state management review web viewyou may find additional information on the smr process by accessing...

REVIEW PACKAGE

FY 2012 STATE MANAGEMENT REVIEWof the

Ohio Department of TransportationColumbus, Ohio

Recipient ID: 1225

Site Visit Dates: July 24-27, 2012

Reid Consulting, LLC1800 Wilson Blvd, Suite 128

Arlington, VA 22201Phone: (571) 257-5090

[email protected]

Table of ContentsINSTRUCTIONS.......................................................................................................................................... 1SITE VISIT SCHEDULE.............................................................................................................................. 3REQUESTED DOCUMENTS...................................................................................................................... 5REVIEW PREPARATION.......................................................................................................................... 10

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

QUESTIONS FOR THE REVIEW..............................................................................................................160. Program Profile............................................................................................................................. 161. Program Management..................................................................................................................19

Exhibit 1.1 Intercity Bus Expenditures...........................................................................................36Exhibit 1.2 State Management Plan Contents..............................................................................38Exhibit 1.3 State Administrative Funds.........................................................................................41

2. Grant Administration.....................................................................................................................44Exhibit 2.1 Progress Reports........................................................................................................51Exhibit 2.2 Grant Analysis.............................................................................................................45

3. Project Management.....................................................................................................................604. Financial Management.................................................................................................................65

Exhibit 4.1 Examination of ECHO Drawdowns.............................................................................725. Procurement and DBE.................................................................................................................. 74

Exhibit 5.1 Procurements/Agreements Examined.........................................................................88Exhibit 5.2 Required Third Party Clauses.....................................................................................89Exhibit 5.3 Required Certifications, Reports and Forms...............................................................94

6. Asset Management.......................................................................................................................967. Lobbying..................................................................................................................................... 1038. Charter Bus................................................................................................................................. 1059. School Bus.................................................................................................................................. 10710. Americans with Disabilities Act...................................................................................................10911. Title VI........................................................................................................................................ 11912. Equal Employment Opportunity..................................................................................................12213. Drug and Alcohol/Drug Free Workplace Act Programs...............................................................124

Exhibit 13.1 Drug and Alcohol Policy Checklist...........................................................................131

1Grantee: Ohio DOT

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

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

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

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

This package contains the following items:

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

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

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

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

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

2Grantee: Ohio DOT

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

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

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

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

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

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

3Grantee: Ohio DOT

mailto:[email protected]

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

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

Tuesday, July 24, 2012

9:00 am – 9:15 am Entrance Conference

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

10:30 – 12:00 Legal - TR

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

12:00 – 1:00 Lunch

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

Review ECHO draws

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

4:00 – 5:00 EEO, Title VI

SMR TR

Wednesday, July 25, 2012

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

SMR TR

Review Procurement Files

SMR TR

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

12:00 pm – 1:00 pm Lunch

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

SMR TR

4Grantee: Ohio DOT

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

Remaining Triennial Review Areas (as applicable):

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

Thursday, July 26, 2012

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

SMR

Friday, July 27, 2012

11:00 am Joint SMR/TR Exit Conference

5Grantee: Ohio DOT

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

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

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

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

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

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

Example: Folder/File Naming Convention

6Grantee: Ohio DOT

Review Area/ Document Folder/File Name

1. Program Management 1 Program Management

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

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

c. State management plans 1c 5311 SMP.docx

1c 5310 SMP.docx

1c 5316 SMP.docx

1c 5317 SMP.docx

7Grantee: Ohio DOT

Review Area/Documentation Desk Review

Pre-Site Visit

Site Visit

1. Program Management

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

transportation plan X

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

coordinated planning efforts X

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

letters/reports) for each programX

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

management system, if automatedX

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

serviceX

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

X

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

X

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

consultative process, assessments of intercity bus needs) X

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

2. Grant Administration

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

3. Project Management

a. Force accounts plans/justification X

8Grantee: Ohio DOT


Pre-Site Visit

Site Visit

4. Financial Management

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

Federal agency, if applicable X

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

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

a sample of ECHO drawdowns.) X

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

5. Procurement and DBE

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

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

X

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

6. Asset Management

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

applicable X

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

concurrence on changes of use or property removal X

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

9Grantee: Ohio DOT


Pre-Site Visit

Site Visit

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

operators X

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

state management plan or subrecipient agreements X

l. Subrecipient facility maintenance plans X

m. Warranty recovery program and summary of warranty claims X

7. Lobbying

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

8. Charter Bus

a. Quarterly reports to FTA X

9. School Bus

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

10. ADA

a. Certifications of equivalent service from Section 5311 subrecipients

X

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

management plan(s)X

f. Documentation of services exempt from ADA complementary paratransit

X

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

official (CRO) X

j. Policies relating to duties of the CRO X

11. Title VI

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

10Grantee: Ohio DOT


Pre-Site Visit

Site Visit

e. Documentation of public outreach/involvement X

12. EEO

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

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

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

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

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

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

X

11Grantee: Ohio DOT

REVIEW PREPARATION

1. Program Specific Reviews

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

Type of Review Site Visit Dates

Draft Report Date

Final Report Date

Deficiency Close/Due Date Comment

Financial Management Oversight (FMO) Full Scope Review

NA

FMO Follow-Up Review

NA

FMO Cost Allocation Plan Review

NA

FMO Agreed Upon Procedures or Special Assignment Review

NA

Real Estate Review

NA

Procurement System Review (PSR)

NA

PSR Follow-Up Review

NA

12Grantee: Ohio DOT

1. Program Specific Reviews

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

Type of Review Site Visit Dates

Draft Report Date

Final Report Date

Deficiency Close/Due Date Comment

DBE NA

Title VI Review NA

UCP Review NA

Drug and Alcohol Program Audit

NA

Equal Employment Opportunity Review

NA

ARRA Review Nov 16-18, 2010

Nov 18 2010

Dec 16, 2010

No deficiencies Review Closed

13Grantee: Ohio DOT

2. Reports and Submissions

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

Progress Reports 10/30/2011

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

Where are annual Program Measures Reports submitted? 5310 SMP requests from subs bi-annually.

Program Measures are submitted by subrecipients semi-annually and the 5310 program measures are submitted with the most recent open 5310 grant, in accordance with FTA Guidance.

FFRs 10/30/2011

Intercity Bus Certifications Governor’s certifications for 2009 and 2010

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

DBE Program Program was approved on 5/1/2000

DBE Small Business Element 5/25/2012

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

Status?

The revised DBE Program plan was submitted to FHWA and is still in review at FHWA waiting approval. The revised DBE plan is posted to the ODOT website under section 5 Procurement and DBE – as “ODOT DBE Program Plan”.

DBE ARRA Quarterly Reports Reports uploaded to TEAM

DBE Goals 7/30/2010

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

The goal is due every three years. Our next goal date is 9/30/13.

DBE Semi-Annual Reports Reports are current, including ARRA

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

Standard form LLL

14Grantee: Ohio DOT

2. Reports and Submissions

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

Charter reports

Most recent quarterly charter exception report in TEAM is for one subrecipient in 2nd quarter of 2010 (Lancaster). No other reports submitted since then as of 7/2012.

NTD reports Close out letters submitted for 2009, 2010. 2011 report submitted.

3. Complaints/Lawsuits/Other

Please complete this table.

Review Area Identified by FTA

Identified by State State’s System for Processing

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

Area

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

None None Review national publications, FTA – CTAA – OPTA – AASHTO/MTAP websites & trainings & meetings. Subscription to Gongwer newsletter for state legislation updates. Contract with subrecipients requires them to notify us of any lawsuits that might affect service.

Selection and Eligibility – Complaints regarding distribution of funds

None Planning process, notification to locals, Rural Consultation Process

Intercity Bus - Complaints None None Subrecipients are required to establish and follow a complaint procedure

TARs, subrecipient notification

Subrecipient Single Audit Findings

None None Office of Finance, Audit Section reviews all subrecipient SA findings

Audit section reviews all SA audits.

15Grantee: Ohio DOT






Area

GAO/OIG Audits None None Sent to audit section Audit section reviews. Could also be reviewed by Chief Legal Counsel if deemed appropriate by the office Administrator.

Asset Management– Real property incidental use approvals

None None Subrecipient required to notify Office of Transit per contract

TAR

Asset Management– Prior concurrence for real property dispositions

None None Subrecipient required to notify Office of Transit through disposition process. Office of Transit uses Office of Real Estate for property FMV reviews.

TAR – Site Visits-PTMS submission

Procurement – Bid protests/ complaints/ litigation

None None Office of Transit reviews all subrecipient procurement policies as well as all RFP and IFB for concurrence. Subrecipients are required to have a complaint process in place. Any complaints/litigations are reported immediately to ODOT and on the annual application.

Annual proposal/application process/review. TAR – Site visits. Notification from subrecipient per contract.

Buy America - Waivers None None Office of Transit reviews all subrecipient procurement policies as well as all RFP and IFB for concurrence.

During procurement review.

Disadvantaged Business Enterprise – Complaints or bid protests

None None Office of Transit DBE process – annually review transit system’s complete threshold/non-threshold spreadsheet to indicate DBE plan required.

Monitor through Annual DBE process. TARs –Site visits.

16Grantee: Ohio DOT






Area

Charter Bus – Complaints/ litigation

None None Subrecipient notification through required charter process; ODOT Charter Manual; Office of Transit provided training to all subrecipients on process and how to complete registrations. Subrecipients are required to send Office Transit Charter Exceptions Report quarterly.

