Alaska State Management Plan

Transcription

1 Alaska State Management Plan Alaska Department f Transprtatin & Public Facilities Alaska Cmmunity Transit 2016

2 TABLE OF CONTENTS FOREWORD... 2 I. INTRODUCTION... 3 II. PROGRAM INFORMATION... 4 A. SECTION 5303/5304 METROPOLITAN PLANNING AND STATE PLANNING AND RESEARCH PROGRAM... 4 B. SECTION 5310 ENHANCED MOBILITY OF SENIORS AND INDIVIDUALS WITH DISABILITIES... 5 C. SECTION 5311 FORMULA GRANT FOR RURAL AREAS... 6 D. RURAL TRANSPORTATION ASSISTANCE PROGRAM... 8 E. RURAL INTERCITY BUS SERVICE... 8 F. SECTION 5339 BUS AND BUS FACILITIES... 8 G. ALASKA MENTAL HEALTH TRUST... 9 H. ALASKA STATE GENERAL FUNDS... 9 III. GENERAL INFORMATION... 9 A. TRANSFER OF FUNDS... 9 B. ANNUAL PROGRAM OF PROJECTS DEVELOPMENT AND APPROVAL PROCESS... 9 C. COORDINATION... 9 D. PRIVATE SECTOR PARTICIPATION E. STATE ADMINISTRATION AND TECHNICAL ASSISTANCE F. CIVIL RIGHTS G. SECTION 504 AND AMERICANS WITH DISABILITIES ACT (ADA) H. PROGRAM MEASURES I. PROGRAM MANAGEMENT Page 1

3 FOREWORD The purpse f this state management plan is t present Alaska Cmmunity Transit s (ACT) plicies regarding administratin f Federal Transit Administratin (FTA) and Alaska Mental Health Trust (AMHT) grant prgrams that supprt public and human services transprtatin. The purpse is nt t restate FTA plicy; thus, ACT des nt restate FTA plicy in instances where ACT has nt adpted an additinal plicy. Prcedures relating t administratin f these prgrams are presented in separate dcuments. ACT slicited public cmment befre adpting this plan. Page 2

4 I. INTRODUCTION The Federal Transit Administratin (FTA) requires each state that receives and administers Federal funding under Sectin 5310, Enhanced Mbility f Senirs and Individuals with Disabilities; Sectin 5311, Frmula Prgram fr Grants t Rural Areas; and Sectin 5339, Bus and Bus Facilities Frmula Prgram, t have an apprved State Management Plan (SMP) n file with the apprpriate reginal FTA ffice. Each state must update the SMP regularly t incrprate management changes that ccur. This SMP is intended t facilitate the Alaska Department f Transprtatin & Public Facilities (DOT&PF) management, and FTA s versight, f Alaska s transit prgrams by dcumenting the State s plicies relating t the administratin f these prgrams. Prcedures are addressed in ther dcuments. The Gvernr f the State f Alaska has designated DOT&PF t receive and disburse FTA grant funds. The Alaska Cmmunity Transit (ACT) ffice administers the FTA grant prgrams, as well as the Alaska Mental Health Trust Authrity (AMHT) transprtatin funds and State General Funds fr public transprtatin. ACT s missin is t prvide access and mbility within the cmmunities f Alaska, bth urban and rural, thrugh transit services that are safe, appealing, efficient, and easily available t bth the general public and transit dependent ppulatins. T this end, ACT will: Assist in the maintenance, develpment, and imprvement f public transprtatin systems, including prviding a mechanism fr systematic replacement f existing fleets Facilitate the mst efficient use f all funds and mst effective delivery f services thrugh the crdinatin f prgrams and services Encurage greater lcal supprt f transit systems, fstering a federal state lcal partnership in maintaining a stable funding base fr transit Ensure that transit investment decisins cnsider plicy directins, custmer input, available resurces, system perfrmance and funding levels Develp and maintain psitive relatinships with DOT&PF custmers thrugh cmmunicatins and respnsiveness Maximize revenue streams and explre innvative funding ptins t sustain and develp transit services Supplement rather than supplant lcal resurces in achieving the maximum benefit frm available subsidies Effect a fair and equitable distributin f funds acrss the State, assuring that urban areas, federallyrecgnized tribes, and rural areas are all given an pprtunity t participate Recgnize that the transprtatin dependency f individuals islated frm essential services shuld be a determinant in the distributin f funds Educate Alaskans n the benefits f public transprtatin and requirements fr crdinatin Prmte mbility management and demand driven transit system planning Page 3

