolitan Planning

5304 Statewide and non-metropolitan planning

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New Grantee/Director TrainingState Funded Grants

ROAP

Urban/Regional Technology

Urban Match Program

Transportation Demand Management

Traveler’s Aid

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Roles and Responsibilities

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Grantee Responsibilities

Program Management – read contract and understand obligations; purchase items approved in contract

Certifications and Assurances

Submit required reports and back-up data on time i.e., Op Stats, Charter, ROAP, DAMIS, and be able to validate

and replicate any or all data or financial records

Updated 5-year budgets (Map PTD G-codes to system budget line items)

Partner Connect for applications, claims, quarterly reports

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PTD Responsibilities

Notify grantees of funding application period

Assist with application process

Review and recommend application packages for approval and funding

Site Visits

Develop partnerships through service delivery, planning and data-

driven projects

Meeting participation (TAB, MPO/RPO, Regional, etc.…)

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Module 2

Knowledge Check, Questions, Need for Additional Training?

NCDOT.GOV

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NEW GRANTEE/DIRECTOR TRAINING

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Grantee Training Workshop

Public transportation in North Carolina provides a

$1.019 Billion statewide business output.

Source: TREDIS (Transportation Economic Development

Impact System)

In 2015, North Carolinians took 75.4 million trips on

public transportation.

Source: Op Stats

Source: Institute for Transportation Research and

Education at North Carolina State University, April

2016

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Module 3

Grant Contract Review

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Contracts Review

Grantees are REQUIRED to read the FTA

Circular references. The links are located on the

Agreements.

Agreements should be returned to the

department within 30 days from day of receipt.

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Partner Connect

Review Partner Connect Handout

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Reimbursement

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New Grantee/Director TrainingReimbursement

• Invoices submitted monthly or quarterly

• Documentation should include: Detailed payroll registers reflecting gross pay of employees on the

grant and employers’ share of fringe benefits.

Invoices and/or receipts

Progress report (discuss required information)

Required Reports and information i.e., Op Stats, Charter, information on

trips carried from scheduling software

• Any grantee that fails to submit a request for reimbursement for the first

two quarters of agreement fiscal year by January 31st or the last two

quarters by July 30th will forfeit their ability to receive reimbursement for

those periods.

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Audits

• A-133 – annual audit

• Required for entities that receive $500,000 or more of

state/federal funds from all types of programs.

• All North Carolina counties receive an A-133 audit

• Ask auditor to perform indirect cost allocation

• Compliance Review – Once every 3 years

• SSP Plan Review– Once every 3 years

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Contract Review Activity

• Who has read their contracts?

• Pointed discussion areas

• Questions for participants to look up

answers

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Module 3


Transit Asset

Management PlanJonah Freedman

Nancy Painter

Steve Hussey

Module 4

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Determining Performance Targets

• Rolling Stock (Rolling Stock Asset Performance Targets.xlsm)

– Percentage of vehicle surpassing Useful Life Benchmarks by Asset Class (AKA backlog)

• 4 Asset Classes (could be increased)

• Assessed according to Age based on Model Year

• Benchmarks determined by Capital Replacement Plan

• Equipment (Rolling Stock Asset Performance Targets.xlsm)

– Percentage of equipment valued > $50,000

– (support/service vehicles) that have met useful life

• Facilities

– Calculated according to percentage of facilities less than 3 Overall TERM Scale

Rolling Stock

• Tracking all locally owned revenue vehicles

• NOT vehicles with NCDOT liens

• Need entire existing inventory

• Updated annually

Equipment

• All NEW (purchased after July 2016) tangible assets used in the provision of transportation

• Replacement/Annual Rental Cost > $100.00

• Service Vehicles are considered equipment under FTA guidelines

• Updated by the transit system with each reimbursement claim

Facilities

• Each Agency must list their administrative facility

• Need entire existing inventory

• Facilities are given a condition rating based on the FTA TERM Scale (shown in next slide).

• Updated by the transit system with each reimbursement claim

TERM Scale

• Use the number of each component in your facility • (Ex. 2 – Heating/Cooling systems

• Enter best estimates of condition for each component• Use average of components for overall TERM Scale

Condition

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TAMS

Questions/Comments?

From the Driver’s Perspective

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Grantee Training Workshop

More than 11,000 jobs are supported by transit

system operations and capital investments which

results in $416 Million in wages.

Source: TREDIS (Transportation Economic Development Impact

System)

Source: Institute for Transportation Research and

Education at North Carolina State University, April 2016

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Transit 101

• SSP

• Drug and Alcohol

• Federal Compliance

• Reports and Schedules

• Training

• Definitions

• Resources and Important

Information

Module 5

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Safety Compliance

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SMS Plan/Safety Security Plan (SSP)

Per the Chapter 53 of title 49, United States Code, as

amended by MAP-21 policy “Moving Ahead for Progress

in the 21st Century (MAP-21) all Public Transportation

Systems must have an approved and certified SMS/SSP.