Charter Bus website registration process: http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/CharterRegulations.aspx

Monitor through TARs, Site Visits.

School Bus - Complaints/ litigation

None None Annual application/proposal process TARs & Site visits.

Title VI - Complaints/ litigation

None None Annual application/proposal process TARs & Site visits

Equal Employment Opportunity - Complaints/ litigation

None None Annual application/proposal process TARs & Site visits

ADA – Complaints/ litigation None None Annual application/proposal process TARs & Site visits

17Grantee: Ohio DOT

http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/CharterRegulations.aspx


QUESTIONS FOR THE REVIEWPlease skip questions that are shaded.

0. Program ProfilePlease provide the following background information.

Section 5305

How many Section 5305 subrecipients does the state have?

N/A

Section 5311


For 2012 we have 35 subrecipients

Please provide the number of:

Public entities (excluding Indian tribes)

Private non-profit entities

Indian tribes

Public Entities – 24

Private non-profit - 11

Indian tribes - 0

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

Fixed route, Demand response and deviated routes

Section 5310


194

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

120

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

533

Section 5316


17

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

3

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

No


Demand response, flex. routing, user-side subsidies/vouchers, fixed route, vanpool, mobility manager., one-stop center/referral

18Grantee: Ohio DOT

Section 5317


19

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

4

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

No


Demand. response, aide/escort assistant., flex. routing, user-side subsidies/vouchers, door-thru-door, mobility manager

Section 5307 and 5309

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

15

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

Yes-15

Fixed Assets

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

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

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

Bus Garages

Rail Facilities

Transit Centers

Other Facilities

Grant Activity

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


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


19Grantee: Ohio DOT

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

Transit 101 training for transit managers/employees. Updating new Office of Transit on-line transit database of Ohio.

Please provide a brief description of ARRA-funded projects completed, underway or planned.See Attached Spreadsheet: Rural Transit Facilities 6-12-12.xls

Also see ARRA Milestone Progress Reports.

20Grantee: Ohio DOT

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

Reviewed X Not Applicable Comment:

Not Deficient Deficient

DEFICIENCIES

SMP out of date/incomplete Ineligible subrecipients

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

Coordinated plans missing required elements Selection process issues

Coordinated plans not included in UPWP Insufficient monitoring of eligible services

Missing written agreements Insufficient monitoring of rural/urban cost allocation

Written agreements Intercity bus certification lacking

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

Inadequate oversight system Insufficient intercity consultative process

Insufficient resources Ineligible intercity bus projects

State match deficiencies Other

Insufficient oversight of local match

Review Questions FTA Comments State Response Reviewer Comments

Part A: Resources and Procedures

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

ODOT per ORC Chapter 5501

21Grantee: Ohio DOT


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

Office of Transit is now in the Division of Planning

Office of Transit in the Division of Transportation System Development

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

5307 & 5309 – Juana Hostin

5310 – Josh Gearhardt

5311 – Tony Lococo

5316 & 5317 – David Walker

Is there an ARRA project manager?

Yes- Brett Harris

What is the organizational structure and staffing of the unit?

See 1b Exhibit attached

22Grantee: Ohio DOT


What are the major functions of the unit?

The office of transit is responsible for the administration and implementation of all federal public transit programs where the state of Ohio is the designated recipient.

In addition, this office is responsible for the administration and implementation of programs for public transit using state funds.

The office provides funding, program oversight, technical assistance and training for the subrecipients.

The office assures the timely payment of federal and state funds to subrecipients

The office tracks all of the funding associated with the programs it administers.

The office administers the Rail Fixed Guideway Safety and Security Oversight program for the rail transit service at the Greater Cleveland RTA

The office works cooperatively with all public transit systems, MPO’s and many human service transportation providers in the state on passenger transportation projects and initiatives

23Grantee: Ohio DOT


What other agencies or units support the FTA programs?

Other units providing support include the Division of Finance, Chief Legal Counsel, Contracts, Planning, Director’s office, Human Resources, Equipment Management, Environmental Services, Division of Information Technology, MPO’s, Local units of Government, RTA’s, Transit Boards, Ohio Public Transit Association

What training is provided to staff to ensure capacity?

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

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

ODOT offers an orientation training for new employees as well as opportunities for professional development. These additional opportunities are related to each employees identified needs.

24Grantee: Ohio DOT


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

Yes

What are the dates of the last revisions? 5311 5310 5316 5317 5311 SMP submitted dated June 2012. What is status of final updated 5311 SMP?

June 2012 SMP not uploaded into TEAM

The June 2012 SMP has been submitted to FTA Region V for approval. Once approved by FTA, the document will be uploaded into TEAM.

6/2009-(Draft) 5/31/12 2/12 2/12

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

Yes See respective dates.

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

Yes

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

Yes

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

N/A, no significant changes have been made

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

Yes Yes

25Grantee: Ohio DOT


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

Yes

What is the cycle and duration of the coordinated plans?

4 years

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

N/A

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

N/A, plans completed by counties and regions.

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

Yes

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

Yes

26Grantee: Ohio DOT


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

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

27Grantee: Ohio DOT


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

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

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

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

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

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

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

28Grantee: Ohio DOT


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

Inspections: We conduct four (4) Section 5310, nine (9) Section 5311, and eight (8) Drug & Alcohol Technical Assistance Reviews (TARs) each year. Section 5310 TARs are provided to agencies with the most 5310 vehicles. Approximately 25% of Ohio’s Section 5311 Rural Transit Systems receive a TAR on a four-year rotating basis. Drug and Alcohol TARs are provided to Section 5311 systems with the greatest need (i.e. change in DAPM, need for technical assistance, D&A issues, etc.) We use a common TAR checklist report format to conduct the reviews (provided).

Documentation of findings: All TARs are documented in a report that is sent to the agency, system, or project. All TAR reports are electronically filed. The reports include an Action Plan for completion by a negotiated date. ODOT’s Office of Transit monitors completion of TAR requirements in the Action Plan.Follow-up on issues/problems: Follow-up on requirements from TAR Action Plans is completed by ODOT Office of Transit staff. Each agency, transit system, or project is assigned an ODOT system representative or program manager to monitor and verify TAR requirement completion. Once completed, the TAR is closed and reported as “closed”.

29Grantee: Ohio DOT


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

Yes

Part B: Selection and Eligibility

8. What are the state’s procedures for:

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

They are identified at the grant proposal stage. Each source and amount must be certified by the subrecipient.

Ensuring that only eligible sources are used as local match?

Each certified source is checked for eligibility during application/proposal review. This is also reviewed during the TAR (Technical Assistance Review).

30Grantee: Ohio DOT


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

In-kind plans must be submitted at the time annual proposals are submitted. ODOT reviews all invoices to make sure ineligible costs are not charged. This is also reviewed during the TAR.

31Grantee: Ohio DOT


Section 5311

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

Eligible subrecipients consist of those entities which are eligible applicants (direct recipients of the Federal and State funding) and eligible recipients (indirect recipients of the Federal and State funding).

Eligible Applicants

Any of the following entities which are not within an urbanized area are eligible applicants:1) Any regional transit authority (RTA) or county transit board (CTB) established under Chapter 306 of the Ohio Revised Code;

2) Any city or village that is not within the jurisdiction of an RTA or CTB as defined above;

3) Any county that is not totally within the jurisdiction of an RTA or CTB as defined above; or

4) Any private nonprofit corporation which has undergone the local selection process and has been designated as Grantee by the local public entity (i.e., under a), b), or c) above).

32Grantee: Ohio DOT


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

Technical capacity is defined in the proposal criteria. Potential subrecipients must sign certification and provide supporting documentation regarding their technical capacity to provide 5311 eligible services when they submit their annual proposal.

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

Review of annual proposal for technical capacity documentation, TAR checklist, invoice review, training programs, training library, contract requirements, annual grant proposal, attendance at roundtables, 4 year capital and operating plans, quarterly operating data submission, ODOT representative site visits and public transit meetings.

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

Capital

Operating

Project administration

See the annual Request for Proposal

How are Indian tribal governments, where present, treated?

N/A NA

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

Yes

33Grantee: Ohio DOT


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

Monitor through the TAR process. Review and concur with system brochure and marketing of program. Review and approve annual grant proposal. Site visits. Provide technical assistance via phone and e-mail.

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

Through the TAR process, site visits, and quarterly operating data report review. Audit reviews.

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

Through the TAR process, site visits, and quarterly operating data report review. There is a program requirement to provide a cost allocation plan, if this service is provided separately. Audit review.

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

No.

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

N/A

34Grantee: Ohio DOT


Section 5310


Private nonprofit organizations with Articles of Incorporation on file with the Secretary of State.Governmental entities who are subrecipients in Ohio’s Coordination Projects.Government entities if able to certify that there are no nonprofit corporations readily available in the area to provide the service.

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

Yes, Madison County Board of MRDD, Madison County Commissioners, Henry County Commissioners, Union County Commissioners, Adams County Commissioners, Coshocton County Commissioners, Morrow County Commissioners, City of Strongsville

City of Berea, City of North Royalton, City of Sidney,

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

Yes

35Grantee: Ohio DOT


16. What is the process used to allocate funds?

Funds are not allocated. Projects are selected based on established program criteria and through a statewide solicitation for projects.