5 II. PROGRAM INFORMATION A. SECTION 5303/5304 METROPOLITAN PLANNING AND STATE PLANNING AND RESEARCH PROGRAM 1. GOALS & OBJECTIVES The Alaska Sectin 5303/5304 Metrplitan Planning and State Planning and Research Prgram (MPP) prvides fr cntracts and grants fr the fllwing: prjects related t preparing transprtatin plans and prgrams; planning, engineering, designing and evaluating a public transprtatin prject; and cnducting technical studies related t public transprtatin. Sectin 5303 funding is used fr transit planning in the metrplitan areas f the State. Sectin 5304 funding prvides fr rural planning and technical studies n a statewide level, as well as planning and technical assistance t agencies in rural and small urban areas. Prgram bjectives are t: Prepare a strategic plan that includes the missin, bjectives, initiatives, and perfrmance gals fr crdinated and cmmunity transprtatin in the State and perfrming ther tasks related t imprving agency crdinatin and cmbining f services t achieve cst savings in the funding and delivery f cmmunity and public transprtatin services Encurage the develpment f innvative appraches t planning, design and evaluatin f transit services and facilities Fund planning and technical prjects which serve statewide and lcal needs, including lcal peratin f public transprtatin 2. ROLES & RESPONSIBILITIES ACT administers bth Sectin 5303 and 5304 grant prgrams. ACT: Ntifies eligible lcal entities f the availability f MPP assistance Determines hw Sectin 5303 assistance shuld be allcated t urbanized areas Reviews the Unified Planning Wrk Prgram (UPWP) wrk tasks Develps and frwards the Sectin 5303 applicatin t FTA Ensures cmpliance with Federal requirements by all subrecipients Mnitrs the subrecipients prject activity Oversees prject audit and grant clseut 3. ELIGIBLE SUBRECIPIENTS ACT awards Sectin 5303 funds t the Municipality f Anchrage and the Fairbanks Nrth Star Brugh by agreement between the metrplitan planning rganizatins, Anchrage Metrplitan Area Transprtatin Slutins (AMATS) and Fairbanks Metrplitan Area Transprtatin System (FMATS), and the municipalities. 4. LOCAL SHARE & LOCAL FUNDING REQUIREMENTS The federal share is 80 percent and the lcal match is 20 percent. All f the lcal share must be cash r services prvided frm surces ther than United States Department f Transprtatin (USDOT) funds, except where permitted t be used as match fr ther USDOT funds. 5. PROJECT SELECTION CRITERIA & METHOD OF FUND DISTRIBUTION Sectin 5303 funds are distributed t the Municipality f Anchrage and the Fairbanks Nrth Star Brugh accrding t the FHWA apprved metrplitan planning distributin frmula in Alaska. Prjects must be Page 4

