Rural Transit Requirements 10-23-12 CH- FINAL...The purpose of the ODOT Rural Transit Program Requirements is to set forth the Federal ... Transit Manual Revised 2012/Chapter 1 Intro

OHIO DEPARTMENT OF TRANSPORTATION

OFFICE OF TRANSIT

PROGRAM REQUIREMENTS

FOR THE

RURAL TRANSIT PROGRAM (SECTION 5311)

SEPTEMBER 2012

Table of Contents Rural Transit Program Requirements .................................................................................................... 1

Purpose ............................................................................................................................................... 1

A. Services .......................................................................................................................................... 1

Trip Priorities .................................................................................................................................. 1

Contract Service .............................................................................................................................. 2

Charter Service ............................................................................................................................... 3

Exclusive School Service ............................................................................................................... 4

Intercity Service .............................................................................................................................. 4

B. Coordination .................................................................................................................................. 4

C. Planning ......................................................................................................................................... 5

D. Procurement ................................................................................................................................... 5

Local Policy .................................................................................................................................... 5

Vehicle Purchases ........................................................................................................................... 5

Protests............................................................................................................................................ 6

E. New Starts ...................................................................................................................................... 6

F. Service Area ................................................................................................................................... 6

G. Fares and Contract Rates ............................................................................................................... 6

General Public Fares ....................................................................................................................... 6

Elderly and Disabled Fares ............................................................................................................. 7

Other Fares ..................................................................................................................................... 7

Contract Rates................................................................................................................................. 7

Third Party Billing Arrangements .................................................................................................. 8

H. Financial Requirements ................................................................................................................. 8

Chart of Accounts ........................................................................................................................... 9

Invoices ........................................................................................................................................... 9

Budget Revisions and Amendments ............................................................................................... 9

Audits............................................................................................................................................ 10

Financial Statements ..................................................................................................................... 10

I. Public Involvement ....................................................................................................................... 10

J. Civil Rights ................................................................................................................................... 11

Disadvantaged Business Enterprises (DBEs) ............................................................................... 11

Threshold Recipients .................................................................................................................... 11

Non-Threshold Recipients ............................................................................................................ 11

K. Americans with Disabilities Act (ADA) ..................................................................................... 12

General Provisions ........................................................................................................................ 12

Fixed Route Systems .................................................................................................................... 14

Origin to Destination .................................................................................................................... 15

Demand Response Systems .......................................................................................................... 16

Spare Ratio and ADA Compliance ............................................................................................... 16

Title VI ......................................................................................................................................... 17

Equal Employment Opportunity (EEO) ....................................................................................... 17

L. Drug and Alcohol Requirements ................................................................................................. 17

Policy ............................................................................................................................................ 17

Who Must Participate? ................................................................................................................. 18

Review of D&A Collection Site ................................................................................................... 18

MIS Reports .................................................................................................................................. 18

M. Bloodborne Pathogens Policy ..................................................................................................... 19

N. Department of Labor ................................................................................................................... 20

O. Inventory ..................................................................................................................................... 20

P. Miscellaneous Contract Requirements ......................................................................................... 20

Budget Revisions/Contract Amendments ..................................................................................... 20

Vehicle Maintenance .................................................................................................................... 21

Insurance Requirement ................................................................................................................. 21

Driver Requirements..................................................................................................................... 21

Required Driver Training ............................................................................................................. 22

Communication Requirement ....................................................................................................... 22

Brochures and Marketing Requirement ........................................................................................ 22

Q. Technical Assistance Reviews (TARs) ....................................................................................... 23

R. Required Reports and Deadlines ................................................................................................. 24

S. Use of Revenue Vehicles in Nonrevenue Service ....................................................................... 24

Other Eligible Service .................................................................................................................. 25

Rural Transit Manual, Rural Transit Program Requirements Page 1

RURAL TRANSIT PROGRAM REQUIREMENTS PURPOSE The purpose of the ODOT Rural Transit Program Requirements is to set forth the Federal and State requirements for Ohio’s rural public transit systems receiving funding through the Federal Transit Administration (FTA) Section 5311 Rural Transit Program. In addition, a list and description of all required reports is also included. Each report description is followed by an associated link(s) that provide additional report information. After a Rural Transit Program application is approved and contracts issued, it is the responsibility of the grantee or its contracted agent to monitor the project. All Rural Transit grantees/contract service providers must read this document to familiarize themselves with their responsibilities to ODOT under the Rural Transit Program. Together with the ODOT Rural Transit Manual, this document provides all of the information required to implement and administer a compliant Rural Transit program. For systems that contract out service, ODOT requires the grantee to retain administrative control over the contracted provider. The grantee is ultimately responsible for the project, and ODOT will contact the grantee in the event of any problems with the system. For those grantees/contract service providers that have contractors performing transit operations, the contractor is “standing in the shoes” of the Rural Transit grantee and must, therefore, comply with all of the same Federal and State regulations, policies, rules, and conditions governing the administration of a project supported with Federal assistance awarded by the FTA and outlined in the FTA Master Agreement. http://www.fta.dot.gov/documents/19‐Master.pdf. Please note that Rural Transit grantees are responsible for complying with all Federal requirements for the FTA Section 5311 program as contained in FTA Circular 9040.1F, http://www.fta.dot.gov/legislation_law/12349.html.

A. SERVICES All transit service must be open to the general public during the published operating hours and within the published service area. Trip Priorities Rural Transit grantees/contract service providers are not permitted to prioritize trips according to trip purpose. For example, a passenger’s trip to the bank cannot be canceled or rescheduled in order for another passenger to be taken to the doctor. All trips must be scheduled on a first come, first served basis. Rural Transit grantees/contract service providers are permitted to provide contracted trips funded by a third party. Examples of common contract service include transportation of persons with developmental disabilities to sheltered workshops; transportation of seniors to nutrition sites or adult day services; and transportation of Medicaid recipients to medical appointments. However, contract service cannot negatively impact the availability of service to the general public. And, general public trips cannot be denied or changed to accommodate contracted trips.


Contract Service Rural Transit grantees/contract service providers must ensure that any contract service provided meets the definition of “eligible mass transportation,” or public transportation by a conveyance that provides regular and continuing general or special transportation to the public. This does not include school bus, charter, or sightseeing transportation (49U.S.C. Section 5302(a)(7). There are three key components of eligible mass transportation. The service must be:

♦ Under the control of the grantee; ♦ Designed to benefit the public at large; and ♦ Open to the public, not closed door.

These elements are further explained in FTA’s Charter Regulations, found at www.fta.dot.gov/laws/leg_reg_regulations.html. Contract service can also be further defined as the transportation of a group of people for a specified cost scheduled and paid by a third party. As such, contract service can be provided by a transit system and is, in fact, often a source of much needed revenue. However, as stated above, contract service must meet the definition of eligible mass transit. All Rural Transit Program transportation service must be open to the general public (open door), whether it is contract or regular service. Additionally, systems must monitor their service and document that their public demand is being met. As part of this documentation, Rural Transit grantees/contract service providers must properly market general public service with published schedules, system brochures, and advertisements to ensure the public’s awareness of the service and how to access the service. Grantees/contract service providers must also document service denials or turndowns and/or any unmet needs. Definitions for trip denials, turndowns, and unmet needs are included in Chapter I, Glossary, of the Rural Transit Manual available at http://www.dot.state.oh.us/Divisions/Planning/Transit/Documents/Rural Transit Manual/Rural Transit Manual Revised 2012/Chapter 1 Intro Glossary-FINAL.pdf. Revenue generated from the provision of contract service can be used as part of a grantee’s local match. Further, contract revenue in excess of the fully allocated costs may be transferred to a capital replacement fund, if that fund has received prior ODOT approval. In addition to meeting the three key components of eligible mass transportation, grantees/contract service providers must meet the following additional guidelines for contract service: 1. Contract service must be open to the general public. 2. Contract service cannot interfere or detract from regular service. 3. Contract service must be offered only during regular hours of operation. Contract service trips

may be completed outside the regular hours of service only if the trip originates or ends within the normal hours of operation.