A Letter of Intent is used to screen potential applicants for projects that can be derived from a locally developed coordinated public transit human services transportation plan.

Applications are scored based on established criteria. Projects are awarded based on application scores from highest to lowest

Is the distribution of funds fair and equitable?

Yes

How does the state define technical capacity for Section 5310 subrecipients?

Technical capacity is defined in the proposal criteria. Potential subrecipients must sign certification and provide supporting documentation regarding their technical capacity to provide 5310 eligible services when they submit their annual proposal.

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

Review of annual proposal for technical capacity documentation, TAR checklist, training programs, training library, contract requirements, annual grant proposal, attendance at roundtables, ODOT representative site visits

36Grantee: Ohio DOT


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

Application is reviewed to insure a project requested meets all eligibility requirements, as listed in the program criteria, State Management Plan and Federal Regulations.

Six month reports are required to be submitted. Information in the reports verifies that the elderly and disabled are the populations being served by the projects.

The state verifies that the agencies are non-profit agencies by checking each agencies status with the Ohio Secretary of State and checking against the EPLs.

Section 5316


See State Management Plan, § D Eligible subrecipients are public entities that provide public transit service, public entities that sponsor a mobility manager through the Ohio Coordination Program, or private non-profit organizations designated by a public entity to provide public transit service. Section 8.04 of the Ohio Constitution prohibits the state from giving or lending, in any manner, its credit to any individual or corporation. Therefore, private for-profit organizations may participate in state-administered programs only by making arrangements with an eligible subrecipient.

37Grantee: Ohio DOT


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

Posted on website 1/26/12. Email blast 1/31/12. Press release 3/21/12.

38Grantee: Ohio DOT


Are projects selected using a competitive process? Please describe.

See State Management Plan, § F A scoring system is used to prioritize projects. For JARC, the scoring criteria includes how the project demonstrates public transit increases or enhancements related to geographic coverage, service quality and/or service times that impact availability of transportation services for low income individuals seeking access to jobs and job related services as a result of the project; number of rides provided to low income individuals for work trips consistent with program goals, and success or benefits provided through continuation of existing JARC services.For New Freedom, the criteria includes public transit increases or enhancements related to geographic coverage, service quality and/or service times that impact availability of transportation services for individuals with disabilities; additions or changes to environmental infrastructure, technology, and vehicles that impact availability of transportation services; number of rides provided for individuals with disabilities as a result of the project; and why the service is considered to be new.

39Grantee: Ohio DOT



Yes

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

Website


See Ohio Coordination Program/ JARC/New Freedom Project Proposal, Form I, pp. 5-6.


Review of responses to questions mentioned above. Certifications and assurances, on-site visits, training, technical assistance.

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

Screening from proposals, on-site visits, TARs

Section 5317


See State Management Plan, § D Same as 5316

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

Posted on website 1/26/12. Email blast 1/31/12. Press release 3/21/12.

Are projects selected using a competitive process? Please describe.

See State Management Plan, § F Same as 5316


Yes

40Grantee: Ohio DOT


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

Website


See Ohio Coordination Program/ JARC/New Freedom Project Proposal, Form I, pp. 5-6.

Same as 5316


Review of responses to questions mentioned above. Certifications and assurances, on-site visits, training, technical assistance.

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

Screening from proposals, on-site visits, TARs

Section 5309

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

Yes

Are ineligible activities incidental to the delivery of public transportation?

N/A

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

They are all existing systems with direct grants from FTA. ODOT monitors audits, NTD reports, and Triennial Review results.

41Grantee: Ohio DOT


Part C: Intercity Bus

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

Exhibit 1.1 Intercity Bus Expenditures

Year 2009 2010 2011 ARRA

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

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

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

% of Apportionment 3% 1% 15% 7.5%

42Grantee: Ohio DOT


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

OH-18-X032 Apportionment = $20,009,523 x .15 = 3,001,428. This is what was programmed in TEAM for IC.

This is correct ODOT did not program the full 15% ARRA funds for IC. ODOT did not have enough IC need to fund the full amount. FTA was fully aware that ODOT did not fund the full amount and approved the ARRA grants.

Governor’s certification in TEAM for 2009 and 2010.

The ICB funds programmed are in Grant OH—86-X002. The ICB % shown is a % of the sum total for all ARRA grants awarded.

Does ODOT need to provide a waiver for the IC ARRA funds?

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

Yes. See attached consultative process documents.

Does the consultative process meet minimum requirements?

Yes.

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

Yes.

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

The funding of the IC bus route between Columbus - Athens - Marietta and Cincinnati – Athens – Marietta. IC bus facilities/stops/ticketing agents in Marion and Zanesville.

43Grantee: Ohio DOT


Are these activities eligible? Yes

44Grantee: Ohio DOT

Exhibit 1.2 State Management Plan Contents

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

If combined plan, please use Section 5311 checklist.

Topic

Enter page number

Reviewer Comments5311 5310 5316 5317

Program goals and objectives 1 3 1 1 Pages are not numbered in 5311 SMP. (Used table of contents.) 5311 SMP revised June 2012 and not in TEAM. Copy in TEAM is dated 2009.

Copy of 5310 SMP in TEAM is dated 2008. Copy submitted was revised 3/31/2012.

5316/5317 SMP revised February 2012. Approval letter submitted was for plan dated 2008.

All listed SMPs have been submitted to FTA for review and approval. Final approval has not been received from FTA. No comments regarding the revised SMPs have been received.

Roles and responsibilities 2 4 1 1

Coordination 3 6 2 2

Eligible subrecipients 4 4 2 2

Eligible services and service areas 7

45Grantee: Ohio DOT




Topic

Enter page number


Eligible assistance categories 9

Local share and local funding requirements 9 4 2 2

Project selection criteria and method of distributing funds

10 5 2 2

Intercity bus transportation 11

Annual POP development and approval process

12 6 3 3

Funds transfers 12 14 3 3

State administration, planning and technical assistance

13 13 3 3

RTAP 13

Private sector participation 14 7 4 4

Civil rights 17 8 4 4

Maintenance 18 9 7 7

46Grantee: Ohio DOT




Topic

Enter page number


Charter rule 18 11 -- -- No provisions for Charter Rule in 5316/5317 SMPs

These programs are exempt from Charter Rules. Does this need to be addressed in the “other provisions” section of the SMP?

Section 504 and ADA 19 8 4 4

Program measures 8 5 5

NTD reporting 20

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

20 11-12 6 6

47Grantee: Ohio DOT




Topic

Enter page number


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

22 10-11 8 8

48Grantee: Ohio DOT

Exhibit 1.3 State Administrative Funds

Section 5311

Year 2009 2010 2011 ARRA

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

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

State Administration (FPC 6)

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

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

Section 5310

Year 2009 2010 2011

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

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

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

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

% of Apportionment 8.5% 2% 14%

49Grantee: Ohio DOT


Section 5316

Year 2009 2010 2011

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

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

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


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

% of Apportionment 0% 0% 0%

50Grantee: Ohio DOT


Section 5317

Year 2009 2011 2012

Governor’s small urbanized area apportionment

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

Governor’s nonurbanized area apportionment

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

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


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

% of Apportionment 0% 0% 6%

51Grantee: Ohio DOT

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

Reviewed X Not Applicable Comment:


DEFICIENCIES

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

Late/incomplete progress reports FFATA reporting deficiencies

ARRA reports late/incomplete reports Annual NTD report not submitted

Late FFRs Lapsed Category C funds

ARRA FFRs late Ineligible ARRA grant budget revision

Incorrect FFR reporting Inactive grants/untimely grant closeouts

ARRA FFRs incorrect Other

Questions FTA Comments

State Response Reviewer Comments

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

Recommend to Executive Staff for approval by Director

The Director Mr. Wray recommends? Who is the Executive Staff?

Yes. The Executive Staff include the Deputy Directors and Assistant Directors.

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

Yes

52Grantee: Ohio DOT



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

Yes

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

Program Coordinators complete annually and email Federal Programs Coordinator (FPC). FPC verifies completion in TEAM.

Do the Program Coordinators email the reports to the FPC, who then completes them in TEAM?

No, the Program Coordinators enter the information into TEAM, which is reviewed by the FPC. The FPC submits the MPRs. ARRA MPRs are completed and submitted by Brett Harris.

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

Each Program Coordinator collects periodic reports regarding the status of all open projects.

Is this procedure documented (formal)?

Yes. This is included in the Office Procedures

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

Yes

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

Yes, annually

53Grantee: Ohio DOT



Is the form completed correctly for the following items:

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

When comparing TEAM status of funds dates against the ODOT LOC dates it was misjudged as funds (cash on hand) which is not the case. Funds have already been paid by ODOT to the subrecipient, the funds are simply being reimbursed to the state.

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

b. How are unliquidated obligations calculated?

Unliquidated obligations are comprised of all unexpended funds that are obligated in grants to our subgrantees or to direct vendors

Are they reported correctly? Yes

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

N/A No indirect cost charges to grants in FFRs in TEAM.

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

54Grantee: Ohio DOT



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

Yes, OH-04-0052-01 is an earmark to a rural subrecipient, SEAT. There was no activity reported by SEAT to ODOT, as the project management was not assigned to a specific staff member. This grant is now monitored regularly to meet the reporting obligations.

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

When did reporting for this grant resume/begin?Reporting for this grant resumed in 2012. Additional comments regarding SEAT will be provided by M. Freed.