6 included in the UPWP. In rder t make the best use f funds and allw fr mre planning ptins, these are tw year grants. ACT awards Sectin 5304 funds n a discretinary basis. B. SECTION 5310 ENHANCED MOBILITY OF SENIORS AND INDIVIDUALS WITH DISABILITIES 1. GOALS & OBJECTIVES The purpse f Sectin 5310 is t prvide transprtatin services which meet the special needs f senirs and individuals with disabilities fr whm public transprtatin services are unavailable, insufficient, r inapprpriate. ACT uses funds fr: The purchase f vehicles and related capital equipment Acquisitin f transprtatin services under cntract (purchase f service) Operating assistance The annual Sectin 5310 apprtinment is included in the State Transprtatin Imprvement Prgram (STIP) that DOT&PF updates annually. 2. ROLES & RESPONSIBILITIES ACT is the designated recipient fr small urbanized and rural funds. ACT administers the prgram thrugh a single applicatin prcess that includes funding frm AMHT. A prpsal evaluatin cmmittee (PEC) advises ACT in the review and ranking f applicatins. The PEC members may represent State agencies wh crdinate scial, rehabilitatin, aging and tribal services as well as prviders and cnsumers. Once applicants are selected, ACT ensures cmpliance with Federal requirements by all subrecipients; mnitrs the subrecipients prject activity; and versees prject cmpletin and grant clseut. ACT retains 10 percent f the available funds fr direct and indirect administratin f the prgram. 3. ELIGIBLE SUBRECIPIENTS There are three categries f eligible subrecipients fr Sectin 5310 funds: Private nnprfit rganizatins exempt under IRS Sectin 501(c)3 Public bdies r Alaskan Native tribes that certify t ACT that there are n nnprfit agencies available in the area t prvide the service Public bdies r Alaskan Native tribes apprved by the State t crdinate services fr senirs and persns with disabilities All applicants must have, and participate in, an up t date crdinated public transit human services transprtatin plan. 4. LOCAL SHARE & LOCAL FUNDING REQUIREMENTS The federal share fr capital prjects (purchase f vehicles, related capital equipment r acquisitin f transprtatin services under cntract) is 80 percent and the lcal match is 20 percent. All f the lcal match must be cash r services prvided frm surces ther than USDOT funds, except where permitted t be used as match fr ther USDOT funds. Fr vehicle and related capital equipment purchases, the lcal match must be cash nly. Other federal funds can be used as match if allwed by that prgram. The federal share fr perating assistance is 50 percent and the lcal match is 50 percent. Funds are available t cver the net perating deficit after fares are applied t eligible expenses. All f the lcal match must be cash r services prvided frm surces ther than USDOT funds, except where permitted t be used as match Page 5

7 fr ther USDOT funds. Other federal funds can be used as match if allwed by that prgram. Dnatins are cnsidered lcal match. 5. PROJECT SELECTION CRITERIA & METHOD OF FUND DISTRIBUTION The PEC scres applicatins using ACT s electrnic grant management system. The criteria assesses such factrs as technical capacity, need, ridership, inclusin in a crdinated plan, crdinatin ptential, increased mbility r access t services fr target ppulatins, level f lcal funding cntributins, vehicle utilizatin, vehicle replacement value, ADA cmpliance, and maintenance and strage capability. Prjects in areas with n public transit receive pririty. ACT staff reserves the final decisin n award amunt and funding surce. ACT annunces awards n its website as well as n gv.delivery, the State s electrnic ntificatin system. Award decisins may be appealed fllwing the ACT appeal prcess. In keeping with the gal f the Sectin 5311 prgram t pen the rural human services transprtatin netwrk t the general public, ACT cnsiders the availability f public transit in the cmmunity when determining the amunt f Sectin 5310 and AMHT funding fr perating assistance/acquisitin f transprtatin services. C. SECTION 5311 FORMULA GRANT FOR RURAL AREAS 1. GOALS & OBJECTIVES The purpse f the Sectin 5311 prgram is t supprt general public transprtatin in rural areas. The gals f the prgram are t: Encurage the maintenance, develpment, imprvement and use f public transprtatin systems T encurage and facilitate the mst efficient use f all federal funds used t prvide passenger transprtatin in rural areas thrugh the crdinatin and cnslidatin f prgrams and services And assist in the develpment and supprt f intercity bus transprtatin. 2. ROLES & RESPONSIBILITIES ACT administers the prgram n behalf f the State; distributes the funds; ensures cmpliance with Federal requirements by all subrecipients; mnitrs the subrecipients prject activity; and versees prject cmpletin and grant clseut. ACT retains 10 percent f the available funds fr direct and indirect administratin f the prgram. 3. ELIGIBLE SUBRECIPIENTS Eligible subrecipients f Sectin 5311 funds are lcal public bdies and agencies, private nnprfit rganizatins, and federally recgnized Alaskan Native tribes. Direct FTA recipients in urbanized areas are ineligible fr Sectin 5311 assistance, even if they prvide service in rural areas. 4. ELIGIBLE SERVICES & SERVICE AREAS ACT prvides Sectin 5311 funding fr public transit, including cmplementary paratransit, in the rural areas f Alaska. Rides must start and end within the State. Incidental use is allwable with prir apprval frm ACT ffice. Cmplementary paratransit must meet ADA requirements. 5. LOCAL SHARE & LOCAL FUNDING REQUIREMENTS ACT prvides Sectin 5311 assistance in the fllwing categries, in the rder f pririty, as listed belw. Match ratis vary by categry. Operating: Federal share Shall nt exceed percent f the net perating deficit. Page 6