4. All contracts must be written; verbal agreements are insufficient. 5. Grantees must provide proof that a) the general public is adequately aware of the service, via

marketing campaigns, brochures, etc., and b) general public trips are not, on a routine basis, denied due to contract service, via adequate trip denial records.

6. Contract service rates must be fully allocated. For assistance with procedures for fully allocated contract rates, refer to ODOT Cost Allocation Spreadsheet at http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/Rural.aspx


Charter Service The Federal Transit Administration was established by the Urban Mass Transportation Act of 1964 (UMT Act, the Act). The Act provided funds for ‘‘mass transportation’’ purposes, defined as: ‘‘transportation by bus or rail or other conveyance, either publicly or privately owned, serving the general public (but not including school buses or charter or sightseeing service) and moving over prescribed routes.’’ This provision illustrates the balance Congress sought to strike between the public and private sectors of the economy. Congress acted to provide Federal funding for the continued existence of urban fixed route providers by enacting a capital program to acquire private transit companies and establish new public transportation agencies. The charter services provided by private companies were still profitable; accordingly, Congress excluded charter service from the definition of ‘‘mass transportation.’’ "Charter service" means, but does not include demand response service to individuals: 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. The following features may be characteristic of charter service:

♦ 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; ♦ The service is not part of the transit provider’s regularly scheduled service, or is offered for a

limited period of time; or ♦ A third party determines the origin and destination of the trip as well as scheduling; or ♦ Transportation provided by a recipient to the public for events or functions that occur on an

irregular basis or for a limited duration and: o A premium fare is charged that is greater than the usual or customary fixed route fare;

or o The service is paid for in whole or in part by a third party.

Revisions to the Charter regulations now provide for both exemptions and exceptions to the regulations. FTA excludes from charter regulation coverage recipients of four funding programs (Section 5310, Section 5311, Section 5316, and Section 5317) if the service is considered for “program purposes.” FTA defines this term as: "…transportation that serves the needs of either human service agencies or targeted populations (elderly, individuals with disabilities, and or low income individuals).” Further, there are four exceptions to the Charter regulations, if service is provided for:

♦ Government officials (Section 604.6); ♦ Qualified human service organizations (QHSOs) (Section 604.7); ♦ Leasing (Section 604.8); and ♦ When no registered charter provider responds to notice from a recipient (Section 604.8).

FTA imposes other requirements such as the registration of a QHSO if that QHSO does not receive funding from one of 64 Federal funding programs identified by the FTA. There are also certain recordkeeping requirements for QHSO service. In addition, FTA requires a quarterly “exception report” for any service provided under one of the above exceptions. Rural Transit grantees must submit this information quarterly to ODOT, who in turn submits it electronically to FTA. ODOT’s Charter Manual contains all of the instructions, guidance, and steps needed for compliance with


FTA’s Charter Bus regulations. To access this Manual, go to http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/Publications.aspx. The FTA Charter Regulations are available at http://www.fta.dot.gov/documents/17-Master.pdf.

Exclusive School Service Rural transit systems are prohibited from providing exclusive school bus transportation for school students and school personnel. Systems can, however, modify existing service to accommodate school students along with the general public. FTA funded equipment cannot be modified to accommodate school safety equipment (lights, arms, etc.) nor can bus stops be located on school property. Intercity Service Rural intercity service (Federal Section 5311(f) Program) is defined as regularly scheduled bus service which is open to the general public that has limited stops and provides meaningful connections to intercity bus service. Feeder service to connect with intercity bus service is allowable. However, commuter service is not considered intercity service. Intercity service is eligible for capital and operating assistance. For more information regarding the FTA Section 5311(f) Program, go to http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/RuralIntercityBus.aspx.

Requests for intercity funding must be documented in a system’s Four Year Capital and Operating Tables and be clearly identified in a system’s annual Rural Transit Proposal. Information on both of these documents is available at http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/Rural.aspx.

B. COORDINATION ODOT strongly encourages rural transit systems to coordinate services and vehicles with other local transportation providers and programs. Transportation coordination among all transportation providers whether private, public, or non-profit can decrease costs and increase ridership efficiencies. Although rural transit systems must comply with Rural Transit Program requirements and policies as they affect service areas, fares, etc., there should still be many opportunities for rural transit systems to coordinate service within their communities and adjacent communities/counties. For example, rural transit systems should explore opportunities to coordinate with other local services to share trips, make joint fuel purchases, etc. Effective with fiscal year 2007, The Safe, Accountable, Flexible, Efficient, Transportation Equity Act (SAFETEA- LU) added a requirement that recipients of grant funds through the Section 5310 Elderly Individuals and Individuals with Disabilities, Section 5316/Job Access Reverse Commute, or Section 5317/New Freedom grant programs must adopt and be included in locally developed Coordinated Human Service Public Transportation Plans. These coordination plans are four year plans developed to maximize service availability through coordination and to address the unmet transit needs of the community with focus on the elderly, individuals with disabilities, minorities and low income individuals. Several resources are available to assist with the coordination of transportation services. For ODOT’s Handbook for Coordinating Transportation Services and A Guide for Implementing Coordinated Transportation Systems, go to http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/Coordination.aspx. A coordination tool kit is also available on the United We Ride website at http://www.unitedweride.gov/. Or, if you have


specific questions about how coordination affects a rural transit system’s requirements, contact your ODOT Rural Transit Representative. C. PLANNING Short and long range planning and service evaluations are essential parts of the administration, management, and operation of a rural public transit system. Input from a Transportation Advisory Committee and technical assistance from ODOT can play important roles in on-going planning efforts. A system’s self-evaluation takes place annually through the use of performance measures. See Chapter VI Invoicing Instructions and Operating Data for more information. Another planning tool is the Transportation Development Plan (TDP), a 3-5 year short range planning document that systems can use as a guide for developing and initiating transit service. Assistance to develop a new, or update an existing, TDP can be requested through the ODOT Ohio Technical Assistance Program (OTAP); however, funding may be limited. See Chapter II of the Rural Transit Program Manual for more information on OTAP. You may contact your Rural Transit Representative for additional information regarding local planning. D. PROCUREMENT Local Policy Rural Transit grantees must adhere to local (city, county, etc.) purchasing procedures and requirements unless state and federal requirements are more stringent. The only exception occurs when the system purchases vehicles through ODOT’s term contract. Then, all ODOT purchasing procedures must be followed. A grantee’s written procurement process must address all components outlined in FTA Circular 4220.1F. This written process, including all revisions and updates, must be submitted to and approved by ODOT. Vehicle Purchases Rural Transit grantees/contract service providers have three options for obtaining vehicles: 1. Cooperative Purchasing (ODOT Term Contracts); 2. Direct Agency Procurement (Invitation for Bid or Request for Proposals); or 3. Consortium Purchases. Occasionally, two or more transit systems may be purchasing the same type of vehicle and would benefit by developing a consortium purchase, commonly known as “piggy-backing.” One system would agree to act as a purchasing agent on behalf of the others and conduct the procurement. The remaining systems would enter into an agreement for a specific number of vehicles and “piggy back” on the procurement. Consortium/Piggy-back purchases save administration costs and typically result in better prices. FTA has strict guidelines for the use of piggy back purchases. Please refer to FTA Circular 4220.1F for further guidance, http://www.fta.dot.gov/documents/FTA_Circular_4220.1F.pdf. Each option has its own step-by-step procedures which must be followed. Refer to Chapter VII, Procurement and Third Party Contracting of the Rural Transit Manual for information on all relevant purchasing procedures.