Who certifies on behalf of the grantee?

Juana Hostin, Urban Transit Coordinator, 5307/5309

Joshua Gearhardt, Public Transit Manager, 5310

Tony Lococo, Rural Coordinator - 5311

David Walker, Ohio Coordination Program Coordinator, 5316/5317

Brett Harris, Compliance Officer, ARRA

Lori Spencer, Federal Programs Coordinator

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

It would be helpful if we could be made aware of the process in TEAM. This could be merely a training issues for relatively new DOT employees working with TEAM.

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

Has grantee communicated this need for assistance with TEAM to the Regional Office?

We hope to discuss this matter further on-site with FTA during the SMR.

55Grantee: Ohio DOT



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

Each Program Coordinator maintains a spreadsheet and reconciles MPRs and FFRs periodically.

At what intervals are they reconciled? Are these procedures written?

ARRA FFRs are reconciled quarterly. All other programs are reconciled semi-annually. Internal training was conducted for all program staff when the FSRs changed to FFRs and a spreadsheet was developed for use by the program staff.

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

Yes Grants Awarded after October 1, 2010:

OH-04-0072OH-16-X006OH-16-X007OH-18-X032OH-37-X087OH-57-X044OH-95-X050OH-95-X077

Were any subawards made? For which grants?

Are FFATA documents available for reviewer for applicable grants?

Yes

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

Yes Report submitted for 2011.

Are copies of closeout letters available for past 3 years?

Yes, the documents are posted on the website

56Grantee: Ohio DOT



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

Yes

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

N/A

Status as of: 3/31/2012

GrantYear of

Apportionment

Category C Balance

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

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

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

OH-16-X005-00 2009 $0

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

OH-16-X007-00 2010 $0

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

Has POP been revised? Funds allocated?

This grant is in process for closeout. The POP will be revised soon.

57Grantee: Ohio DOT



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

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

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

$225,000

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

Has POP been revised?

Per FTA guidance to ODOT,the POP will not be revised unless there is a budget revision or an amendment.

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

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

Yes What about:

OH-16-X002-02

OH-16-X003-00

OH-18-X-027-01

Clarification will be provided on-site for the 5310 grants. OH-18-X027 is in the process of closeout.

58Grantee: Ohio DOT



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

Yes What was the nature of the revision?

The description of the revision is in TEAM.

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

Each project is monitored on Open Projects list and is closed when project is complete. Projects are closed by reviewing against Program of Projects, ODOT accounting system, and ECHO to balance.

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

Are any grants ready for closeout? Yes Identify grants that are ready for closeout.

OK. A list will be provided on-site.

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

Yes How is this verified?

See Exhibit 2.2 Status of Open Grants

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

Yes See Exhibit 2.2 Status of Open Grants

59Grantee: Ohio DOT

Exhibit 2.1 Progress Reports

Questions Reviewer Comments Regional Office Comments State Response

Do progress reports contain the required information?

Yes

Section 5305

Section 5310, 5311, 5316 and 5317:

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

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

Has the grantee communicated this need for technical assistance to the Regional Office?

POPs are updated regularly by Program Coordinators. A final version is uploaded into TEAM @ close out. We realize this may not be the appropriate method, however we would appreciate technical assistance to improve this process.

No. Guidance from FTA does not contradict our current process.

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

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

Are Program Coordinators responsible for performing this?

OH-18-X031- No MPRs for 2011 – outdated milestone dates

Yes. Program Coordinators are responsible for this activity. OH-18-X031 has been updated..

60Grantee: Ohio DOT



c. Budget revisions for changes in line item budgets

Yes

d. Significant civil rights compliance issues Were there any issues since the last review?

If yes, please provide summary.

All civil rights issues are followed up by the Civil Rights Officers in the Office of Chief Legal and EEO. All issues are closed.

What do you mean by “Significant civil rights compliance issues”? We had 3 complaints about subrecipients that have been resolved. Documentation is available on-site.

e. Additional information requested by the regional office

N/A

Section 5309:

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

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

Revised date entered – 12/31/13

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

c. Detailed discussion of all budget or schedule changes

61Grantee: Ohio DOT



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

e. Actual completion dates for completed milestones

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

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

- Identification of problem areas

- Narrative on how the problems will be solved

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

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

62Grantee: Ohio DOT



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

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

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

- Have a value exceeding $100,000

- Involve a controversial matter, irrespective of amount

- Involve a highly publicized matter, irrespective of amount

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

63Grantee: Ohio DOT

PLEASE SEE EXHIBIT 2.2 ATTACHMENT FOR STATE RESPONSES

Exhibit 2.2 Status of Open Grants

Ohio Department of Transportation – ID: 12256/30/2012

Grant

Date Execute

dFPC

Year Fund

s Ap’d

TEAM Balance

Date of Last

Drawdown

FFR Unl’d Ob’sAs of

6/30/12

FFR Unob’d Balance

As of 6/30/12

Projected Close Date Comment ODOT Response

OH-04-0052-01

7/20/2009

00 2006-2009

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

Marianne will discuss SEAT on-site

OH-04-0072-00

1/12/2012

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

OH-16-X002-02

7/15/2009

0006

20072008

$160,774$14,127

2/23/201210/11/201

1

$0 $174,901 5310 - FY2007-2008

64Grantee: Ohio DOT

Grant

Date Execute

dFPC

Year Fund

s Ap’d

TEAM Balance

Date of Last

Drawdown


6/30/12


As of 6/30/12


OH-16-X003-00

6/26/2009

0006

2007-2008

$274,915 7/6/2012 $0 $515,330 2009 Section 5310 -Program of Projects.

OH-16-X004-00

6/30/2010

0006

20082009

$567,894$50,000

7/6/2011None

$0 $752,878 5310 - FY2010 Vehicle/Equipment Acquisition

OH-16-X005-00

8/4/2010 00 2009 $195,809 5/10/2012 $0 $195,809 5310- CY 2011 Mobility Management

OH-16-X006-00

8/9/2011 0006

20092010

$2,031,486$413,211

7/6/2012 $0 $3,696,431 5310 - Ohio’s 2011 Section 5310 Grant

OH-16-X007-00

OH-18-X027-01

8/9/2011

3/27/2008

00 2010

2007

$734,350 6*/8/2012 $0

$0

$890,151

$654,951

5310 - FY2009 Mobility Management

5311 - Grant Program for 2008Lapsed Cat C funds?Has POP been revised? One in TEAM is dated 2008 with CAT C for ICB/RTAP

0609

$87,975$796,872

10/11/2011

7/6/2012

65Grantee: Ohio DOT

Grant

Date Execute

dFPC

Year Fund

s Ap’d

TEAM Balance

Date of Last

Drawdown


6/30/12


As of 6/30/12


OH-18-X029-00

7/8/2008 060709

2008 $5,610$28,514

$761,275

2/18/20117/6/20127/6/2012

$151,241 $786,125 5311 Grant Program for 2009According to remarks in May 2, 2012 MPR, grant in close out once RTAP funds spent. What about remaining unobligated funds?

OH-18-X030-00

8/5/2009 060709

2009 $86$88,723

4,036,078

6/8/20127/6/20127/6/2012

$0 $4,204,634 12//31/2012

5311 Grant Program for 2010Will start closeout in 2013. One project remaining.

OH-18-X031-00

8/26/2010

060709

2010 $722,329$275,515

$5,683,223

7/6/2012None

7/62012

$0 $6,359,475 5311 Grant Program for 2011Unspent RTAP

OH-18-X032-00

8/25/2011

060709

2011 $600,000$273,592

$12,887,608

NoneNone

7/6/2012

$0 $15,854,942

5311 Grant Program for CY 2012

66Grantee: Ohio DOT

Grant

Date Execute

dFPC

Year Fund

s Ap’d

TEAM Balance

Date of Last

Drawdown


6/30/12


As of 6/30/12


OH-26-0005-00

7/10/2006

02 2006 $36,978 2/11/2009 $0 $36,978 FY 2006 United We Ride (Research)Award made to consultant for marketing /website. – Status?

A plan has been developed to address this grant.

OH-37-X043-01

9/4/2008 00020406

2006 $54,597$2,727$4,410

$56,438

3/28/20123/1/20117/6/2012

3/16/2011

$0 $97,087 5316 - FY2006 State of Ohio JARC GrantNo drawdowns in 2 FPCs for almost 18 months

OH-37-X071-00

9/24/2009

0004

2007-2008

$88,324$435,998

2/23/20125/10/2012

$0 $458,513 5316 - FY 2010 State of Ohio JARC Grant

OH-37-X079-00

9/10/2010

0004

2008-2009

$243,905$1,077,558

3/28/20126/8/2012

$0 $1,219.468 5316 - FY 2011 State of Ohio JARC Grant

OH-37-X087-00

9/14/2011

0004

2009-2010

$1,115,029$1,856,369

6/8/20127/6/2012

$0 $3,060,273 5316 - FY 2012 State of Ohio JARC Grant

OH-57-X004-01

6/23/2008

04 20062007

$46,920 11/21/2011

$0 $46,924 5317 - 2008 New Freedom GrantCan spend down and begin close-out amendment?