8 Capital: Lcal match At least percent f the net perating deficit must be matched frm lcal surces. The prgram allws funds received frm service agreements with State r lcal public r private agencies t be used as match, even thugh the riginal surce f funds may have been frm anther federal prgram. Federal Share Shall nt exceed percent f the prject cst. Lcal Match At least 9.03 percent is required f the prject cst. All f the lcal match must be cash r services prvided frm surces ther than USDOT funds, except where permitted t be used as match fr ther USDOT funds. Prject Administratin Federal Share Shall nt exceed percent f the prject cst. Lcal Match At least 9.03 percent f the prject cst must be matched frm lcal surces. All f the lcal match must be cash r services prvided frm surces ther than USDOT funds, except where permitted t be used as match fr ther USDOT funds. ADA Paratransit: Federal Share Shall nt exceed percent f the net perating deficit. Net prject csts are eligible expenses less farebx revenue. Lcal Match At least 9.03 percent is required f the net perating deficit. All f the lcal match must be cash r services prvided frm surces ther than USDOT funds, except where permitted t be used as match fr ther USDOT funds. Preventative Maintenance: Federal Share Shall nt exceed percent f the prject cst. Lcal Match At least 9.03 percent is required f the prject cst. All f the lcal match must be cash r services prvided frm surces ther than USDOT funds, except where permitted t be used as match fr ther USDOT funds. Planning: Federal Share Shall nt exceed percent f the prject cst. Lcal Match At least 9.03 percent is required f the prject cst. All f the lcal match must be cash r services prvided frm surces ther than USDOT funds, except where permitted t be used as match fr ther USDOT funds. 6. PROJECT SELECTION CRITERIA & METHOD OF FUND DISTRIBUTION ACT caps the amunt f Sectin 5311 assistance prvided t each rural area f the State fr perating assistance, prject administratin, preventive maintenance, and ADA paratransit. ACT des nt include the amunt f capital awarded when determining whether an area meets the cap. As a result, ACT has been able t fund all requests up t the cap amunt. ACT gives pririty t maintenance f current transit effrts. Annually, ACT reviews the funding needs f existing subrecipients and availability f future funding. In deciding whether t accept new applicatins r new prjects fr existing subrecipients, ACT cnsiders its ability t maintain thse effrts. Befre allcating Sectin 5311 funds, ACT may reserve a prtin f the funds fr discretinary capital prjects. Page 7