A review of your SSP will be performed every 3 years to

ensure compliance with MAP-21 and NCDOT/PTD

standards.

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Audits

• Drug and Alcohol Review every 3 years

• Annual Asset Management Inventory (formerly

Satisfactory Continuing Control)

• Trapeze EAM is one part of this inventory

• ** Potential participant in PTD State Management Review

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Workshop

What is reviewed?

Records

Vehicle Inspections

Pre/Post Trip Inspections

Driver Evaluations’

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Drug and Alcohol Testing

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New Grantee/Director TrainingDrug and Alcohol Testing

Who needs to be tested?

Safety-sensitive transportation employees (including self-employed

individuals, contractors and volunteers as covered by DOT agency

regulations), and service agents.

Who may collect urine specimens for DOT drug testing

(a) Collectors meeting the requirements of this subpart are the only

persons authorized to collect urine specimens for DOT drug testing.

(b) A collector must meet training requirements of §40.33.

(c) As the immediate supervisor of an employee being tested, you may

not act as the collector when that employee is tested, unless no other

collector is available and you are permitted to do so under DOT agency

drug and alcohol regulations.

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Types of Drug and Alcohol Test

Pre-Employment

Post-Accident

Random Testing

Reasonable Suspicion

Return-to-Duty

Follow-Up

Each type should be defined in your

Substance Abuse Policy.

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SSP/Drug & Alcohol

Questions/Comments?

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Compliance

What makes a transit system compliant

with federal and state guidelines?

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Federal Compliance

ADA

• Annual equivalency certification on vehicle accessibility

- and each time purchase a non lift vehicle

• If operating a fixed route, must have an ADA plan and comply with the

plan

• Title VI Civil Rights

Does system have a plan in place?

What is being done to document compliance?

• DBE

• EEO

Recipients and sub-recipients under 50 Employees Certification

Recipients and sub-recipients over 50 employees and an excess of

$1 million in capital or operating assistance or in excess $250k in

planning assistance are required to submit an EEO plan

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Federal Compliance

• Certifications and Assurances

• Debarment

• Lobbying

• Buy America

• Charter Service

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Charter Service

Definition of Charter Service

Transportation provided by a Recipient at the

request of a Third Party for the exclusive use of

a bus or van for a negotiated price; OR

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Definition of Charter Service (continued)

• Transportation provided by a Recipient to the Public for

events or functions that occur on an irregular basis or for

a limited duration and:

• A premium price is charged that is greater then the

usual or customary fixed route fare; or

• The service is paid for in whole or in part by a Third

Party.

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Key Characteristics of Charter Service

• A Third Party pays the Transit Provider a

negotiated price for the group

• Any fares charged to individual members of the

group are collected by a Third Party

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Key Characteristics of Charter Service (cont.)

• The service is not part of the Transit Provider’s regularly

scheduled service, or is offered for a limited period of time

• A Third Party determines the origin and destination and trip

schedule

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Charter Service Information and Resources

FTA website: https://www.transit.dot.gov/

“Regulations and Guidance” tab

Left Column: Oversight and Policy Areas

5th topic in list

https://www.transit.dot.gov/

New Grantee/ Director Training

CHARTER

Questions/Comments ?

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Reports and Schedules

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Reports and Schedules

• OP STATS – Quarterly, Annual(validation of service must be provided)

• Charter - Quarterly, Annual

• DAMIS - Annual

• ROAP – Quarterly, Annual

• Vehicle Utilization Data – 2 times / year

• Success Plan Perf. Score Card - Quarterly

• NPS Tracker – 1st and 3rd Quarter

• Accident/Incident - Quarterly

• Employee Development – Quarterly

•

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Training

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PTD

• Training Advisory Committee continues to

determine training needs

• Contract required training in 6 areas

• Training Toolkit

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Training

ITRE• Fundamentals of Demand Response Transportation

Planning

• ADA

• Transportation Leadership Development

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New Grantee/Director TrainingTraining

ITRESkill Building Workshops for Public Transportation

Directors/Administrators

Building and Maintaining Effective Organizations

Through Good Employees 1 & 2

Building Relationships with Public Officials at All

Levels

Budgeting as a Tool for Additional Funding

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Questions/Comments ?

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New Grantee / Director Training

Workshop

Every $1 the state of North Carolina invests in transit

generates approximately $7 of total investment in North

Carolina from federal, state, and local sources.