67Grantee: Ohio DOT

Grant

Date Execute

dFPC

Year Fund

s Ap’d

TEAM Balance

Date of Last

Drawdown


6/30/12


As of 6/30/12


OH-57-X031-00

8/17/2009

0004

2007-2008

$431,140$286,451

5/10/20123/28/2012

$0 $1,156,779 5317 - 2009 New Freedom Grant

OH-57-X038-00

8/5/2010 0004

2008-2009

$186,505$270,503

5/10/20126/8/2012

$0 $540,068 5317 - 2010 New Freedom Grant

OH-57-X044-00

8/25/2011

000406

200920102011

$684,682$1,331,131

$122,255

6/8/20126/8/20126/8/2012

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

FTA required this naming to identify the grant containing lapsing funds.

OH-80-0003-00

7/1/2009 02 2008 $1,429 10/11/2011

$0 $304,850 Planning - FY 2010 State Planning/Tech AssistanceCan draw down remaining funds and close out?

Yes. This is in process.

68Grantee: Ohio DOT

Grant

Date Execute

dFPC

Year Fund

s Ap’d

TEAM Balance

Date of Last

Drawdown


6/30/12


As of 6/30/12


OH-80-0004-00

8/9/2011 02 2011 $1,350,219 7/6/2012 $0 $1,541,051 Planning - FY 2012 State Planning/Tech AssistanceWhy not draw from OH-80-0003 and close it out? Not drawing oldest funds first.

Typically all oldest funds are drawn down first. There was a minor oversight related to the OH-80-0003 grant.

OH-85-X001-00

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

OH-86-X001-00

6/26/2009

09 2009 $1,068,937 5/10/2012 $620,972 $443,678 ARRA 5311 - Purchase of Replacement Rolling Stock

OH-86-X002-01

7/22/2010

09 2009 $1,501,357 7/6/2012 $1,398,593

$0 ARRA 5311 - Facility Rehabilitation and PM – Intercity Bus Shelter/Marion County Rehab

OH-86-X003-00

7/20/2009

00 2009 $2,664,576 7/6/2012 $2,664,576

$0 ARRA 5311 - Const. of 3 Maint/Admin Facilities (Carroll, OCTA, Pike)

69Grantee: Ohio DOT

Grant

Date Execute

dFPC

Year Fund

s Ap’d

TEAM Balance

Date of Last

Drawdown


6/30/12


As of 6/30/12


OH-86-X004-00

3/3/2010 09 2009 $5,546,468 7/6/2012 $5,286,468

$260,000 ARRA 5311 - Facility Construction and RehabsLogan, Medina, Morgan, Sandusky, Ross, Seneca

OH-90-X363-00

9/14/2000

00 2000 $18,986 2/23/2012 $0 $18,986 5307 - P/E for I-71 Corridor Light RailAccording to MPR, all work complete. Can closeout amendment be prepared? Remaining funds de-obligated?

This activity is on-going and in-process.

OH-90-X421-00

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


70Grantee: Ohio DOT

Grant

Date Execute

dFPC

Year Fund

s Ap’d

TEAM Balance

Date of Last

Drawdown


6/30/12


As of 6/30/12


OH-90-X520-02

1/22/2007

00 2006 $2,445,645 2/23/2012 $0 $2,445,645 ? 5307 - Euclid Corridor Non-FFGA (C04) – Project complete - MPR states close-out process begun.So why is there $2M in unobligated.


OH-95-X024-01

9/2/2008 00 2008 $865,819 9/6/2011 $0 $866,400 9/30/12 5307 Flex - FY 2009 CMAQ AmendmentFunds for vehicles for TARTA to be moved to COTA

OH-95-X050-01

4/11/2011

00 2010-2011

$3,521,614 5/10/2012 $0 $5,792,866 3/31/2013 5307 Flex - FY2010-2011 Ohio Clean and Green ProgramWaiting on delivery of vehicles

OH-95-X077-00

4/11/2011

00 2010-2011

$5,522,250 6/8/2012 $0 $5,642,450 1/28/2014 5307 Flex Next Generation Clean and Green (CMAQ)Vehicles

71Grantee: Ohio DOT

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

Reviewed X Not Applicable Comments:


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

Excessive delay in project implementation Other



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

Projects include vehicle procurements, facility construction/renovation, real property acquisition, small capital procurements, and mobility management projects.

2. Provide a brief description of capital projects underway.

Projects include vehicle procurements, facility construction/renovation, small capital procurements, and mobility management projects.

Describe specific projects currently underway.

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

Projects include vehicle procurements, facility construction/renovation, real property acquisition, small capital procurements, and mobility management projects.

Please respond with information on specific capital projects planned.

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

ARRA funded projects are listed in attached spreadsheet

72Grantee: Ohio DOT



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

Yes Does this include each type of project listed in Question #3? If not, which ones apply?

73Grantee: Ohio DOT



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

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

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

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

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

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

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

Continued…

Does the state have any directly managed projects? If so, how are they monitored?

74Grantee: Ohio DOT



Continued… Questionnaires/surveys: Not performed

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

Inspections: We conduct four (4) Section 5310, nine (9) Section 5311, and eight (8) Drug & Alcohol Technical Assistance Reviews (TAR) each year. Section 5310 TARs are provided to agencies with the most 5310 vehicles. Approximately 25% of Ohio’s Section 5311 Rural Transit Systems receive a TAR on a four-year rotating basis. Drug and Alcohol TARs are provided to Section 5311 systems with the greatest need (i.e. change in DAPM, need for technical assistance, D&A issues, etc.) We use a common TAR checklist report format to conduct the reviews (provided).

Documentation of findings: All TARs are documented in a report that is sent to the agency, system, or project. All TAR reports are electronically filed. The reports include an Action Plan for completion by a negotiated date. ODOT’s Office of Transit monitors completion of TAR requirements in the Action Plan.

Follow-up on issues/problems: Follow-up on requirements from TAR Action Plans is completed by ODOT Office of Transit staff. Each agency, transit system, or project is assigned an ODOT system representative or program manager to monitor and verify TAR requirement completion. Once completed, the TAR is closed and reported as “closed” via a letter to the subrecipient from the Office of Transit Administrator.

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

See above

75Grantee: Ohio DOT



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

Yes

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

Monitoring project activity closely and working to reassign any funds for projects that are completed under budget.

Is there a specific position responsible for overseeing ARRA grants management? If so, please identify.

Brett Harris

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

No

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

Yes-capitalized operating expenses by subrecipients only

a. If the work equals $10,000,000 or more, was a force account

b. plan and justification submitted to FTA?

N/A

76Grantee: Ohio DOT



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

Yes 2009 Deficiency

Force account plans provided for:

Ashtabula, Chillocothe, Columbiana, Delaware, Geauga, Marion, Medina, OCTA, Ottawa, SEAT and Wilmington.

For 2009 and 2010.

Were any projects requiring a force account plan initiated in 2011 and/or 2012?

77Grantee: Ohio DOT

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

Reviewed X Not Reviewed Comments:


DEFICIENCIES

Insufficient financial capacity ECHO documentation deficient

No existing financial plan Excess cash problems

Cost allocation plan deficiencies Insufficient effective control

Insufficient oversight of indirect costs Insufficient financial oversight of single audits

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

Insufficient oversight of financial management systems Other



Part A: Financial Capacity

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

ODOT utilizes a 4 year capital and operating planning process for the 5311 Program.

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

General Revenue Funds-

FY-2012- $7,300,000

FY-2011- $10,870,642

FY-2010- $10,838,642

78Grantee: Ohio DOT



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

General Revenue Funds-

FY-2013-$7,300,000

FY-2014-$7,300,000

FY-2015-$7,300,000

The next biennium is FY2014-15, and the budget process will begin in August 2012.

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

State provides some matching funds but most comes from local sources.

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

There is always the potential for delays due to a lack of local funding; however, local funding availability must be included in project proposals. The required local share certification mitigates the likelihood of delays due to funding. Projects in the 4 year plan are prioritized to first assure the safety of the vehicles and facilities used by the public.

What about SEAT? OH-04-0052

Any others?

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

No

79Grantee: Ohio DOT



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

No

Part B: Financial Management

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

N/A

Does the state have an approved cost allocation plan?

N/A

Who is the cognizant Federal agency?

N/A

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

N/A

Are indirect costs charged in accordance with the plan?

N/A

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

N/A

80Grantee: Ohio DOT



Is there an approved central services plan?

N/A

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

N/A

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

Yes Only approved indirect cost plan submitted was for Pike County, dated 2009. Cognizant Agency indicated proposal is to be submitted annually. Is there more recent plan for Pike?

Which other subrecipients charge indirect costs?

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

The subrecipients indirect cost plan is provided to ODOT and reviewed by the Office of Audits for reasonableness and for compliance with A-87. Written approval must be obtained prior to these expenses being eligible for reimbursement.

Based on response, does ODOT provide written approval to the subrecipient to charge indirect costs to Federal grant funds in addition to that approval given by a cognizant agency?

Are there other subrecipients charging indirect cost rates, and if yes, are their cost allocation plans approved and available for reviewer?

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

Budget reviewed during application process and during audits.

What about payments/reimbursements?

81Grantee: Ohio DOT



Part C: Funds Management

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

The Office of Transit reconciles TEAM grant balances at least quarterly by comparing TEAM reports with ECHO transaction logs.

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

No. How is this verified?

This is verified through a separate tracking matrix, which shows all open FTA grants and each ECHO transaction. A report is also run from TEAM to verify disbursement information for each open grant by FPC.