Protests Rural transit grantees must establish as a part of their written procurement policy, a process to address the resolution of protests arising from any procurement. All protests, including the steps taken to resolve the protests, must be reported to ODOT who will notify FTA. E. NEW STARTS New Start Systems are potential Rural Transit grantees/contract service providers that will apply for Rural Transit Program funding for the first time. Funding is awarded on a competitive basis due to limited resources for the Rural Transit Program. Eligibility and the required competitive process are outlined in detail in ODOT’s Rural Transit Program Criteria http://www.dot.state.oh.us/Divisions/Planning/Transit/Documents/Rural Transit Manual/Rural Transit Manual Revised 2012/Rural Transit Criteria and Instructions.pdf A potential New Start grantee must submit a letter of intent to apply for rural transit funding 18 months in advance of proposed start-up service. For instance, if a January 1, 2016 start date is desired, a letter of intent must be submitted by July 2014. A sample letter of intent is available from your ODOT representative. Developing and initiating a new rural transit system and service is a formidable task that takes a considerable amount of planning and commitment from local resources. A Transportation Development Plan (TDP) which is a 3-5 year, short range planning document is required to be completed before the start of a rural system. See Chapter X, Designing a New Transportation Program, of the Rural Transit Manual for more information on the TDP. F. SERVICE AREA ODOT requires Rural Transit systems to establish a local service area and define it in the service description of the Rural Transit Program Proposal. Since an overriding goal of the Rural Transit Program is to “enhance the overall mobility of people living in non-urbanized areas,” a rural transit service may be designed to include trips to and from adjacent non-urbanized areas as well as urbanized areas, as long as one trip end begins or ends in the non-urbanized area. Coordination with other transportation providers in the adjacent areas, non-urbanized and urbanized, is strongly encouraged. The service area policy and the description of service available must be consistent throughout the Rural Transit Program Proposal process including any required public notices, the operator’s contract, and service brochures. No service changes can be initiated without prior ODOT concurrence. For further guidance, contact your Rural Transit Representative. G. FARES AND CONTRACT RATES Rural Transit grantees/contract service providers should establish a local fare policy outlining the general fare structure, including reduced fares for the elderly, persons with disabilities, students, or other discounts. This policy may also address cancellations and no shows, or separate policies for those items may be developed. Your policy should be reviewed and approved by your governing board and/or Transportation Advisory Committee (TAC) at least annually. General Public Fares


A reasonable fare for each one-way trip must be established by the system, ideally with input from the TAC and approved by the system’s governing board. Fares are to be paid to the driver upon boarding the vehicle. Fares may be paid in cash, tokens, tickets, passes, etc. Elderly and Disabled Fares Rural Transit grantees/contract service providers which meet certain eligibility requirements may choose to participate in the Ohio Elderly and Disabled Transit Fare Assistance Program (E&D Program) and offer reduced fares to elderly persons and persons with disabilities. If they choose to do so, they must agree, as part of their E&D Program contract, to offer a reduced fare that is no greater than one half of the general public fare.

Individuals requesting the reduced fare must present Proof of Age or Disability (a card of similar physical evidence used by the grantee to verify age or disability). The grantee must specify what it accepts as proof of age or disability. Only non-contract, elderly and disabled public transit passengers are eligible for assistance under the E&D Program. For purposes of the E&D Program for Rural Transit Program grantees/contract service providers, elderly is defined as people aged 65 and older (effective 1/1/2006), and disabled is defined as any non-elderly person with a mental or physical impairment limiting some major life function. (See 49 FCR Part 37 for additional clarification on the ADA definition of disabled). The E&D Program is a reimbursement program. In order to apply for an E&D allocation and receive funding, eligible applicants must have operated general public transportation service under the Rural Transit Program for one full calendar year, offered reduced fares to elderly persons and persons with disabilities, and have submitted verifiable operating data for that service. For example, a system which initiated service in CY 2014 may receive an allocation based on CY 2014 data for the SFY 2016 E&D Program year. E&D Program funding is contingent upon approval from ODOT for each grantee. Effective with SFY 2007, the grantee will receive its entire E&D Program payment upon grant contract execution. For more information on the ODOT E&D Program, go to http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/ElderlyDisabled.aspx. Other Fares Fares such as student fares, discount passes and monthly passes may also be established. Contract Rates As discussed in Section A of this guide, rural transit service may include contract service. Transit systems in general are receptive to providing this type of service because the revenue generated can be used as local match (See Chapter V, Financial Management, of the Rural Transit Manual). This service, however, is over and above general public service in that it requires additional work in developing contracts, scheduling, record keeping, and invoicing. A higher rate, therefore, is necessary to cover these costs. Contract service should cover 100% of its costs through the negotiated contract rate (fully allocated cost). (See the ODOT Office of Transit website for a fully allocated cost spreadsheet, http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/Rural.aspx.) Transit systems provide contract services to a variety of organizations: public, private, and nonprofit. Each contract will have its unique characteristics and requirements. It is important that you, the


Grantee/Contract Service Provider, know your costs and what you can and cannot provide, before entering negotiations. And, just as each transit system should have a general fare policy, you should also have a separate contract rate policy addressing how contract service can be arranged, any special requirements, the rates to be charged and the basis for the charge (per mile, per trip, etc.), and any discounts or incentives offered. This contract rate policy should also be reviewed and approved annually by the TAC or governing board, respectively. Contract rates can be based on a per passenger, per mile, or per vehicle hour rate, or any combination of these factors. ODOT’s Equitable Contract Rates for Rural Transit Systems describes the steps you should follow in establishing your contract rates. This document is available on the ODOT website, http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/Rural.aspx Third Party Billing Arrangements There may be occasions when an agency will request to be billed for its customers who ride public transit. The individual can and will make his or her own reservation for service; however, the agency has agreed to pay for the trip. In these cases, the transit system can charge the regular fare along with an additional billing charge. For example, if the regular fare is $2.00, and your administrative costs for each ride is 25% of each trip (tracking, compiling, and invoicing for each trip), your charge for each billed trip would be $2.50. H. FINANCIAL REQUIREMENTS ODOT is responsible for providing oversight of Federal and State funds; to ensure funds are used appropriately and in compliance with Federal and State guidelines, and ensuring compliance with the specific terms of Sections 5310, 5311, 5316, and 5317 contracts. ODOT uses two primary methods for financial management oversight:

♦ Desk inspections: a review of transit system financial documents and invoices performed at the ODOT headquarters using data and information previously submitted to ODOT and additional documents requested from the system, as needed.

♦ On site audits: a four to five day audit completed at the transit system headquarters. On-site auditors review, reconcile, and verify;

♦ Financial statements to general ledgers. ♦ ODOT invoices to transit source documents. ♦ Revenue and Expense transactions to chart of accounts and general ledger.

On site audits are formal audits consisting of entrance and exit conferences and a formal written audit report that includes a corrective action plan. Rural Transit grantees/contract service providers are responsible for compliance with all Federal and State contracts. They must also comply with the Common Rule 49 CFR 18.20 and are responsible for meeting standards for:

♦ Financial reporting ♦ Accounting records ♦ Internal control ♦ Budget control ♦ Allowable costs ♦ Revenue and expense source documentation


♦ Cash management ODOT requires Rural Transit grantees/contract service providers to use accrual accounting practices and provide supporting documentation for all claims of revenues and expenses. Rural transit financial guidance is available in the ODOT Office of External Audits guide, Accounting for Rural Transit Systems. http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/Training.aspx. Chart of Accounts The Federal Transit Administration (FTA) requires Rural Transit grantees/contract service providers to maintain accounting and financial records in accordance with the National Transit Database. Accounts are categorized by function within broad categories of capital, operating expenses, and administration expenses. The way service is provided, directly or under contract, will have an impact on the grantee’s accounting records. The ODOT Rural Chart of Accounts can be accessed at http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/Rural.aspx Invoices

Operating

Each grantee will submit to ODOT via e-mail a quarterly reconciliation invoice using ODOT’s computerized spreadsheet invoice or the Grants Management Accounting System (GMAS). Invoice instructions are contained in the instructions tab on the ODOT quarterly invoice located on the ODOT website, http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/Programs.aspx. The e-mail submission must be made to [email protected] by the 15th day of the month following the end of each calendar quarter for each of the first three quarters. The fourth quarter invoice must be submitted no later than February 28 following the end of the contract period. An interim fourth quarter invoice will be accepted prior to February 28. However, the invoice must be clearly marked as an “interim” invoice.

