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RECOMMENDATION:
Receive and file report pertaining to the Federal Triennial Review of the ATN DISCUSSION: As a sub-recipient of Federal Transit Administration (FTA) funds, Anaheim Transportation Network (ATN), is required to undergo a federal compliance review process. This review is conducted every eighteen (18) months. Orange County Transportation Authority (OCTA), as the designated recipient of FTA funding in Orange County is responsible for ensuring that sub-recipients, as such as ATN, are in compliance with the federal grant management requirements. OCTA retained a consultant, Calyptus Consulting Group, Inc. (Calyptus), to conduct the FTA compliance review of the ATN. Calyptus’ Scope of Work included three (3) consecutive reviews of the ATN. The first federal compliance review was conducted in May 2013, with the second review completed in December 2014. The third federal compliance review of the ATN was conducted in June 2016 and included a full analysis of seventeen (17) grant management categories, which entailed an assessment of 77 specific requirement areas. Calyptus identified five (5) areas that required further attention. Review areas requiring corrective steps are summarized in Attachment 1. The identified corrective matters are administrative in nature and have been corrected by the ATN staff. The final report will be forwarded to OCTA Transit Committee on September 14, 2016, and then the full OCTA Board of Directors on September 26, 2016. In addition to the review of ATN documentation, Calyptus toured ATN facilities to provide an overview of activities related to FTA-funded projects. This formal review process is a component of the OCTA sub-recipient monitoring procedures, which are designed to:
1. Ensure that all technical components, specifications and cooperative/sub-
recipient requirements are met 2. Monitor compliance with FTA requirements for FTA funded assets, i.e. vehicles 3. Monitor compliance with FTA requirements for transit service provisions
DATE: AUGUST 24, 2016 TO: ATN BOARD OF DIRECTORS FROM: DIANA KOTLER, EXECUTIVE DIRECTOR RE: AGENDA ITEM # 11
4. Identify performance issues and non-compliance with FTA requirements and address any deficiencies in a timely manner
5. Track information regarding performance quality for the purposes of evaluating sub-recipients capacity for future federal grant awards
A copy of FTA compliance Review Report is provided as Attachment 2. Next federal compliance review will occur in December 2017. A different consulting firm will be selected by OCTA for this effort.
Agenda Item 11 ATN FTA Compliance Review
Page 2 of 2 _______________________________________________________________________________
ATTACHMENT 1
AREA DEFICIENCY CORRECTIVE ACTION RESPONSE DATE ATN RESPONSE
Technical Capacity
Inadequate oversight of
third party
contractor/lessees
Subrecipient must submit implemented procedures
on documenting ongoing contractor oversight
reviews.
30 days
Meeting agenda with Contractor updated to reflect
Contract Administration Procedures. All pertinent
items will be discussed with the Contractor during
Operations Meeting
Maintenance
Vehicle maintenance
plan lacking or
inadequate
Subrecipient must submit a revised maintenance
plan/ program to include provisions for maintenance
of annunciators, revises information on PM
thresholds.
30 days
Maintenance Plan updated to ensure consistency
among all sections. Voice Annunciation System check
box added to the check list. (see attached)
ADA Capacity constraints
Subrecipient must develop a set of service
performance data with OCTA so that capacity
constraints including trip denials, untimely pickup,
missed trips and excessively long trips can be
evaluated. Subrecipient must submit an
implemented procedure for reviewing this data with
OCTA.
60 days
OCTA to include discussion of ADA Paratransit related
items to the monthly meeting agenda with ATN. OCTA
to provide regular updates and status reports
ADA service provision
deficiencies
Subrecipient must submit documentation that it has
taken immediate steps to change any operating
policies that do not meet regulatory requirements,
including updating public information regarding ADA
paratransit service.
60 daysATN webpage updated with direct links to OCTA
Access Service page
Title VILacking a language
assistance plan
Subrecipient must submit a language assistance plan
with a completed four factor analysis, along with a
list of language assistance it has provided, or intends
to provide based on the analysis and a timeline for
providing this assistance.
60 days
LEP Plan updated to include 4-point analysis. New LEP
Plan uploaded to the ATN website. Google translate
functions and instructions provided on the ATN
website. iSpeak Card in production to be available on
all ART buses. New Title VI signs, with vietnamese
language, in production. Revised LEP plan enclosed.