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

Through the TAR process, requiring the submission of annual single agency audit reports, review of quarterly operating invoices, providing financial and accounting training. Specific Financial Audits are conducted for high-risk subrecipients.

Is this documented in the state management plan?

Yes

82Grantee: Ohio DOT



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

Subrecipients submit invoices for reimbursement for capital and operating items separately. Capital item invoices must include a copy the vendor invoice for the capital item. Operating invoices are reviewed for eligible activities by the program coordinator prior to submission to the Public Transit Manager for approval. Any discrepancies will be identified by the program coordinator and corrected by the subrecipient prior to reimbursement invoice approval.

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

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

ODOT expends the grant funds from a local funded rotary that authorized biennially as a part of the state budget. When funds are expended from the rotary, a current bill is generated that is used as a basis for preparing an ECHO request for reimbursement.

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

Yes See ECHO sample documentation

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

Yes See ECHO sample documentation

Joshua Gearhardt authorized by Marianne Freed to request funds through ECHO. (Letter to ODOT Payroll dated 6/9/2011)

83Grantee: Ohio DOT



Are funds disbursed within three business days of receipt?

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

ECHO Requests are processes after funds are expended from ODOT/State of Ohio.

Part D: Audits/Reviews

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

Single agency audits must be provided with the subrecipient project proposal. Any findings related to FTA program funding must be resolved prior to the execution of a grant agreement.

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

Yes. Please identify the internal reviews and/or audits that were conducted.

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

No

Were these findings resolved? NA

Finding Corrective Action Status

84Grantee: Ohio DOT



85Grantee: Ohio DOT

Exhibit 4.1 Examination of ECHO DrawdownsThe reviewer will complete this table

Project Number (Grant

number)

Financial Purpose

Code

ECHO Transaction

Date

ECHO Transaction

Amount (minimum of

9)

Segregation of Duties

(Y/N)

Underlying Transaction

Amount

Federal Share of


Source Documentation for Underlying

Transaction Amount (i.e.

invoice, payroll, etc.)

Grant Eligible

(Y/N)Date

Disbursed CommentOH-18-X029 09 9/24/2009 $208,187 3 amounts:

$105,923$ 9,420$ 92,844

OH-90-X520 00 12/18/2009 $507,372

OH-18-X026 07 3/29/2010 $10,435

OH-37-X043 04 5/10/2010 $27,705

OH-80-0003 02 7/7/2010 $39,710

OH-16-X003 00 3/30/2011 $377,072

OH-70-X002 00 12/29/2011 $9,253

OH-95-X077 00 1/17/2012 $5,353,858 2 amounts:$2,340,000$3,013,858

OH-57-X038 06 5/10/2012 $14,656

OH-86-X003 00 6/8/2012 $334,429

OH-86-X001 00 12/17/2010 $61,861

OH-86-X004 00 4/26/2010 $325,000

86Grantee: Ohio DOT

Project Number (Grant

number)

Financial Purpose

Code

ECHO Transaction

Date

ECHO Transaction

Amount (minimum of

9)

Segregation of Duties

(Y/N)


Amount

Federal Share of


Source Documentation for Underlying

Transaction Amount (i.e.

invoice, payroll, etc.)

Grant Eligible

(Y/N)Date

Disbursed Comment

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

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



DEFICIENCIES

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

Improper use of geographic preferences DBE goal not submitted to FTA

Lacking compliant A&E procurement practices DBE goal submission deficiencies

No FTA clauses DBE goal public participation process deficiencies

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

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

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

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

Change order procedures deficiencies Inadequate implementation of DBE contract compliance

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

87Grantee: Ohio DOT

Improper piggyback purchase Grantee not complying with DBE termination process

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

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

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

No TVM certification Not participating in a UCP

Insufficient oversight of procurement DBE certifications not adequate

No approved DBE program Interstate certification deficiencies

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

DBE program not updated Other (Applicable Triennial Review deficiency)


State Reponses Reviewer Comments

Policies and Procedures

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

Ohio Revised Code Section 5513 with all provisions of 4220.1F taking precedence when in conflict with Revised Code. See attached ODOT procurement policy and Purchasing and Contract Administration Manual

How do these procedures ensure full and open competition?

All procurements are posted on the ODOT website, vendor lists are used to contact potential vendors

How does the state ensure that those procedures are followed?

ODOT uses a Technical Assurance Review process which functions similar to an internal audit.

88Grantee: Ohio DOT



What are the state’s key procurement requirements for:

Micro-purchases (please list thresholds)

See attached ODOT procurement policy and Purchasing and Contract Administration Manual

Small purchases (please list thresholds)


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


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


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

Two. Procurement of the vehicle MV-1 and the procurement of professional services to support the State Safety Oversight Program.

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

There is a 4 year capital and operating planning process.

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

Procurements for Transit Vehicles and professional `consulting services are planned.

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

Procurements for capital items, operations, maintenance activities, software and hardware purchases.

89Grantee: Ohio DOT



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

No.

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

Procurement packages are reviewed prior to publishing to ensure procurements do not include geographic preference.

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

Use the Qualification Based Selection process in compliance with Ohio Revised Code section 153.65 - .71 requires all public authorities to use the QBS process.

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

Yes.

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

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

Yes.

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

Yes.

90Grantee: Ohio DOT



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

Buy America certification forms must be included in all procurements which require such certification, and must be included in the bidder’s submission.

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

Yes.

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

Yes.

Has the state obtained Buy America certifications from successful vendors?

Yes.

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

Yes.

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

Yes.

8. Are excluded parties participating in covered transactions?

No

91Grantee: Ohio DOT



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

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

All state bid packages include FTA required clauses, certifications and assurances. All subrecipients and contractors must sign contracts that include FTA required clauses, certifications and assurances.

ODOT reviews all subrecipient third party procurements for compliance with federal and state laws and requirements. All awards as a result of a competitive procurement require prior concurrence. ODOT reviews the specifications and the bids from subrecipients prior to the solicitation and after bids are received and we must concur with all before award to the vendor.

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

Through the TAR Process.

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

No

Is the appropriate documentation on file?

92Grantee: Ohio DOT



Rolling Stock Procurements

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

No.

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

Yes.

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

Documentation must be provided at the time of bidding.

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

Yes.

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

Yes

93Grantee: Ohio DOT



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

N/A

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

Yes.

Procurement Oversight

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

The Office of Transit requires subrecipients to request and receive concurrence at critical points during the procurement process. Vehicles are procured through the ODOT Office of Contracts and subrecipients are required to use these contracts for vehicles.

Disadvantaged Business Enterprise

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

Yes.

a. If no, skip to question 26.

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

Yes. It is approved by FHWA then sent to FTA for review and comment.

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

Yes all changes to program are uploaded into TEAM.

94Grantee: Ohio DOT



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

Megan O’Callaghan, Deputy Director, Division of Construction Management

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

It is currently being

To whom does this person report for DBE matters?

James Barna, Assistance Director of Transportation Policy

Who is the ODOT CEO?

Is this a collateral duty assignment? Yes

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

No

Does the state have adequate staff to administer the program?

Yes

95Grantee: Ohio DOT



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

Yes The Ohio Department of Transportation (ODOT) has established a Small Business Enterprise (SBE) element in order to meet the maximum feasible portion of its Disadvantaged Business Enterprise (DBE) goal through race-neutral means in accordance with regulations of the U.S. Department of Transportation (USDOT), 49 CFR Part 26.51. ODOT has received Federal financial assistance from the US Department of Transportation, and as a condition of receiving this assistance, ODOT has signed an assurance that it will comply with 49 CFR Part 26.

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

Yes

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

Office of Transit sends out spreadsheet annually to determine if the subrecipient is a threshold system. If so then a plan has to be set up by the subrecipient which includes the development of the goal. Subrecipients that meet the threshold are then incorporated into the overall Office of Transit Goal. The ODOT goal is set separately through their own process (see attached ODOT Program Plan).

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

Yes

96Grantee: Ohio DOT



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

All race-neutral.

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

Yes

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

Yes

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

Yes

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

No

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

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

97Grantee: Ohio DOT



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

Yes

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

The subrecipient must provide all documentation of good faith efforts such as sufficient advertising and promotion of DBE program. That DBE goals are published/advertised. That all DBE requirements are included in the bid documents.

Did the state approve of the good faith efforts?

Yes

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

ODOT reviews and concurs on subrecipient contracts with contractor(s). TARs and site visits. Review of DBE goal reports

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

Yes.

98Grantee: Ohio DOT



What enforcement mechanisms does the state use for DBE requirements?

ODOT requires subrecipients to enforce its contract. When a DBE is hired it is reported to the Office of Transit Compliance Officer(CO). The subrecipient sends copies of POs/contracts to the CO to track for reporting on the Uniform Report of DBE Commitments/Awards and Payments report. Subrecipients also report DBE final payments to ODOT for reporting on the DBE report. Subrecipient also reports any changes of DBE status during the life of the contract. The CO also receives all construction meeting minutes.

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

No. ODOT requires per contract that the contractor notify the subrecipient. The subrecipient then notifies ODOT. The Compliance Officer reviews all DBE actions of the subrecipient monitoring of the contractor(s). The contract state the following: “The contractor must promptly notify the recipient whenever a DBE subcontractor performing work related to thiscontract is terminated or fails to complete its work, and must make good faith efforts to engage another DBE subcontractor to perform at least the same amount of work. The contractor may not terminate any DBEsubcontractor and perform that work through its own forces or those of an affiliate without prior written consent of the recipient.”