Capital

Rural Transit grantees/contract service providers may request reimbursement for all eligible capital items contained in their ODOT contract. The reimbursement request should be submitted on the current ODOT capital invoice and must include proof of purchase, such as sales receipts, vendor invoice, etc. Reimbursement for vehicle purchases only may be submitted as early as 30 days prior to delivery but must be accompanied by a copy of the approved purchase order and vendor invoice with the expected delivery date noted. More detailed information and instructions on the rural operating and capital invoices are included with each invoice and can be found on the ODOT website at; http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/Rural.aspx. Budget Revisions and Amendments A budget revision is a request to add or delete line items and/or to increase/decrease funding (>10% of the approved line item amount) among line items within an approved budget without increasing the total cost of the budget. These requests must be submitted in writing to ODOT and require prior written approval. A budget amendment is a request to either 1) add a new line item(s) not included in an already approved budget without increasing the amount of that budget; 2) add an item(s) and increasing the


total amount of an approved budget, or 3) increasing the total amount of an approved budget. All of these amendment requests must be submitted in writing to ODOT and require prior written approval. Audits Audits of states, local governments and nonprofit organizations must be in compliance with Circular No. A-133. A-133 rescinds Circular A-128 and was revised June 24, 1997 to include both state and local governments and nonprofit agencies into one single document. ODOT may conduct individual project audits. Rural Transit grantees/contract service providers must submit each year’s A-133 audit report to ODOT by September 30. If applicable, financial statements of third party contract providers are also due at this time (See paragraph below on financial statements). If a grantee desires an annual project audit in addition to the A-133 audit, local funds must be used; no State or Federal funds are available for this activity. The cost for a reasonable, customary audit is allowable as long as the cost was included in the grantee’s annual approved application budget. Reasonable, customary charges are typically two to three percent of the total budget. For more detailed information about audits, Chapter V, Financial Management, of the Rural Transit Manual. Financial Statements If a grantee contracts out its service, the service provider is required to submit a financial statement to ODOT. This is in addition to the audit that is required from the grantee, but should be submitted along with the grantee’s audit. I. PUBLIC INVOLVEMENT If a grantee decides to implement any service changes or fare increases, either when the annual rural transit application is filed or when designating a grantee, a public involvement process must be followed. This process must consist of, at a minimum, conducting a public hearing, with the following guidelines: 1. The public hearing must be advertised at least once 30 days prior to the hearing; 2. A 30 day comment period must follow the hearing; and 3. Rural Transit grantees/contract service providers/eligible applicants must respond to all questions

and comments in writing concerning the proposed changes or application. Eligible applicants conducting the designated grantee process or a competitive procurement may publish combined public notices providing each activity is clearly described. Rural Transit grantees/contract service providers serving more than one city within a county, serving multiple counties, or providing service into an urbanized area must publish the notices in newspapers that serve the entire service area. Additionally, if substantial route or service changes are proposed, written descriptions and maps, if applicable, should be available before, during, and after the hearing.


J. CIVIL RIGHTS All Rural Transit Program grantees/contract service providers must comply with Federal Civil Rights laws and provisions as they relate to the provision of transit service, the conduct of business in the provision of that service, and employment. The four Civil Rights areas applicable for the Rural Transit Program are Disadvantaged Business Enterprises, the Americans with Disabilities Act, Title VI, and Equal Employment Opportunity. Disadvantaged Business Enterprises (DBEs) Rural Transit Program grantees/contract service providers and recipients must ensure that disadvantaged business enterprises (DBEs) as defined in 49 CFR Part 26 have the maximum opportunity to participate in the performance of contracts and subcontracts financed in whole or in part with Federal funds. Rural Transit grantees/contract service providers and their contractors shall not discriminate on the basis of race, color, national origin, or sex in the award and performance of DOT- assisted contracts. A DBE is defined as a small business concern which:

1. Is at least 51 percent owned by one or more socially and economically disadvantaged individuals, or in the case of any public-owned business, at least 51 percent of the stock is owned by one or more socially and economically disadvantaged individuals; and

2. Whose management and daily business operations are controlled by one or more of the socially

and economically disadvantaged individuals. For the definition of socially and economically disadvantaged, please refer to FTA 49 Part 26, Final Rule for Program Requirements. The Office of Transit determines its annual DBE goal based on Federal funding for that year.

Threshold Recipients Rural Transit Program recipients who anticipate awarding more than $250,000 in FTA funds for prime contracts in a Federal Fiscal Year (FFY), exclusive of vehicle purchases, are considered to be threshold recipients for that FFY. Prime contracts include goods as well as contracts for services. All threshold recipients must establish an annual DBE goal and include this goal as well as other requirements in a DBE Program, and submit the DBE Program by July 15th to ODOT for review. See DBE Program Threshold Recipient Requirements for information on establishing a DBE Program.) DBE Programs need only be submitted once for each grantee, and updated thereafter only as revisions are necessary. For example, if a grantee’s DBE goal changes, its DBE Program must be updated to reflect the new goal. If you have determined you are a threshold recipient and have already developed a DBE Program for a previous FFY, you need only revise and resubmit the Program to reflect your new DBE goal and any other revisions that may be necessary for the current year. Non-Threshold Recipients Rural Transit Program recipients who reasonably anticipate awarding $250,000 or less in prime contracts in a FFY are not required to submit a DBE Program. This affects new recipients or recipients who do not have an existing DBE Program. If a recipient is administering a DBE Program which started in a prior year, but now anticipates awarding $250,000 or less in prime contracts in the next FFY, it is not required to develop overall goals for the upcoming FFY. However, the recipient’s existing DBE Program must remain in effect. If the recipient expects to award prime contracts exceeding $250,000 in the following FFY, it would be required to timely


publish the proposed goal and submit the goal to ODOT by the deadline. Although not required, a recipient who anticipates awarding $250,000 or less in prime contracts may submit a DBE goal for that FFY. However, if a recipient chooses to submit a goal, it must meet all the requirements set forth in 49 CFR Sec. 26.45. All prospective DBEs must be certified by the Small Business Administration (SBA), ODOT’s Office of Contracts, or a USDOT grantee. This latter certification requires the grantee, acting within specific FTA guidelines, to determine DBE certification eligibility. For more information regarding the self-certification process, contact the ODOT Office of Transit DBE Program Coordinator. Also, refer to the following websites for additional information: http://osdbuweb.dot.gov/DBEProgram/ and http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/DBE.aspx. K. AMERICANS WITH DISABILITIES ACT (ADA) The Americans with Disabilities Act of 1990, federal civil rights legislation, provides equal access to employment, public transportation, public places, and telecommunications for individuals with disabilities. Title I refers to employment and is designed to remove barriers which prevent qualified people with disabilities from having access to the same employment opportunities available to others. Discrimination is prohibited in all areas of employment including hiring, advancement, discharge, employee compensation, and job training. Title II refers to public services and applies to all programs, activities, and services provided or operated by State and local governments. Title II also applies to private entities which are under contract to public entities. Private entities which provide service under contract to public entities “stand in the shoes” of the public entity and must comply with all ADA regulations which apply to the public entity. Public entities must provide “program accessibility” in the form of physical access to buildings as well as access to all communications including telephone and print material. Title III prohibits discrimination in places of public accommodation and in services operated by private entities. This section primarily addresses removing barriers to buildings and facilities. Title IV refers to telecommunications such as the use of TTDs or relay services, and Title V contains miscellaneous provisions. General Provisions The ADA regulations set minimum standards. Transit systems can choose to exceed these limits based on local circumstances. The following ADA requirements apply to all providers of public transportation: All printed material distributed to the public about public transit service must be available in accessible formats. Accessible material must be available on request and in a format the person can use such as large print, audio tape, and Braille. NOTE: This does not mean that all material must be available in every format, but the process to obtain the requested material in the requested format must be in place so that the material can be available within a reasonable period of time.