Title VI references and title names updated on ATN
website
Half Fare
Half fare
program/procedures
deficient
Subrecipient must submit information on its half fare
program that will be disseminated/available to the
public
30 days
Link to the Half Fare page is available on the website.
Link was always available but was missed by the
reviewer. See attached proof.
Dkotler Page 1 8/22/2016
ATN FTA Compliance Review Report 1
FTA Compliance Review Report
Division: Transit
Project Title: Anaheim Transportation Network (ATN)
Subrecipient/ Agency: Anaheim Transportation Network
Project Manager: Sue Zuhlke, Director, Maintenance and Motorist Services
Draft Report Date: June 20, 2016 Report Status Draft
Desk Review Request Date:
April 20, 2016
Site Visit Dates June 7, 2016
Report Prepared by: George Harris (Calyptus Consulting Group)
Report Reviewed by (date):
ATTACHMENT 2
ATN FTA Compliance Review Report 2
Purpose This report summarizes the findings from the Subrecipient Oversight Monitoring Review of Anaheim Transportation Network (ATN). It highlights any deficiencies found and outlines the corrective actions required along with the timelines for completing these activities. The Formal Compliance Review forms part of the OCTA Subrecipient Monitoring Procedures which are designed to:
Ensure that all technical specifications and cooperative/subrecipient agreement requirements are met by subrecipients
Monitor compliance with FTA requirements for FTA-funded vehicles or facilities that are maintained by subrecipients
Monitor compliance with FTA requirements for transit services provided by subrecipients
Identify performance issues and non-compliance with FTA requirements; address them in a timely manner
Track information regarding performance quality for the purposes of evaluating subrecipients for future grant awards
Approach
This report outlines the findings from the desk review and on-site compliance review in June 2016.
A desk review is completed annually for all Subrecipients. Formal on-site compliance reviews are
undertaken for each subrecipient a minimum of once every 24 months. The Site visit review frequency is
based on the level of risk associated with each subrecipient or project.
The previous on-site review of the ATN occurred in December 2014, with the final report published in
February 2015.
The review team requested relevant documents from ATN in advance of the site visit. Information
provided by ATN was evaluated to determine whether compliance or information gaps existed. ATN
was given a list of the identified performance gaps before the site visit to enable their preparation for
the discussion during the on-site review. The standard OCTA Subrecipient Monitoring Program process
and procedures was used.
During the site visit, administrative and statutory requirements were discussed and documents were
reviewed. ATN’s transit facilities were toured to provide an overview of activities related to FTA-funded
projects.
The subrecipient was assessed in the following areas, as required by FTA requirements:
Financial Management and Capacity
Legal
Technical Capacity
Satisfactory Continuing Control
Title VI
ATN FTA Compliance Review Report 3
Procurement
DBE
Maintenance
ADA
Half Fare
Charter Bus
School Bus
Drug free workplace and drug and alcohol program
EEO
Public Comment
Planning/Program of Projects
Findings and Corrective Actions
As a result of the site visit, the FTA subrecipient was found not deficient in eleven (11) areas.
Deficiencies were found in five (5) areas. All areas reviews are summarized in the chart below, as well as
corrective actions and due dates. There were no repeat deficiencies from the 2015 report.
A draft of this report along with any corrective actions has been shared with ATN for comment. The
final report will be transmitted to the subrecipient by the OCTA CEO.
The status of any corrective actions will be tracked by the OCTA project manager, who will determine
when action requirements have been met. Failure to deliver the corrective actions in the agreed
timeframe may lead to future payments being withheld.
Definitions
The metrics used to evaluate whether a Subrecipient is meeting the requirements for each of the areas reviewed are:
No Finding: During the review, no findings were noted with the subrecipient’s implementation of the FTA requirements.
Finding: Subrecipient is missing documentation or the documentation provided is missing key FTA requirements.
Open Action Items: Subrecipients have not yet had to comply with particular Federal Requirements, but will need to do so in the future. For example, a facility capital project does not need a facility or equipment maintenance program during building phases, but the subrecipient should submit a program to OCTA before the facility is operational.
Not Applicable: An area can be deemed not applicable if, after an initial assessment, the subrecipient does not conduct activities for which the requirements of the respective area would be applicable.