99Grantee: Ohio DOT



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

The project manager and construction project manager are responsible for monitoring all contractor/sub-contractor work to ensure that DBE’s are actually performing the work. ODOT reviews meeting minutes and attends meetings through out the life of a project to make sure requirements are being adhered.

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

Yes.

Does the state monitor worksite for compliance with DBE requirements?

Yes. Attendance at construction meeting and review of minutes.

100Grantee: Ohio DOT



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

No. Cannot find this requirement in 49 CFR Part 26.

Make sure you are looking at the latest edition of cfr, use the ecfr at http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=68e986bd2c02c71c029c12eb8f825ea9&rgn=div8&view=text&node=49:1.0.1.1.20.2.16.9&idno=49

I’ve highlighted text below:

§ 26.37 What are a recipient's responsibilities for monitoring the performance of other program participants?

(a) You must implement appropriate mechanisms to ensure compliance with the part's requirements by all program participants (e.g., applying legal and contract remedies available under Federal, state and local law). You must set forth these mechanisms in your DBE program.

(b) Your DBE program must also include a monitoring and enforcement mechanism to ensure that work committed to DBEs at contract award or subsequently ( e.g., as the result of modification to the contract) is actually performed by the DBEs to which the work was committed. This mechanism must include a written certification that you have reviewed contracting records and monitored work sites in your state for this purpose. The monitoring to which this paragraph refers may be conducted in conjunction with monitoring of contract performance for other purposes ( e.g., close-out reviews for a contract).

(c) This mechanism must provide for a running tally of actual DBE attainments ( e.g., payments actually made to DBE firms), including a means of comparing these attainments to commitments. In your reports of DBE participation to the Department, you must display both commitments and attainments.


http://ecfr.gpoaccess.gov/cgi/t/text/text-idx?c=ecfr&sid=68e986bd2c02c71c029c12eb8f825ea9&rgn=div8&view=text&node=49:1.0.1.1.20.2.16.9&idno=49





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

Yes

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

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

Yes

Use the correct application form, instructions and document checklist?

Yes

Conduct site visits prior to certification?

Yes

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

Yes

Comply with the requirements of interstate certification?

Yes

Include the NAICS codes of DBEs in the UCP directory?

Yes


Exhibit 5.1 Procurements/Agreements Examined

The reviewer will complete exhibits 5.1, 5.2 and 5.3

METHOD TYPE GOODS DATE AMOUNT COMMENT

1. RFQ Consulting Services 2010-2011 PT-09-1 OTAP – Ohio Technical Assistance Program

2. RFP Consulting Services 2010 PT-09-2 – State Safety Oversight Program (Rail Safety)

3. State Contract Rolling Stock

Contract 250-10 – Hybrid Light Transit Vehicle-Wide Body (Honeycomb) and Light Transit Vehicle – Wide Body (Fiberglass)

4. IT Contract 501-12 – Transit Online Database of Ohio

5.Design Admin./Maint./Storage Facility

Pike County (CATS Facility) - ARRA

6. Rehab. Of Intercity Admin. Facility

City of Marion - ARRA

7.

8.

9.

10.

11.

12.


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

CLAUSE COMMENTSMASTER

AGREEMENT REFERENCE

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

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

All FTA-Assisted Third-Party Contracts and Subcontracts

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

§2.f

Program fraud and false or fraudulent statements and related acts

§3.f

Access to Records §15.t

Federal Changes §2.c(1)

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

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

Energy conservation §26

Awards Exceeding $10,000

Termination provisions49 CFR Part 18Not required of states

§11

Awards Exceeding $25,000

Debarment and Suspension

2 CFR Parts 180 and 1200 §3.b




AGREEMENT REFERENCE

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


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

Buy America

When tangible property or construction will be acquired

§14.a

Provisions for resolution of disputes, breaches, or other litigation

§56

Awards Exceeding $100,000 (by Statute)

Lobbying §3.d

Clean air §25.b

Clean water §25.c

Transport of Property or Persons

Cargo preference

When acquiring property suitable for shipment by ocean vessel

§14.b

Fly America

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

§14.c




AGREEMENT REFERENCE

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


Construction Activities

Davis Bacon Act

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

§24.a

Copeland Anti-Kickback Act

Section 1: All

Section 2: >$100,000§24.a

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

Bonding for construction activities exceeding $100,000

5% bid guarantee100% performance bondPayment bond equal to:

50% for contracts < $1 M

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

$2.5 M for contracts > $5 M

Not required of states

§15.o(1)

Seismic safety

Contracts for construction of new buildings or additions to existing buildings

§23.e




AGREEMENT REFERENCE

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


Nonconstruction Activities

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

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

§24.b

Transit Operations

Transit employee protective arrangements

Applies to Section 5307, 5309, 5311 and 5316 projects

§24.d

Charter service operations §28

School bus operations §29

Drug and Alcohol Testing

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

§32.b

Planning, Research, Development, and Documentation Projects

Patent rights §17

Rights in data and copyrights §18




AGREEMENT REFERENCE

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


Miscellaneous Special Requirements

Disadvantaged business enterprises (DBEs)

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

§12.d

Prompt payment and return of retainage

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

§12.d

Recycled products

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

§15.k

ADA access

Contracts for rolling stock or facilities construction/ renovation

§12.g

Assignability clause Piggyback procurements §15.a

Special Notification Requirements for States

Special notification requirements for states §38


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

REQUIREMENT COMMENTSMASTER

AGREEMENT REFERENCES

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


Bus testing certification and report

Procurements of buses and modified mass produced vans

§15.n(4)

TVM certificationsProcurements of buses and modified mass produced vans

§12.d(1)

Buy America certification

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

§14.a

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

Pre-award Buy America certification

Rolling stock procurements > $100,000

§15.n(3)

Pre-award purchaser’s requirements certification

Rolling stock procurements §15.n(3)

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

Post-delivery Buy America certification

Rolling stock procurements > $100,000

§15.n(3)

Post-delivery purchaser’s requirements certification

Rolling stock procurements §15.n(3)


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

REQUIREMENT COMMENTSMASTER

AGREEMENT REFERENCES

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


On-site inspector’s report

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

§15.n(3)

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

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

Excluded Parties Listing System search

Procurements > $25,000 §3.d

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

Standard Form LLL and quarterly updates (when required)

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

§3.d(1)


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



DEFICIENCIES

Inadequate control of real property Useful life standards not followed

Violation of incidental use requirements Lease issues

Real property use issues Insufficient maintenance standards

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

Failure to comply with property disposal requirements Insufficient oversight of maintenance

Inadequate control of equipment Warranty claims not pursued effectively

Useful life standards not established Other



Part A: Real Property

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

N/A. ODOT does not have any FTA-funded real property.

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

During TAR’s, use of the property is observed and there are several sets of questions related directly to use of and maintenance of FTA funded real property. See TAR Questions.




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

If yes:

Was FTA approval obtained?

Is continuing control over the property maintained?

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

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

What was disposed?

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

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

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

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




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

NA

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

NA

Part B: Equipment

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

PTMS provides an annual update of condition of each asset.

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

PTMS-see section 5 of attached documents

Annual vehicle use certifications

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

PTMS-includes type of vehicle or equipment; condition, mileage (if vehicle); current estimated value;

Retention of or liens on titles All non governmental entities vehicles have liens attached.

Disposition requirements All subrecipeint equipment must go through a written disposition process. See Grant Management Procedures.




Lease restrictions

Productivity standards

Site visits Annual Site Visits by ODOT staff

Insurance Required minimum insurance in the contract.

Other (please describe)

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

See Disposition criteria in Asset Management Section

Vehicle Type Standard

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

State developed standards. Similar to FTA standards.




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

Same as FTA

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

Yes

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

Yes

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

These type of leases must either be in the original service proposal or they must receive written permission. During TAR’s we review the use of all FTA funded assets.

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

No

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

NA

Do the leases include the following required provisions?

NA

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

NA




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

NA

c. A cross reference to a service agreement

NA

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

NA

Part C: Maintenance

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

Subrecipients are required to adequately maintain vehicles, and are required to have a preventive maintenance program. Subrecipients are required to follow, at a minimum, the manufacturers recommended maintenance requirements.The TAR process reviews vehicle condition on-site. All Section 5310 funded vehicles are inspected on a three year cycle (1/3 of vehicles each year).See TAR questions for specific information regarding the maintenance requirements for vehicles.

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

Yes




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

Yes.

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

TAR and site visits

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

Yes

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

Each subrecipient is responsible for recovering warranty claims. The state term contract for vehicles includes provision requiring the vendor to provide warranty coverage.

Are claims pursued satisfactorily? To the best of our knowledge.


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

Reviewed X Not Applicable


DEFICIENCIESLobbying certifications not included in agreements/procurement solicitations

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

Lobbying certifications not signed by subgrantees, contractors, or subcontractors

Lacking process for receiving and filing the certifications and disclosure statements

Grantee did not submit Standard Form LLL/quarterly update Other


State Responses Reviewer Comments

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

yes

Have subrecipients, contractors and subcontractors signed certifications?

yes

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

no

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



State Responses Reviewer Comments

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

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

no

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

Did the state file the disclosures with FTA?