Individuals with speech and/or hearing impairments must have access to information provided by telephone. This can be accomplished by equipping a phone line with a TTD or by using the Ohio Relay Service. The training requirement for all ADA-related transportation services applies to both public and private entities in either demand response or fixed route service. Personnel are to be trained to proficiency as appropriate to their duties and includes drivers, dispatchers, supervisors, customer service representatives, etc. All access-related equipment including wheelchair lifts, securement systems, and public address systems must be maintained in good operating condition and repaired promptly when necessary. When equipment is out of order, reasonable steps must be taken to accommodate passengers who would otherwise use the equipment. Every effort must be made to repair lifts before the next day of service. If the lift cannot be repaired the next day, the vehicle can remain in service only if no spare is available. Vehicles with inoperable lifts can be kept in service for no more than three days for areas with population over 50,000 or five days for areas under 50,000. Transit providers must carry a wheelchair and occupant if the lift and vehicle can physically accommodate them, or unless doing so is inconsistent with legitimate safety requirements. Legitimate safety requirements include such circumstances as a wheelchair of such size that it would block an aisle, or would be too large to fully enter a railcar, would block the vestibule, or would interfere with the safe evacuation of passengers in an emergency. These requirements must be based on actual risks, not on mere speculation, stereotypes, or generalizations about individuals with disabilities or about the devices they use for mobility purposes. Also, they do not apply to securement; a transit provider cannot impose a limitation on the transportation of wheelchairs and other mobility aids based on the inability of the securement system to secure the device to the satisfaction of the transportation provider. It would be inconsistent with this rule to allow transportation providers to deny service to people who use wheelchairs just because particular devices may be problematic from a securement point of view. The definition of “wheelchair” has been redefined. The reference to “three- or four-wheeled devices” has been changed to “three- or more wheeled devices.” A wheelchair cannot be excluded now solely on the basis of having a larger number of wheels.

♦ Passengers who cannot use the steps to enter the vehicle must be allowed to use the wheelchair lift.

♦ Passengers with disabilities must be allowed to travel with service animals which are trained to assist them.

♦ Passengers must be permitted to travel with portable oxygen. Personal care attendants (PCAs) must be allowed to travel with a passenger with a disability; a PCA is not considered a companion. On complementary paratransit systems, PCAs are not to be charged a fare. On fixed route systems, a fare can be charged. Systems cannot require that a passenger travel with an attendant. Service can be refused only if a passenger engages in violent, seriously disruptive, or illegal conduct.


Special charges or extra fares cannot be imposed on individuals with disabilities, even if additional services are required, unless the fees apply to all other passengers as well. Fixed Route Systems For transit systems providing fixed route service, all new vehicles purchased or leased must be accessible. If an entity purchases or leases a used vehicle, a good faith effort must be made to locate a vehicle which is accessible. The following provisions also apply: Drivers must announce stops at all transfer points, at major intersections, and on request of passengers with disabilities. At stops served by more than one route, methods of communication must be used to allow passengers with vision impairments or other disabilities to identify vehicles. Passengers who use the wheelchair lift must be allowed to disembark at any stop unless the lift cannot be deployed, the lift would be damaged if it were deployed, or temporary conditions at the stop make disembarking unsafe for all passengers. Priority seating must be provided on all fixed route vehicles, although passengers with disabilities cannot be required to sit in these seats. Service providers must implement programs for regular and frequent maintenance checks of wheelchair lifts. Fixed route operators must provide complementary paratransit or other special services to individuals with disabilities that is comparable to the level of service provided to individuals without disabilities who use the fixed route system. Most systems provide a complementary paratransit service. The following requirements apply: Complementary Paratransit Plans Complementary paratransit plans documenting ADA service were to be completed in 1992 with full compliance by 1997. Once a system has met the ADA complementary paratransit annual certification of continued compliance, it is to be submitted with the Rural Transit Program application every year. New start systems must develop a plan and submit it with their initial application. ADA Paratransit Eligibility The system must establish a process for determining ADA paratransit eligibility. Eligibility may be determined on a trip-by-trip basis or on a temporary basis. Please refer to the “Americans with Disabilities Act (ADA) Complementary Paratransit Eligibility Manual” for further information. Personal Care Attendants and Companions Paratransit service must also be provided to a personal care attendant (PCA) traveling with an ADA-eligible passenger. In addition to the PCA, an eligible passenger can travel with one companion. No-Show Policies Penalties for a pattern or practice of missing scheduled trips can be imposed according to the system’s no-show policy. Systems must differentiate between cancelled trips and no-shows.


Complementary Paratransit Service Criteria Complementary paratransit service must be comparable to fixed route service based on the following: Service area - Complementary paratransit service must operate in the same service area as the fixed route system, or, at a minimum, be provided within corridors with a width of three-fourths of a mile on each side of each fixed route including a three-fourths mile radius at the end of the routes. Response time - Passengers must be able to make reservations during normal business hours the day before service is needed. Passengers can be offered a trip one hour on either side of the requested time. If trip time cannot be negotiated within these boundaries, it is considered a trip denial. ODOT requires transit systems to track trip denials and indicate which trips are denied to individuals with disabilities. Fare Structure - Systems can charge paratransit passengers as much as twice the fixed route base fare. Companions must pay the same fare as the eligible passenger. PCAs ride free. Contract rates for agencies must be at the fully allocated cost (See Equitable Contract Rates for Rural Transit Systems available at http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/Rural.aspx). Trip Purpose - There can be no restrictions or priorities based on trip purpose. Days and hours of service - These must be the same as for the fixed route system. Capacity constraints - Trip requests cannot be denied because of capacity constraints. There can be no limits on number of trips a passenger can take in a given period of time, and there can be no waiting lists for access to the service. There can be no operational pattern or practice such as significant number of late pickups, trip denials, or excessively long trips, which limit the availability of service. Systems can provide subscription service. However, if service is constrained, subscription service cannot account for more than 50% of the number of trips available. Subscription service is not required by the ADA, so restrictions such as waiting lists and trip prioritization can be applied. Origin to Destination The U.S. DOT’s ADA regulation, 49 CFR §37.129(a), provides that, with the exception of certain situations in which on-call bus service or feeder paratransit service is appropriate, “complementary paratransit service for ADA paratransit eligible persons shall be origin-to-destination service.” This term was deliberately chosen to avoid using either the term “curb-to-curb” service or the term “door-to-door” service and to emphasize the obligation of transit providers to ensure that eligible passengers are actually able to use paratransit service to get from their point of origin to their point of destination. However, this does not mean that each trip must meet the “origin to destination” criteria. FTA has indicated that in the local paratransit planning process, it would be consistent with this provision for a transit provider to establish either door-to-door or curb-to-curb service as the basic mode of paratransit service. Where the local planning process establishes curb-to-curb service as the basic paratransit service mode, however, provision should still be made to ensure that the service available to each passenger actually gets the passenger from his or her point of origin to his or her destination point. To meet this origin to destination requirement, service may need to be provided to some individuals, or at some locations, in a way that goes beyond curb-to-curb service.