9 D. RURAL TRANSPORTATION ASSISTANCE PROGRAM The Rural Transit Assistance Prgram (RTAP) is a brad and flexible prgram f training, technical assistance, research and ther supprt services fr rural public transit agencies. ACT receives an annual allcatin t develp and implement training and technical assistance prgrams in cnjunctin with the State s administratin f the Sectin 5311 Prgram. ACT des nt require match fr RTAP funding. Annually, ACT cnsults Sectin 5311 prviders fr use f RTAP funds. ACT spnsred trainings are pen t Sectin 5310 and 5307 prviders n an incidental basis. E. RURAL INTERCITY BUS SERVICE Alaska is nt part f the natinal intercity bus netwrk; hwever, ACT will use up t 15 percent f its annual apprtinment t prvide capital, prject administratin, and perating assistance t public transprtatin prjects prviding lng distance, limited stp service t Anchrage frm rural areas. ACT slicits intercity bus prjects annually as part f the Sectin 5311 applicatin prcess. ACT btains the Gvernr s certificatin that the intercity bus needs f the State are adequately met in relatin t ther rural needs in years that the 15 percent minimum are nt met. Only prjects that perate year rund are eligible fr intercity bus funds. Current prjects that d nt meet this requirement are grandfathered int the prgram. F. SECTION 5339 BUS AND BUS FACILITIES 1. GOALS & OBJECTIVES ACT uses Sectin 5339 funds t finance capital bus and bus related prjects fr fixed rute prviders that will supprt the cntinuatin and expansin f public transprtatin services. 2. ROLES & RESPONSIBILITIES ACT is the designated recipient fr small urbanized and rural funds. ACT administers the prgram n behalf f the State thrugh a single applicatin prcess t determine eligible applicants and prjects. Once applicants are selected, ACT develps the POP and submits the Sectin 5339 applicatin t FTA; ensures cmpliance with FTA requirements by all subrecipients; mnitrs the subrecipients prject activity; and versees prject cmpletin and grant clseut. 3. ELIGIBLE SUBRECIPIENTS Eligible subrecipients f Sectin 5339 funds are lcal public bdies and agencies, private nnprfit rganizatins and federally recgnized tribes. Prviders in rural areas are eligible fr the natinal distributin allcatin. 4. LOCAL SHARE & LOCAL FUNDING REQUIREMENTS The federal share fr capital bus and bus related prjects is 80 percent f the cst f the prject and the lcal match is 20 percent. All f the lcal match must be cash r services prvided frm surces ther than USDOT funds, except where permitted t be used as match fr ther USDOT funds. Fr vehicle and related capital equipment purchases, the lcal match must be cash nly. Other federal funds can be used as match if allwed by that prgram. 5. PROJECT SELECTION CRITERIA & METHOD OF FUND DISTRIBUTION ACT gives pririty t maintenance f current transit effrts. Annually, ACT reviews the funding needs f existing subrecipients and availability f future funding. In deciding whether t accept new applicatins r new prjects fr existing subrecipients, ACT cnsiders its ability t maintain thse effrts. Page 8

10 G. ALASKA MENTAL HEALTH TRUST The purpse f AMHT funding is fr start up perating and capital funds t plan fr and crdinate mbility and human services transprtatin systems in lcal cmmunities by pling available resurces, i.e., crdinated transprtatin. Other ptins may include prjects such as taxi vucher prgrams and taxi accessibility prjects. This prgram als prvides funds t purchase r replace accessible vehicles wned by cnsumer run and ther prvider nn prfit crpratins fr nn crdinated uses where crdinatin is nt feasible. AMHT funds are distributed using the same applicatin and award prcess as Sectin H. ALASKA STATE GENERAL FUNDS Alaska State General Funds are discretinary funds allcated by the Gvernr during the budget prcess. These funds are given t ACT t prvide a percentage f match funds t public transit and human service transit prjects funded by FTA and AMHT. ACT distributes the funds at its discretin. III. GENERAL INFORMATION A. TRANSFER OF FUNDS DOT&PF may flex Surface Transprtatin Prgram (STP) funds int Sectins 5310 and ACT may transfer Sectin 5310 funds between small urban and rural areas after the Gvernr certifies that all f the bjectives f the Sectin 5310 prgram are being met in thse specified areas. Direct FTA recipients will apply t FTA fr prjects selected thrugh the ACT applicatin prcess. ACT awarded Sectin 5311 and 5339 funds will be transferred t FTA upn request frm a federally recgnized tribe. Urbanized areas apply directly fr their 5339 apprtinments. B. ANNUAL PROGRAM OF PROJECTS DEVELOPMENT AND APPROVAL PROCESS The fiscal year apprtinments fr Sectins 5310, 5311, and 5339 are made available by FTA n an annual basis. Based n these amunts and prir years unused funding, ACT determines the ttal amunt f funding available t applicants fr each grant prgram. ACT slicits applicatins fr prjects, reviews and scres applicatins, and determines the amunt f funding each applicatin is eligible t receive. ACT then prepares a Prgram f Prjects (POP) and applicatin t submit t FTA. This is cmpleted in late February f each year. ACT executes Sectins 5310, 5311, and 5339 FTA grant applicatins thrugh FTA s Electrnic Award Management System (TrAMS) as fllws: ACT enters and submits the applicatin fr Federal Assistance t FTA fr their apprval FTA apprves the grant ACT executes the grant Once ACT has executed the FTA grant, the State s fiscal ffice is able t set up the funding structure in its accunting system. The funding is then available fr subrecipient agreements t be created and distributed. C. COORDINATION The State defines crdinatin as an nging strategy f cmmitted funders, prviders, and stakehlders wrking tgether t imprve bth lcal and statewide transprtatin ptins thrugh planning, shared resurces, and cnslidatin f prgrams. Lcal crdinatin is required f all subrecipients. Thrugh crdinatin, ACT seeks t prvide general public transprtatin services in cmmunities where apprpriate. Sectin 5310 prjects must be derived frm a crdinated public transit human service transprtatin plan r crdinated plan. Participants in the develpment f the plans must include senirs; individuals with Page 9

