HomeMy WebLinkAboutAgenda - 09-19-2017 - 8-b - Pass-Through Agreement for the Allocation, Disbursement and Accounting of the Section 5310 (Elderly and Individuals with Disabilities) Funds 1
ORANGE COUNTY
BOARD OF COMMISSIONERS
ACTION AGENDA ITEM ABSTRACT
Meeting Date: September 19, 2017
Action Agenda
Item No. 8-b
SUBJECT: Pass-Through Agreement for the Allocation, Disbursement and Accounting of
Section 5310 (Elderly and Individuals with Disabilities) Funds
DEPARTMENT: Aging
ATTACHMENT(S): INFORMATION CONTACT:
Agreement Janice Tyler, Department on Aging,
Program Management Plan (PMP) 919-245-4255
PURPOSE: To approve the pass-through agreement submitted by the City of Durham for the
Federal Transit Administration funding that Orange County has been awarded to support the
Department on Aging's Mobility Management project.
BACKGROUND: In 2013 the Department on Aging was awarded Section 5310 Elderly and
Individuals with Disabilities funding for a mobility management initiative as outlined in the 2012-
2017 Master Aging Plan. That funding has been included in the Department's budget for the
subsequent fiscal years. The primary purpose of this funding is to support a coordinator position
to assist older residents with accessing transportation resources and developing new options.
The Durham Chapel Hill Carrboro Metropolitan Planning Organization (DCHCMPO) and the
Federal Transit Administration have determined that there should be a pass-through agreement
for the Section 5310 funds with Orange County. This is designed to cover both 5310 grants and
others that may be received in the future.
FINANCIAL IMPACT: The federal funding available for the current fiscal year is $80,889. The
required local match is provided through funds already included in the Department on Aging
budget.
SOCIAL JUSTICE IMPACT: The following Orange County Social Justice Goal is applicable to
this item:
ENSURE ECONOMIC SELF-SUFFICIENCY
The creation and preservation of infrastructure, policies, programs and funding necessary
for residents to provide shelter, food, clothing and medical care for themselves and their
dependents.
RECOMMENDATION(S): The Manager recommends that the Board approve the Pass-
Through Agreement for the Allocation, Disbursement and Accounting of the Section 5310 Funds
and authorize the Chair to sign the Agreement.
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CITY OF DURHAM
And
ORANGE COUNTY
PASS-THROUGH AGREEMENT FOR THE ALLOCATION, DISBURSEMENT
AND ACCOUNTING OF THE SECTION 5310, (Elderly and Individuals with
Disabilities) FUNDS
Dated as of , 2017
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CITY OF DURHAM
and
ORANGE COUNTY
PASS-THROUGH AGREEMENT FOR THE DISBURSEMENT AND
ACCOUNTING SECTION 5310 (Elderly and Persons with Disabilities) FUNDS
THIS AGREEMENT ("Agreement") made and entered into this the seventeenth day of
May, 2017 between the City of Durham, North Carolina municipal corporation
(hereinafter"City") and Orange County, North Carolina(hereinafter"County"). This
agreement addresses the allocation, disbursement and accounting of Federal Transit
Administration (FTA) funds to support the Section 5310 activities for the Durham-
Chapel Hill-Carrboro Metropolitan Planning Organization (DCHC MPO). For and in
consideration of the mutual promises and covenants hereinafter set forth, the City and the
County agree as follows:
1. Purpose. The purpose of this Pass-through Agreement is to define the allocation,
accounting and disbursement of Section 5310 funds received by the Durham-
Chapel Hill-Carrboro Metropolitan Planning Organization (DCHC MPO) from
the Federal Transit Administration (FTA) of the United States Department of
Transportation (USDOT)pursuant to Federal transportation legislation and FTA
Circular 9070.1. The projects to be undertaken by the County pursuant to this
agreement shall be determined by competitive process and approval by the MPO
Board. The County agrees to perform its work in accordance with the Program
Management Plan—PMP (Attachment B) and all federal and state requirements.