However, this is not intended to require drivers to, for lengthy periods of time, have to leave their vehicles unattended or lose the ability to keep their vehicles under visual observation, or take actions that would be clearly unsafe (e.g., back a vehicle down a narrow alley in specific circumstances that would present a direct threat to safety). These activities would come under the heading of “fundamental alteration” or “undue burden.” This particular criteria is explained further on the FTA website at http://www.fta.dot.gov/12325_3891.html. You should read this information thoroughly to know what is required for your system to meet ADA compliance in this area. Demand Response Systems The following ADA requirements apply to systems providing demand response service: All newly purchased or leased vehicles must be accessible unless it can be demonstrated that the system, when viewed in its entirety including back-up or spare vehicles, provides equivalent service to persons with disabilities. ODOT requires that, at a minimum, 50% of the rural transit system’s fleet be accessible. To be considered “equivalent,” service must be equal to that provided to individuals without disabilities. Service must be equivalent in the following areas: Response time - This is calculated as the time between the request for service and the actual trip and must be the same for passengers without disabilities as for those with disabilities. Fares - Fares must be the same for all passengers. There cannot be additional charges for accommodating mobility aids Service area - The geographic area must be the same for all passengers. Days and hours of service - Service cannot be limited by certain hours of the day or days of the week for passengers with disabilities. Trip purpose - Service cannot be limited based on trip purpose for passengers with disabilities. Information and reservations - Alternate forms of printed material must be available on request. NOTE: This does not mean that all material must be available in every format, but the process to obtain the requested material in the requested format must be in place so that the material can be available within a reasonable period of time. Systems must have access to a TTD or know how to use the Ohio Relay Service. Capacity constraints - Service must be provided on the same basis to passengers with disabilities as to those without disabilities. In looking at the system as a whole, there cannot be a disproportionate number of trip denials, excessively long trips, excessively long wait times, or a large number of missed trips for passengers with disabilities. Passengers can be offered a trip one hour on either side of the requested time. If trip time cannot be negotiated within these boundaries, it is considered a trip denial. ODOT requires transit systems to track trip denials and indicate which trips are denied to individuals with disabilities. See Chapter VI, Invoicing Instructions and Operating Data, of the Rural Transit Manual for more information. Spare Ratio and ADA Compliance


Grantees with a peak-hour operating requirement of 1 to 10 vehicles are allowed a spare ratio of two back-up vehicles; grantees with a peak-hour fleet of 11 or more are allowed a spare ratio of 20% of their fleet. Also, 50% of the grantee's fleet must be wheelchair accessible and must include back-up vehicles. Grantees may enter into a contract with another provider for wheelchair accessible vehicles as long as the vehicles are available during the days and times required to meet Americans with Disabilities Act compliance. The ADA and its implementing regulations continue to be interpreted through the courts. However, the spirit of the law remains unchanged – equal access to all transit service for passengers without disabilities as well as those with disabilities. Systems must keep in mind that the intent of the law is to expand access to public transit service rather than further limit access to service. Systems can and should work closely with their advisory committees to monitor the service as well as to resolve problems or misunderstandings. The ADA regulations are available at http://www.fta.dot.gov/civilrights/12325_3884.html. Title VI Rural Transit Program grantees/contract service providers must adhere to Title VI of the Civil Rights Act of 1964 as amended, Section 601. This section states, “No person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance.” The grantee must submit its Title VI Assurances to the ODOT Office of Transit with its initial application for federal funding. The general requirements listed in FTA Circular 4702.1A are submitted to the Office of Transit annually with an update to FTA every three years. For the FTA Circular, go to http://www.fta.dot.gov/legislation_law/12349_5956.html Equal Employment Opportunity (EEO) Rural Transit Program grantees/contract service providers must comply with the provisions of FTA Circular 4704.1 which sets forth how Rural Transit grantees/contract service providers can achieve EEO to prevent the exclusion of or discrimination against, any person on the grounds of race, color, creed, national origin, sex, or age as it pertains to the recruitment, selection, promotion, termination, compensation, training, or other terms and conditions of employment. Rural Transit grantees/contract service providers which received more than $1 million of federal funds in the previous year and have 50 or more transit employees must development and submit an EEO Program to ODOT that includes an EEO Policy Statement, how the EEO information is disseminated to existing and potential employees, and the transit system personnel responsible for EEO compliance. L. DRUG AND ALCOHOL REQUIREMENTS Policy The FTA recognizes that prohibited drug use and alcohol misuse affect everyone in the United States in one way or another. In response to passage of the Omnibus Transportation Employee Testing Act of 1991, the FTA has published its regulation prohibiting drug use and alcohol misuse by transit employees and requiring transit agencies to test for prohibited drug use and alcohol misuse. 49 CFR


Part 655, “Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations,” is the FTA regulation that prohibits drug use and alcohol misuse in the transit industry. In addition, the Department of Transportation has issued 49 CFR Part 40, “Procedures for Transportation Workplace Drug and Alcohol Testing Programs,” which prescribes testing methods to be followed. This regulation is administered by the U.S. DOT Office of Drug and Alcohol Policy and Compliance (ODAPC) and pertains to the drug and alcohol procedures for ALL U.S. DOT departments. Additional documents summarizing the federal guidelines include FTA’s “Implementation Guidelines for Drug and Alcohol Regulations in Mass Transit” (August 2008) and all issues of the FTA Drug and Alcohol Regulation Updates Newsletters. Who Must Participate? Any recipient of Federal financial assistance under the Rural Transit Program must comply with these regulations. For new start systems, implementing the FTA required drug and alcohol program may require modifications to existing substance abuse policies and programs or, in some cases, develop entirely new programs. The critical program elements will be drug and alcohol testing of employees and applicants for employment in positions that require the performance of safety-sensitive functions. It is in this context that you must formulate drug and alcohol policies, communicate them to your employees, and conduct drug and alcohol testing. FTA regulations require that the following program elements be implemented:

♦ A policy statement on drug use and alcohol misuse in the workplace and communication of such to employees;

♦ An employee and supervisor education and training program; ♦ A prohibited drug and alcohol testing program for employees and applicants for safety-

sensitive positions; ♦ Evaluation of the employee who has violated the drug and alcohol regulations; and ♦ Administrative procedures for record keeping, reporting, releasing information, and certifying

compliance.

Review of D&A Collection Site Rural Transit Grantees must comply with the requirements of the Federal Transit Administration’s (FTA’s) Drug and Alcohol Testing Program, which includes the implementation of pre-employment, post accident, and reasonable suspicion testing. As part of this program, grantees must document an annual review of its collection site(s). The purpose of this review is to ensure that the collection site is in compliance with Title 49 CFR Part 40 – Procedures for Transportation Workplace Drug and Alcohol Testing Programs (October 2010). This documentation must be kept on file and available for review during ODOT TARs. Collection site checklists are available at http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/DrugAlcohol.aspx to document these reviews. MIS Reports Each Rural Transit grantee must establish its own password and submit annual MIS information online at http://transit-safety.volpe.dot.gov/DrugAndAlcohol/DAMIS/default.aspx. Typically, the date for submission of these reports by Rural Transit grantees is early February of each year (check the calendar on the ODOT website,


http://www.dot.state.oh.us/Divisions/Planning/Transit/Lists/PT%20Calendar/AllItems.aspx). Each grantee (e.g., ACTS) and its service provider (e.g., MV Transportation) must submit its own form, however, the grantee (e.g., ACTS) submits its form with all zeros. The ODOT Office of Transit reviews and approves each system/provider’s form online. If there is a problem or questions with an MIS report, ODOT will contact the system and request that the correction be made online. Once each grantee’s/provider’s MIS report is submitted and is deemed acceptable, ODOT will formally notify FTA of completion.