Source: Op Stats

Source: Institute for Transportation Research and Education at

North Carolina State University, April 2016

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Vocabulary and Acronyms

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Key Terms (Definitions Handout)

• Accrual Accounting

• Deadheading

• Deadhead

• Demand Responsive

• Deviated fixed-route service

• Fixed-route system

• Formula funds

• Passenger Miles

• Revenue Miles and / or Hours

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Key Terms (continued)

Billing Scenarios

Estimated Direct Miles

Passenger Miles and/or Hours

Trip or Unit Cost

Vehicle Revenue Miles and/or Hours

Vehicle Service Miles and/or Hours

Zone-Based

Other

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Acronym list provided on flash drive

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Module 4


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Resources

and other

Important Information

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The Uniform Administrative Requirements, Cost Principles, and

Audit Requirements for Federal Awards

The OMB Super Circular

May 14, 2015

TPM – 32Guidance Division

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Effective December 26, 2014, the Office of Management and Budget (OMB) published final guidance in the Federal Register entitled, "Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards" ("Final Guidance"), to be located at Title 2 of the Code of Federal Regulations ("C.F.R.").

• All Federal and non-Federal entities expending Federal funds, including direct recipients, sub-recipients or pass-through entities, are affected by these changes. (200.101)

• DOT incorporated the Super Circular into its regulations on December 19, 2014 under 2 CFR Part 1200 and Part 1201. Title 49 CFR Part 18 and 19 are removed under Part 1201.

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New Grantee/Director TrainingThe Super Circular standardizes:

Definitions;

General provisions; and

Pre- and Post-award requirements across the OMB Circulars.

The Super Circular also:

focuses on performance rather than compliance as a means for fiscal accountability;

encourages the use of Information Technology and shared services, and

strengthens oversight requirements.

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New Grantee/Director TrainingReforms fall into three (3) main categories:

(i) Administrative Requirements under Subparts A through D, covering OMB Circulars A-102, A-110 and A-89; Note: A-102 & A-110 = 49 CFR 18 & 19

(ii) Cost Principles under Subpart E, covering OMB Circulars A-21, A-87, A-122 and 45 C.F.R. Part 75

(iii) Audit Requirements under Subpart F, covering OMB Circulars A-133 and A-50

11 Appendices are also included in the Super Circular

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Awarding agencies need to update internal controls to ensure CFDA number and FAIN are listed on all Federal award documents. (200.210 & 200.331)

Grantees and sub-grantees must comply with all Federal award requirements, including FFATA, DUNS, and SAM Registration. (200.210, 200.211 & 200.300)

The DOT Component making a financial assistance award must establish conflict of interest polices. Grantees and sub-grantees must disclose, in writing, any potential conflict of interest to the DOT Component or pass-through entity. (1201.112)

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FTA Circulars Related to Public Transportation

The FTA issues guidance, often in the form of circulars, to

provide grantees with direction on program specific issues

and statutory requirements.

1. https://www.transit.dot.gov/

2. “Regulations and Guidance” – under “Federal

Transit Administration”, third option

3. Right column, FTA Circulars

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Public Transportation Related Circulars

C 9030.1E: Urbanized Area Formula Program

Guidance and Application Instructions

C 5010.1D: Grants Management Requirements

C8100.1C: Program Guidance for Metropolitan

Planning and State Planning and Research Program

Grants

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C5800.1: Safety and Security Management Grant for

Major Capital Projects

9070.1G: Enhanced Mobility of Seniors and Individuals

with Disabilities Program Guidance and Application

Instructions

C 9040.1G: Nonurbanized Area Formula Program

Guidance and Grant Application Instructions

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C 5200.1A: Full-Funding Grant Agreement Guidance

C 2710.4A: Revenue Based Sampling Procedures for

Obtaining Fixed-Route Bus Operating Data Required Under

the Section 15 Reporting System

C 2710.2A: Revenue Based Sampling Procedures for

Obtaining Demand-Responsive Bus Operating Data Required

Under the Section 15 Reporting System

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C 9500.1: Intergovernmental Review of FTA Planning,

Capital, and Operating Program and Activities

5300.1: State of Good Repair Grants Program Guidance

and Application Instructions

4710.1: ADA Circular C 4710.1 “Americans with

Disabilities Act Requirements – Vehicle Acquisition” –

Update approved 10-05-15

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Resource Information and Websites

are provided on workshop flash drive

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Email Service Account:NCDOT Public Transportation-CTP

[email protected]

• Major Announcements (conferences, workshops, surveys)

• Call For Projects• New Vehicle Inspection Checklists• E-mail account monitored daily

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Questions and Answers

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“It is a wonderful time to be in public

transportation; a time to grow our

possibilities and find answers to new and

evolving questions. We look forward to

working with you on this journey and where

it leads us”

Debbie Collins, Director

NC-DOT, Public Transportation Division

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Thursday, May 18

Procurement Training Workshop

Nancy Painter, PTD Senior Procurement Officer

HOW DID WE DO?

• PLEASE COMPLETE AN

EVALUATION FORM BEFORE YOU

LEAVE.

• THANK YOU!

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