11 disabilities; representatives f public, private, and nnprfit transprtatin and human service prviders; and ther members f the public. ACT requires that plans be updated every five years, with funding pririties updated annually and apprved by reslutin frm the lcal gverning bdy. D. PRIVATE SECTOR PARTICIPATION It is the plicy f ACT t encurage the use f the capabilities and resurces f the private sectr t meet the demand fr transprtatin service in Alaska and t prvide the pprtunity fr the private sectr t participate in the planning prcess. The private sectr participates in the planning and implementatin f public transit prgrams as fllws: Private peratrs are given an pprtunity t participate thrugh membership n lcal Cmmunity Crdinatin cmmittees. Private peratrs are given an pprtunity t participate in the develpment f transprtatin plans. Private peratrs are infrmed f the planning and preparatin f transit develpment plans and ntified f scheduled public meetings. During the planning prcess, ptential recipients are encuraged t crdinate with public, private frprfit, and private nnprfit lcal entities in the prvisin f crdinated transprtatin services, in rder t enhance pprtunities fr private sectr participatin. Public ntificatin fr public transit human services transprtatin crdinatin plans must include the invitatin t all public, private nn prfit and private fr prfit transprtatin prviders. Sectins 5310 and 5311 peratrs are encuraged t cnsider cntracting service where it is determined that private transprtatin peratrs can prvide efficient and safe transit service. Cmparisn f transit service prpsals include an evaluatin f all fully allcated csts f public and private transit services and prpsals, including any perating subsidies, capital grants and the use f public facilities. Public and private nnprfit agencies are required t maintain dcumentatin f the participatry planning prcess and ratinale used in making public/private service decisins. Agencies are respnsible fr identifying and dcumenting impediments t private sectr participatin. If the impediments are lcal, the agency is encuraged t reslve the prblems at the lcal level. In the event the impediment is at the State r federal level, the agency reprts the impediment t ACT. E. STATE ADMINISTRATION AND TECHNICAL ASSISTANCE Ten percent f the State s Sectin 5310 and 5311 annual apprtinments is used by the State as the Federal share f the transit prgram s administrative csts. N State administrative csts may be incurred fr RTAP. At its discretin, the State will apply fr up t ten percent f flexible funds transferred int a Sectin 5310 r 5311 grant. ACT prvides technical assistance and training t rural private and public transit peratrs. This assistance is geared tward building technical capacity and imprving the effectiveness f transit peratins. F. CIVIL RIGHTS The DOT&PF Civil Rights Office (CRO) has primary respnsibility fr administering the FTA disadvantaged business enterprise (DBE) and Title VI prgrams. The CRO is tasked with mnitring sub recipient cmpliance thrugh prvider level Title VI Prgrams, tracking discriminatin cmplaints, and ensuring cmpliance with the USDOT DBE Prgram. Implementatin f these prgrams are detailed in the AKDOT&PF DBE Prgram Plan and AKDOT&PF Title VI Nndiscriminatin Prgram Plan. ACT wrks clsely with the CRO n develpment and mnitring f all civil rights prgrams. These dcuments can be lcated at the Alaska Department f Transprtatin Civil Rights Office, Page 10