For more information, contact the ODOT Drug and Alcohol Policy Coordinator.

M. BLOODBORNE PATHOGENS POLICY Bloodborne pathogen training is mandated by OSHA Regulation 1910.1030. Rural Transit grantees/contract service providers are required to develop a plan that addresses the following elements: 1. Training must be provided to all drivers and mechanics; and 2. All transit system vehicles must have a bio-hazard kit on board at all times with the following

items:

a) Disposable latex or vinyl gloves (minimum of two pair); b) Puncture-resistant utility gloves; c) Paper towels; d) Dust pan and brush; e) Tongs for picking up large sharps; f) Commercial disinfectant spray or foam that is effective on HIV-1 and TB; g) Two fluorescent orange or orange-red bags with “BIOHAZARD” printed in a contrasting

color; h) Two additional plastic bags in which the first bag can be placed if the first orange/orange-red

bag is contaminated by bodily fluid; i) Solidifying powder or kitty litter or commercial absorbent powder; j) Face mask that covers mouth and nose, or mouth only if a face shield is used; k) Goggles; l) Antiseptic hand wipes; m) A container for sharps (stored with kit or near kit). The container must be sealable, leak proof,

puncture resistant, and cleanable; and n) Latex shoe covers.

3. OSHA regulations as part of employee handbook; 4. A Hepatitis B vaccine program; 5. An Exposure Plan including disposal and reporting of incident/accidents; and 6. Written documentation of who the vaccine was offered to and who turned it down. A thorough explanation of a Transit Manager’s responsibilities to implement the proper training and procedures is contained in the document “Managing Bloodborne Pathogens: Guidelines for Transit Managers,” Erskine Walther, Walther Consultancy, Greensboro, NC 27401, September 1993. You can also visit the following website: www.ctaa.org/ctap/pubs/blood.shtml. or at http://www.osha.gov/SLTC/bloodbornepathogens/index.html. Your local Health Department may also be able to provide additional information.


N. DEPARTMENT OF LABOR Under 49 USC Section 5333 (b), Rural Transit Programs are required to have fair and equitable arrangements in place to protect the interests of employees and to ensure that their positions are not worsened by Federal assistance. The Department of Labor is responsible for the administration of 5333 (b). An agreement was made between USDOT and USDOL, in Section 5311 funding, that DOTs will include Section 5333 (b) compliance in grant requirements and submit the documentation and information to DOL for approval. Rural Transit grantees/contract service providers must include in their application an up-to-date list of transit providers and their union representation located in the grantee’s service area. Rural Transit grantees/contract service providers applying for federal funding must administer their transit program under the terms and conditions set forth for 49 USC Section 5333 (b) Special Warranty. New start systems must submit a signed one-time certification adhering to Special Warranty terms and conditions for the Rural Transit Program. After the one-time certification, annual reaffirmation as part of the application process and posting the notice of the warranty at the grantee’s or provider’s work site are the only requirements. O. INVENTORY Rural Transit grantees/contract service providers are required to maintain Vehicle, Office and Garage Equipment inventories on a continuing basis. Equipment meeting the following criteria must be included:

♦ Purchase price of $1,000 or greater (excluding computer and radio equipment); ♦ A useful life of a least one year; and ♦ Must be able to be inventoried (i.e., not a consumable item such as fuel or lubricants).

Inventories maintained by the grantee must include all vehicles and equipment purchased with state and federal dollars, as well as all items used by the transit system whether or not the items were purchased with state and federal dollars. On an annual basis, Rural Transit grantees/contract service providers must submit through the ODOT Public Transportation Facilities and Equipment Management System (PTMS) vehicle, office and garage equipment used to supply public transit. All computer equipment and radios must be included, regardless of cost. See Chapter VIII, Vehicles and Equipment, of the Rural Transit Manual for further guidance. P. MISCELLANEOUS CONTRACT REQUIREMENTS Budget Revisions/Contract Amendments Rural Transit grantees/contract service providers should review their expenses at least quarterly. Cost overruns and/or substantial under expenditures should be analyzed carefully. A budget revision may be necessary if any line item is 10% greater than what was included in the original budget or if no line item was included in the original budget, as long as the revision does not result in exceeding the total approved budget. Although requests for budget amendments can be submitted at any time, ODOT will not issue any operating amendments for additional funding until a final December invoice is received and the actual amount of additional funds are determined. Capital amendments may also be submitted at any time and must adequately justify the reason for the amendment. All budget amendments must be


approved by the Administrator, Office of Transit on a case-by-case basis. See Chapter V, Financial Management, of the Rural Transit Manual. Vehicle Maintenance Rural Transit grantees/contract service providers are responsible for ensuring that adequate and proper vehicle maintenance is conducted on a regular basis. A formalized vehicle maintenance program is an essential part of any transit operation in order to safeguard equipment purchased with federal funds. At a minimum, vehicles must be maintained according to the manufacturer’s recommendations. The overall vehicle maintenance program should include the following:

♦ A schedule for routine servicing and maintenance or a preventive maintenance program; ♦ Requirements for routine vehicle inspections; ♦ Procedures for implementing warranty work; ♦ A system for tracking supplier’s performance; ♦ A method for determining whether or not to contract out maintenance work totally or in part

or to conduct it onsite; and ♦ An adequate record keeping system and clear chain of command.

As a part of the preventive maintenance program, the transit system must have a checklist in place for daily pre-trip vehicle inspections. The grantee is responsible for ensuring each driver conducts a daily pre-trip inspection of the vehicle prior to placing the vehicle in revenue service. At a minimum, the checklist must document the following: daily inspection and testing of wheelchair restraints, wheelchair lifts and/or access ramps, lights, windshield wiper/washers, emergency equipment, mirrors, and brakes. The driver must also check the interior of the vehicle and equipment within the vehicle to ensure it is cleaned and maintained in good working order. Insurance Requirement As specified in the Rural Transit Grant Contract, the grantee shall purchase and maintain throughout the project life a comprehensive policy of insurance upon the project equipment. Said policy shall include collision, theft, and liability insurance. Collision and theft insurance shall be maintained for the project equipment in an amount no less than the federal and state participation rate of the fair market value. Liability insurance shall protect U.S. DOT, ODOT and the grantee from claims for damages to property and bodily injury including death, which may arise from or in connection with operating of the project equipment by the grantee or by anyone directly or indirectly associated with the grantee. Unless the grantee receives prior written permission of the Office of Transit Administrator to carry a lower amount of liability insurance the grantee shall maintain $500,000 per occurrence and $500,000 in the aggregate; $100,00 for bodily injury to or death of any one person arising out of any one accident and the sum of not less than $300,000 for bodily injury to or death of more than one person in any one accident; and for the sum of $50,000 for damage to property arising from any one accident. Driver Requirements The grantee must have documented proof that all drivers are at a minimum eighteen (18) years of age. All drivers must have a valid driver’s license issued pursuant to Chapter 4506 or 4507 of the Ohio Revised Code or its equivalent, if the applicant is a resident of another state. The grantee must obtain a recent certified abstract of all applicants’ record of convictions for violations of motor vehicle laws provided by the registrar of motor vehicles pursuant to Section