ATN FTA Compliance Review Report 4
Subrecipient Description
The Anaheim Transportation Network (ATN) is a not-for-profit mutual benefit corporation that provides
a range of transportation services for the General Public in the Orange County region. It was established
in 1995 to provide clean-fuel shuttle service for the Anaheim Resort and Convention area in an effort to
meet air quality and rideshare requirements associated with planned development in the area. ATN
operates under a Board of Directors, governed by its Articles of Incorporation and Bylaws, and has
established its tax exempt status under Section 501(c)(4) of the United States Internal Revenue Code.
The Anaheim Resort Transportation (ART) is the transportation system for the greater Anaheim Resort
area, including the cities of Anaheim, Garden Grove, Buena Park, Santa Anna and Orange. ART buses
operate every 20 minutes from lodging establishments, Anaheim Convention Center and the Disneyland
Resort, as well as the Anaheim GardenWalk and Angel Stadium of Anaheim among other destinations.
There are 22 interchangeable routes.
ART is a fare based system. Passengers can purchase passes online, at participating ART properties, and
at ART kiosks situated on 13 different sites. Tickets can also be purchased on board, but this does not
include any type of pass and is cash only.
ATN contracts with OCTA to provide the required complementary paratransit service for these fixed
route services.
Summary of Findings
The table below outlines the findings and deficiencies for all the relevant review areas. The response
due date for any findings is listed as the number of days from the date of the Final Report.
Review Area Finding Deficiency Corrective Action Response Due Date From Date of the Final Report
Financial Management and Capacity
No finding
Legal No finding
Technical Capacity
Inadequate oversight of third party contractor/lessees
ART Services are contracted to a service provider responsible for Bus Operations. ATN holds monthly meetings with the service provider, but these are not always documented according to their
Subrecipient must provide the revised areas for discussion and analysis for use when documenting ongoing contractor oversight reviews. ATN must submit example documentation showing implementation.
30 days
ATN FTA Compliance Review Report 5
established written procedures. ATN’s oversight activity does not follow the Contractor Monitoring Procedure.
Satisfactory Continuing Control
No finding
Title VI Lacking a language assistance plan
ATN’s Title VI program and LEP Implementation Plan do not include a complete four factor analysis addressing all of the potential LEP population.
Subrecipient must submit a language assistance plan with a completed four factor analysis, along with a list of language assistance it has provided, or intends to provide based on the analysis and a timeline for providing this assistance.
60 days
Procurement No finding
DBE No finding
Maintenance Vehicle maintenance plan lacking or inadequate
ATN’s vehicle maintenance plan does not describe the different preventive maintenance inspections undertaken. The preventive maintenance checklist does not include review of annunciators. Intervals for inspections are not consistently described.
Subrecipient must submit a revised maintenance plan/ program to include provisions for maintenance of annunciators and revised information on PM intervals and inspections
30 days
ADA Capacity Constraints
ATN does not monitor ACCESS, the ADA paratransit service provided by
Subrecipient must implement a set of service performance data with OCTA so that
60 days
ATN FTA Compliance Review Report 6
OCTA, for capacity constraints.
capacity constraints including trip denials, untimely pickup, missed trips and excessively long trips can be evaluated. Subrecipient must submit an implemented procedure for reviewing this data with OCTA.
ADA Service Provision Deficiencies
The weight or size limitations on wheelchairs are not consistently described in Fixed Route operations information. Information regarding paratransit eligibility is not clearly provided
Subrecipient must submit documentation that it has taken immediate steps to change any operating policies that do not meet regulatory requirements, including updating public information regarding ADA paratransit service.
60 days
Half Fare Half fare program/ procedures deficient
Public information regarding the half fare program is not consistently presented on ATN’s website.
Subrecipient must submit information on its half fare program that will be disseminated/available to the public
30 days
Charter Bus No finding
School Bus No finding
Drug free workplace and drug and alcohol program
No finding
EEO No finding
Public Comment No finding
Planning/Program of Projects
No finding
ATN FTA Compliance Review Report 7
Appendix A: List of attendees
Name Title Organization E-Mail
Diana Kotler Executive Director ATN [email protected]
Derek Wong Public Finance Manager Michael Baker
International [email protected]
Steve Wilks Associate IBI Group [email protected]
David Ortega Maintenance Manager ATN [email protected]
Lita Aguilare Director of Operations ATN [email protected]
Sue Zuhlke Director, Maintenance
and Motorist Services OCTA [email protected]
Ric Teano Funding Specialist, Grants OCTA [email protected]
George Harris President Calyptus Consulting
Group [email protected]
Philippa Drew Analyst Calyptus Consulting
Group [email protected]