12 G. SECTION 504 AND AMERICANS WITH DISABILITIES ACT (ADA) ACT has primary respnsibility fr ADA cmpliance; the DOT&PF Civil Rights Office serves as a resurce. ACT ensures cmpliance with Sectin 504 and ADA thrugh technical assistance t, and cmpliance reviews f, subrecipients. H. PROGRAM MEASURES ACT has nt established prgram measures. I. PROGRAM MANAGEMENT 1. MONITORING AND OVERSIGHT ACT cnducts a risk based versight prgram that cmprises three types f reviews: Cmprehensive reviews cnducted every tw t five years, based n the level f risk and need, f every Sectin 5303, 5310, and 5311 subrecipient. The purpse f the cmprehensive review is t identify the strengths and weaknesses f a transit system and t ensure cmpliance with State and federal rules and regulatins. Additinal bjectives f the review are t identify and prmte gd practices, identify training and technical assistance needs, and spend time ne n ne with subrecipients. Three primary functinal areas f a transit system are investigated during a review: administratin and management, peratins and service prvisins, and service planning and marketing. The review is designed t be used as ne part f a technical assistance effrt. After cmpletin f a review, technical assistance will be prvided t the transit system t imprve the deficient area(s) and t dcument exemplary perfrmance t share with ther transit systems. Drug and alchl prgram reviews cnducted every tw t five years based n the level f risk and need f every Sectin 5311 subrecipient. The purpsed f this review is t ensure cmpliance with 49 CFR parts 40 and 655. Agreed upn scpe/prgram specific reviews cnducted n a case by case basis when a cmprehensive review identifies issues, r when issues are identified utside f the review prgram. Examples include financial audits and cnflict f interest reviews. 2. REPORTING Sectin 5303 prjects are required t submit quarterly a planning status reprt describing wrk perfrmed and a unified wrk prgram expenditure summary. In additin, each MPO, based n its quarterly reprt, submits a request fr reimbursement. Sectin 5310 and 5311 prjects are required t submit quarterly reprts relative t peratins, ridership, perfrmance, and financial csts. Reimbursements may be withheld if quarterly reprts are nt submitted in a timely manner. Recipients that receive nly vehicles funded with AMHT funds submit annual reprts. ACT staff prepares and submits an annual NTD reprt based n infrmatin prvided by subrecipients. 3. PROCUREMENT Prcurement may be the respnsibility f either the DOT&PF r the recipient agency. Fr ACT prcurements, ACT develps prcurement specificatins fr prjects and then DOT&PF handles the prcurement prcess. All ACT prcurements g thrugh the DOT&PF Prcurement Office, and all prcurements are cnducted by certified (State Prcurement Officer Certificatin r State Cnstructin Cntracting Certificatin) prcurement/cntracting fficers. State prcurement/cntracting fficers are required t fllw Alaska Statute (State Prcurement Cde), 2 AAC 12 (Alaska Administrative Cde fr Prcurement), DOT&PF Plicy and Prcedures Chapter 10 Prcurement, and Department prcedures fr FTA Page 11