4509.05 of the Ohio Revised Code or its equivalent, if the applicant is a resident of another state. The maximum number of points a driver may have on his or her abstract is six (6). The grantee must conduct a criminal records background check through the Bureau of Criminal Identification and Investigation for all applicants. Each grantee must adopt a criminal findings policy detailing how it will handle the outcome of the background check. Required Driver Training In addition to the required drug and alcohol, bloodborne pathogens, and wheelchair securement training, all drivers are required to complete DRIVE: Transporting Older and Disabled Passengers, Passenger Assistance: Certified Basics for Trainers (PASS), or an equivalent within six months of being hired. Trainers for the required training must have a certificate of completion from a state or nationally recognized organization. All drivers should participate in regular staff meetings or safety meetings throughout the year to maintain their skills and to learn new information. Communication Requirement The grantee must be capable of two-way communication with all vehicles via computerized global information systems, communication radio and/or cellular telephones. All two-way radio communication devices hall have either a 100 volt or 12 volt power source backup. Brochures and Marketing Requirement FTA, pursuant to the Title VI of the Civil Rights Act of 1964, requires that no person in the United States on the grounds of race, color, creed, national origin, sex, age or disability, be excluded from participating in, or denied the benefits of, or be subject to discrimination under any project, program or activity funded in whole or in part through financial assistance under the Section 5311 program. ODOT requires each grant recipient to develop a system brochure. Systems must assure public information materials such as brochures, schedules and website notify the public of its protection under Title VI, how to obtain additional information on nondiscrimination obligations, and how to file a complaint. Brochures and all revisions must be submitted to ODOT for review prior to distribution and must include the following items:

♦ Mission statement ♦ System name ♦ System identification as public transportation ♦ Contact name ♦ Address ♦ Phone number ♦ TDD and/or Ohio Relay Number ♦ Type of service ♦ Hours/days of operation ♦ Service Area ♦ Fares ♦ How to receive reduced fares ♦ Funding sources ♦ Complaint contact ♦ Alternative formats available


♦ Service animals permitted ♦ Passengers with portable oxygen tanks permitted ♦ Passengers permitted to use of ADA lift equipment ♦ Personal Care Attendants may ride free of charge ♦ Non-discrimination statement ♦ Date of last revision

In addition to required information, grantees may wish to include the following information in their brochure, in a separate rider’s guide and other marketing materials:

♦ No show policy ♦ Cancellation policy ♦ Information on passenger assistance ♦ How to ride information ♦ Established pick up window ♦ Seatbelt and child safety restraint policy ♦ Age requirement to ride unsupervised ♦ Bad weather instructions ♦ Passenger guidelines/rules ♦ Animal transport policy ♦ Limit on number of bags/items

Specific formatting is NOT required by ODOT, but grantees must ensure brochures are easily understood and are available in alternative formats such as large print. Grantee may contact their ODOT System Representative for sample brochures. In addition, grantees are required to market their services to ensure everyone within the service area is aware public transportation is available. Marketing includes, but is not limited to, system brochures, system website, newspaper and television advertisements, flyer participation in fairs and parades, and distribution of other marketing material such as pens, prescription bags, and coffee mugs. Grantees may develop marketing material (such as brochures and flyers) in-house or may elect to use professional services. Marketing material must be available in an accessible format upon request. Marketing materials must be distributed and made available throughout the community. All marketing material should be distributed to doctor’s offices, banks, grocery stores, senior centers, human service agencies, county administration buildings, chambers of commerce and other locations easily accessible by the public. Q. TECHNICAL ASSISTANCE REVIEWS (TARS) As the administrator of the Rural Transit Program, ODOT must assure FTA that all Rural Transit grantees/contract service providers are complying with the various Federal regulations. TARs provide ODOT, as the administering and funding agency, the opportunity to learn more about the rural transit system’s operation, ensure local compliance with State and Federal requirements and thus assure FTA of that compliance, and to provide technical assistance in an effort to improve and enhance the rural transit program, both locally and statewide.


ODOT’s goal is to conduct a TAR for each system approximately once every four years. The reviews are conducted by ODOT staff. The TAR tool used by ODOT staff during the review is available on the ODOT website at: http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/TAR.aspx. ODOT notifies the Grantee/Service Contract Provider of an upcoming TAR as early as possible but typically three to four weeks prior to the site visit. The initial contact is made via telephone and then followed up in writing. ODOT provides a list of questions to each system used during the site visit. The list allows each review to be conducted uniformly and ensures that all TAR reports follow the same format. Three functional areas are reviewed in each TAR: Administrative, Operations and Maintenance, and Regulatory Compliance. Each functional area has several sub areas. During the site visit, interviews are conducted with al staff involved with the transit operation, the grantee and the service provider. TAR reviewers also ride the system and interview passengers. The grantee may be asked to provide copies of various documents prior to the review or have them available during the site visit. The grantee and/or the service provider may also be asked to help coordinate schedules and arrange meeting sites for the interviews. After the site visit, the TAR report is sent to the grantee. The report indicates whether each functional sub area is satisfactory or needs improvement. The report includes recommendations and requirements to address each sub area needing improvement. A list of the recommendations and requirements is included at the end of the report in an Implementation Schedule. Requirements are higher priority items that must be implemented as soon as possible to bring the Rural Transit System in compliance with Federal and State requirements. The remaining recommendations are also important and offer suggestions for improvement of the transit system’s overall operation. The grantee is asked to complete a draft Implementation Schedule and send it back to ODOT within three weeks. The implementation dates in the schedule represent the grantee’s best estimate of when they can reasonably expect to implement each recommendation or requirement. ODOT reviews the grantee’s draft Implementation Schedule for reasonableness and negotiates implementation dates as necessary. After negotiation, ODOT will produce a final Implementation Schedule to monitor and document completion of each recommendation and requirement during regular reviews and site visits. R. REQUIRED REPORTS AND DEADLINES Various types of required reports and deadlines have been mentioned throughout this guide. Rural Transit Program Reporting Requirements and Deadlines are included in the Rural Transit Calendar located on the ODOT website at: http://www.dot.state.oh.us/Divisions/Planning/Transit/Lists/PT%20Calendar/AllItems.aspx. The calendar is a good reference tool which can be printed and posted and be reviewed periodically. S. USE OF REVENUE VEHICLES IN NONREVENUE SERVICE The purpose of the Rural Transit Program is to provide general public transportation service for a local community or communities. Vehicles purchased in whole or in part with ODOT and FTA funding, therefore, must be used exclusively in the provision of general public, i.e. revenue, service. ODOT recognizes, however, that there may be some instances where a nonrevenue vehicle is required, e.g., maintenance vehicle or other support vehicle. In this instance, the need for the support


vehicle would be justified in the transit system’s grant application. Support vehicles are approved on a case by case basis. Vehicles purchased for revenue service, either for daily service or vehicles purchased or designated as back-up, are not to be used for transportation of transit system staff to meetings, conferences, training, or other similar events. If a vehicle has been authorized for disposition and the rural transit system intends to keep that vehicle for administrative or support purposes, written authorization must be requested and received from ODOT prior to disposition. The request must adequately describe the circumstances which justify the need for a support vehicle. If approved, this vehicle would then be maintained on the transit system’s PTMS inventory but noted as support and would not be counted in the system’s fleet spare ratio. These cases are, however, reviewed on a case by case basis. Other Eligible Service The purpose of Section 5311 assistance is the provision of public transportation (passenger) services. Incidental use of a Section 5311 vehicle for non-passenger transportation on an regular basis, for example, package delivery, must not result in a reduction of service quality or availability of public transportation service. This policy on incidental use does not preclude the use of Section 5311 assistance to support the transportation of passengers by a private provider not primarily engaged in passenger transportation, for example, a contract mail carrier which incidentally provides intercity passenger transportation. Rural Transit grantees/contract service providers receiving assistance under Section 5310 or Section 5311 may coordinate and assist in providing meal delivery service for homebound persons on a regular basis if the meal delivery services do not conflict with the provision of transit services or result in a reduction of service to transit passengers. It is expected that the operating costs attributable to meal delivery will be borne by the nutrition program which provides the meals. Section 5311 capital assistance may not be used to purchase special vehicles used solely for meal delivery or to purchase specialized equipment such as racks or heating or refrigeration units related to meal delivery.