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



DEFICIENCIES

Insufficient oversight of charter service Charter reporting issues

Insufficient oversight of charter complaints Other



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

Subrecipient notification through required charter process; ODOT Charter Manual; Office of Transit provided training to all subrecipients on process and how to registrations. Subrecipients are required to send Office Transit Charter Exceptions Report quarterly.

Charter Bus requirements listed on website: http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/CharterRegulations.aspx

Monitor through TARs, Site Visits.

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

Office of Transit responds to charter violations immediately. Quickly follow-up with subrecipient to make sure they followed local complaint process. Final decision and review is made by ODOT.






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

Yes but not very often.

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

Government officials

Qualified human service organization

Leasing of equipment and driver

No response by registered charter provider

Agreement with all registered charter providers

Petition to the Administrator

Yes

No

No

No

No

No

Were the requirements of the exception followed?

Yes

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

All known exceptions are reported through the FTA charter process.

Were the quarterly reports submitted on time?

Yes

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

Yes


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



DEFICIENCIES

Insufficient oversight of school bus service Other



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

Subrecipients must sign a certification of compliance as part of the standard certifications contained within the annual project application. Compliance is monitored as part of the TAR process.

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

No

Does the service qualify for one of the statutory exemptions?

Has the state received approval from the FTA Administrator?

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




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

No.

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


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



DEFICIENCIES

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

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

Insufficient oversight of ADA facility accessibility requirements Ferry service deficiencies

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

Insufficient oversight of ADA maintenance requirements Other

Insufficient oversight of route deviation service



Part A: Complaints/Lawsuits

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

Yes. ODOT has a written ADA complaint process; see attached ADA Policy 32-003(P). Additionally, complaint tracking is addressed in ODOT’s Title VI Standard Operating Procedure. A copy of ODOT’s Title VI SOP is attached.




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

When complaints are received they are referred/directed to the Division of Chief Legal Counsel & Equal Opportunity, Office of Equal Opportunity and handled by the ADA/504 Coordinator and/or Specialist.

Does the state require subrecipients to report complaints?

Yes, Title VI complaint tracking is addressed in ODOT’s Title VI SOP.

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

Yes, a summary including status of all complaints received from 2009 to present is attached.

What is the status of the complaints? The summary including status of complaints received from 2009 to present is attached.

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

None at this time.

If so, identify parties to suits and issues.

n/a

Part B: Buses

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

Through the TAR process and the filing of annual application/proposals.




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

Yes Provide details

Examples-Post on Website

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

Through the TAR process and the filing of annual application/proposals.

Part C: Facilities

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

Six ARRA facilities construction projects. They are listed in the list provided for the Program File section.

Are the facilities accessible? Yes.

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

Yes. Three ARRA facility Rehabs at Tri-CAC(Logan County), Marion and Morgan. They are listed in the list provided for the Program File section.

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

Yes




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

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

ODOT has a consultant that reviews all specifications.

Part D: Subrecipient Oversight

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

Through TARs and site visits. Review of all bids and design specifications.

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

Training is offered both by ODOT and industry wide. Our office offers Passenger Assistance Training (PAT) and Dept. of Aging provide DRIVE training. ODOT also distributes to all of its recipients notices of training by NTI and other industry wide resources. Provide training information to subrecipients at all conferences and round table meetings.




What training does the state provide? How often?

See above for training. Annually.

How does the state define proficiency?

Train according to requirements in accordance with 49 CFR Part 37.173: Each public or private entity whichoperates a fixed route or demand responsivesystem shall ensure that personnelare trained to proficiency, asappropriate to their duties, so thatthey operate vehicles and equipmentsafely and properly assist and treat individualswith disabilities who use theservice in a respectful and courteousway, with appropriate attention to thedifference among individuals with disabilities.

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

Through TARs and site visits. State also provides ADA training periodically.

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

Through TARs and site visits. State also provides ADA training periodically.

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

Ashtabula County Transportation System, Athens Transit

Both systems deviate for all passengers




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

Through TARs and site visits. Review of brochures and websites with system information.

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

Yes. Chillicothe Transit System, Delaware Area Transit Agency, and South East Area Transit.

Provide recent TAR reports for these agencies

Attached to Website

Do they also provide ADA complementary paratransit service?

Yes. SEAT provides ADA complementary service,

DATA only deviates for disabled

Chillicothe does not mention complementary service on its website

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

N/A

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

N/A




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

Through TARs and site visits. Review of brochures and websites with system information.

ODOT must review and approve complementary paratransit plans for fixed route service systems. These plans are forwarded to the FTA Regional Office for approval. Adherence to the plan is monitored through the TAR and site visit process. Additionally, any service changes must be reviewed and receive concurrence prior to changing service.

All areas not included in TAR

See section on Regulatory Compliance, beginning on page 19 of item 1j Technical Assistance Review Questions.

Eligibility determinations Through TARs and site visits.

Service criteria Through TARs and site visits.

Service capacity Through TARs and site visits.

Origin-to-destination service Through TARs and site visits.

Visitors’ service Through TARs and site visits.




Part E: Ferry Service

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

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

N/A

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

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

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




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

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

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

Are written materials provided in alternative formats?

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




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

N/A

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

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


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



DEFICIENCIES

Complaints not addressed properly Insufficient oversight of Title VI

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

Public outreach deficiencies Other

Questions FTA Comments State Responses Reviewer Comments

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

Yes. See document.

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

ODOT LEP document attached. Subrecipients required to submit LEP plans.

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

Yes. Document recent outreach to minorities, low income and LEP communities



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

Yes. See attached documents.

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

Yes.

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

The Office of Equal Opportunity is currently developing a monitoring program.

Document implemented monitoring

Does this monitoring include MPOs? The monitoring program being developed by the Office of Equal Opportunity will include MPO monitoring.

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

There is a requirement in the Annual Application/proposal that subrecipients are required to submit all Title VI complaints in order to receive funding.

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

There is a requirement in the Annual Application/proposal that subrecipients are required to submit a Title VI Compliance Form that provides demographic information on clients served and system efforts to provide meaningful access to services by all populations. See Exhibits K and K-1

Provide analytical data to support Title VI

Certification



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

Exhibits K and K1 provide information on the clients served to ensure that benefits are distributed in a fair, equal, and open manner. They also provide information on complaints, LEP, system policies, open access to information, and public outreach.


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



DEFICIENCIES

Failure to obtain EEO plans from subrecipients/contractors Other

Failure to adequately review EEO plans



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

None

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

ODOT’s Office of Equal Opportunity in the Division of Chief Legal Counsel & Equal Opportunity is charged with reviewing all EEO plans.

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

Not currently because there are no EEO plans to review.




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

EEO Officer designation

N/A

Utilization analysis

Narrative and statistical assessment of employment practices

Monitoring and reporting system


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

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



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

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

No written DFWA policy Other (applicable Triennial Review deficiencies)



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

No

If yes, when was the site visit

Is an audit scheduled for the current Federal fiscal year?

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

Yes




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

Yes

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

Yes

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

Yes

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

Yes

b. Random Yes

c. Post-accident Yes

d. Reasonable suspicion Yes

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

Yes

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

Yes




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

a. Marijuana

Yes

b. Cocaine Yes

c. Opiates Yes

d. Phencyclidine Yes

e. Amphetamines (includes ecstasy (MDMA))

Yes

f. Alcohol Yes

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

Yes

In DAMIS

Monthly or Quarterly

Depends on whether subrecipient is doing tests monthly or quarterly. 12 or 4

a. Total number of safety-sensitive employees

b. Number of random test periods per year

c. Number of test periods completed as of site visit




25% required for Drug Tests and 10% required for Alcohol.

In DAMIS for 35 subrecipients

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

e. Actual number of random tests for drugs

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

g. Actual number of random tests for alcohol

In DAMIS for 35 subrecipients

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

Yes. ODOT reviews compliance as part of the Drug & Alcohol TAR.

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





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


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

ODOT reviews compliance by performing a Drug & Alcohol TAR. And site visits by Compliance Officer.

Provide most recent reports and policies for City of Logan and DATA

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

ODOT reviews compliance by performing a Drug & Alcohol TAR. And site visits by Compliance Officer.

Provide most recent reports for City of Logan and DATA

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

Yes. Submitted in DAMIS and reviewed and approved by ODOT.

13. Were reports submitted by March 15?

Yes. ODOT has subrecipients submit by February 15th to ensure meeting the deadline.




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

ODOT reviews compliance by performing Drug & Alcohol TARs.

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

Yes

Has the state distributed it to all transit-related employees?

Yes

Does the policy notify employees that:

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

Yes

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

Yes

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

Yes

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

No.

Was such notice timely? N/A

Did the grantee provide FTA timely notice of the conviction?

N/A




What action was taken against personnel that reported such a conviction?

N/A

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

Yes

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

Annually


Exhibit 13.1 Drug and Alcohol Policy Checklist

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

Policy ElementPage Number Where Element is Found

Reviewer CommentsEntity Entity Entity Entity

a. Proof of policy adoption by governing body

b. Identity of contact person

c. Employee categories subject to testing

d. Prohibited behavior

e. Testing circumstances

f. Testing procedures consistent with 49 CFR Part 40

g. Requirement that covered employees submit to testing

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

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

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


Exhibit 13.1 Drug and Alcohol Policy Checklist

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

Policy ElementPage Number Where Element is Found

Reviewer CommentsEntity Entity Entity Entity

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