13 funded prcurements. Finance will nt certify payment fr an invice that is nt assciated with a written purchase rder r cntract. Subrecipients must submit all prcurements exceeding $25,000 t ACT fr review and apprval s that ACT can ensure that the prcurements cmply with State and FTA requirements. 4. CONSTRUCTION MANAGEMENT AND ENVIRONMENTAL PROTECTION Cnstructin management may be the respnsibility f either the DOT&PF r the recipient agency. Fr DOT&PF managed prjects, DOT Statewide Public Facilities manages the prject. Fr subrecipient managed prjects, DOT&PF participates in the prject by assisting with and reviewing the recipients applicatin t FTA, reviewing requests fr prpsal and invitatins fr bid, and reviewing cntract language between recipient and A&E. DOT&PF als receives peridic prgress reprts frm recipients, and participates in the final inspectin f facilities. The recipient agency is respnsible fr envirnmental analysis activities. The cntract between DOT&PF, FTA, and the recipient agency addresses envirnmental analysis requirements. All prjects must address envirnmental requirements in the applicatin t FTA. DOT&PF reviews public invlvement prcesses fr each prject. FTA reviews all applicatins. DOT Statewide Public Facilities prvides technical assistance and versight upn request. 5. VEHICLE/EQUIPMENT USE, INSURANCE, MAINTENANCE AND DISPOSITION ACT maintains cntrl ver vehicles and/r equipment thrugh electrnic inventry, annual reprts, annual vehicle use certificatins, liens, and dispsitin and insurance requirements. The State requires vehicles have a minimum f $500,000 in liability cverage. ACT recmmends a minimum cverage f a cmbined single limit f $1,000,000 fr subrecipients with grant funded vehicles. ACT requires written vehicle maintenance plans and that subrecipients maintain vehicles and/r equipment at a high level f cleanliness, safety, and mechanical sundness fllwing at a minimum the riginal manufacturer s recmmended maintenance prcedures and schedules. Subrecipients must dcument all maintenance cmpleted and maintenance expenditures. ACT has develped the fllwing useful life plicy fr the purpse f evaluating vehicle dispsitin requests and capital replacement applicatins. The ACT vehicle useful life plicy is based n bth f the fllwing cnditins: Vehicle Classificatin Useful Life Miles Years Autmbile 100,000 4 Sprts Utility Vehicle 100,000 4 Mini Van / Van 100,000 4 Cut Away 150,000 5 Bus Light Duty 150,000 5 Bus Medium Duty 200,000 7 Bus ~30 Heavy Duty 350, Bus Heavy Duty 500, Ferry: Passenger n/a 25 Ferry: Other w/ Refurbishment n/a 30 Ferry: Other w Refurbishment n/a 60 Agencies must submit transfer and dispsitin actins t ACT fr apprval. In the event f lss due t casualty, fire, r theft, the insurance settlement will g tward the replacement f the lst vehicle/equipment. Page 12

14 6. CERTIFICATIONS AND ASSURANCES All subrecipients must sign the FTA certificatins and assurances annually. 7. FINANCIAL MANAGEMENT ACT, in cnjunctin with the Financial Management Divisin f DOT&PF, maintains a system f accunting and internal cntrls t assure accurate and timely cash flw t lcal prjects. Unifrm reprting is required f all prjects with a separate prject cde established fr each grant. The prject cdes are established, per State f Alaska standard accunting and recrd keeping prcedures, immediately upn ntificatin f grant apprval. Recnciliatin is perfrmed regularly by ACT with a cmparisn f expenditures made between the State s electrnic Integrated Resurce Infrmatin System (IRIS) and ACT recrds t assure that all invices and reimbursement requests have been prcessed crrectly. DOT&PF s Financial Management Divisin uses the IRIS detail ledger t cmpile the Electrnic Clearing Huse Operatin System (ECHO) billing submitted t FTA n a mnthly basis. Each subrecipient is respnsible fr accurate and cmplete disclsure f its expenditures and revenues. Reimbursement f eligible expenses is made within 30 days f receipt f satisfactry dcumentatin. Prjects receive reimbursement fr n mre than the amunt f the grant ttal specified in their cntract. A credit balance in a prject at the end f the grant perid represents unearned funds; these funds are then recalculated fr redistributin in the next grant year. The grant prgram manager may amend the ending date f a grant. 8. COMPLAINTS The State requires all lcal transprtatin prviders t have written cmplaint prcedures t reslve lcal disputes. A cmplaint that cannt be reslved at the lcal level may be appealed t ACT, wh will review the case and cntact all invlved parties. After due cnsideratin, ACT will make a final recmmendatin t the Directr f Prgram Develpment. Once the infrmatin regarding the cmplaint has been reviewed, the Directr will make the final determinatin. 9. CHARTER SERVICE ACT des nt allw charter service by prviders receiving FTA funding thrugh the State. Exceptins may be cnsidered n rare ccasins. 10. PROJECT CLOSEOUT Unless therwise specified in the grant agreement, prjects must be cmpleted and agreements clsed in ne year. At its discretin, ACT may grant extensins t extend grant agreement end dates. Final billing must be submitted by the end f the secnd mnth fllwing the terminatin date listed n this grant agreement r as amended. Page 13