2. Method of Financing. The total amount of Section 5310 funds available to the
Durham-Chapel Hill-Carrboro Metropolitan Planning Organization is determined
annually by the Federal Transit Administration (FTA). The portion of these funds
to be passed through to the County by the City is determined by the Durham-
Chapel Hill-Carrboro Metropolitan Planning Organization (DCHC MPO)Board
through a competitive process. The County will provide local matching funds not
to exceed seventy thousand dollars ($70,000) annually during the term of this
Agreement. The City will reimburse the County quarterly, subject to the timely
submission by the County to the City of all necessary reports and statements
under the Section 5310 program.
3. Accounting Records. The County shall maintain accounting records and all other
documents in full compliance with the provisions of paragraphs (a) through (f) of
Section 3.1 of this Agreement and shall also maintain all other documents
necessary for federal and state audit purposes. The County shall establish a budget
code for the planning funds program.
3.1 Accounting Procedures
a. A separate account should be established for each of the Section 5310
grant funds and all transactions recorded in accordance with acceptable
accounting procedures which are approved by N.C. Department of
Transportation and US Department of Transportation per 2 CFR Part 200
`Uniform Administrative Requirements, Cost Principles, and Audit
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Requirements for Federal Awards (which supersedes OMB Circular A-
102)regarding standards for grantee financial management systems.
b. The account established for the planning funds will be included in the
annual audit of the agency in accordance with 2 CFR Part 200 (which
supersedes OMB Circular A-133).
c. Time spent for staff services on work provided for in 5310 programs shall
be recorded by work task on either standard monthly, weekly, or biweekly
time sheets for each individual and filed for audit purposes.
d. Cost for transportation, office and other expendable supplies,printing,
copying work, keypunching, computer processing, mapping and aerial
photography should be supported by receipts, logs and vouchers as
appropriate.
e. Reimbursement should be on a basis of vouchers submitted and supported
by similar documents as required of the Lead Planning Agency (LPA), the
City of Durham, Transportation Division. The vouchers should, at a
minimum, specify the staff time expended and description of work task for
which the reimbursement is requested. Work tasks must be consistent with
task descriptions, objectives and expected deliverables (work products)
specified in the project application process and consistent with the
Program Management Plan (PMP).
f. The total amount of Section 5310 funds allocated to a project or projects
by the MPO Board will be the controlling amount for which
reimbursement can be claimed for a given grant.
3.2 Reimbursement Procedures
Invoices, documentation and reports should be submitted to the MPO
Administrator, or appropriate LPA staff. The County shall submit an
invoice and appropriate documentation and reports to the City thirty days
after the federal quarter ends for funds expended during the subject period
and the amount being requested for reimbursement. An invoice should
include an attached quarterly expenditure report. Identification of
expenditures by work task shall include detailed evaluation of work
accomplishments and work products and deliverables.
3.3 Quarterly Progress Report Procedures
Quarterly progress reports should be submitted to the MPO LPA —the
City of Durham, Transportation Department no later than thirty days after
the federal quarter ends. The quarterly progress report should include a
brief narrative report of work accomplished by the County and any
subcontractor. The quarterly progress report shall be included with the
invoice and expenditure report.
3.4. Annual Performance Report
An annual performance report is to be submitted with the final funds
invoice submission for a fiscal year. The written narrative of the
performance report should (1) compare work accomplishments to
anticipated work goal; (2) discuss progress in meeting schedules; (3)
comment on significant task cost overruns/underruns; (4)identify any
approved changes in the 5310 funds; and(5) discuss any items of interest,
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i.e. reorganization and personnel changes. The narrative portion of the
report should be concise, generally one to two pages in length. In order for
NCDOT/USDOT September 30 deadlines,performance reports,
documenting the previous fiscal year, must be submitted to the City of
Durham, Transportation Division no later than July 30th each year.
4. Audits. The City of Durham and NCDOT or USDOT shall be permitted to
review, inspect, or study activities of the County under the Section 5310
programs. The County shall bear the cost of any work not approved by the MPO,
NCDOT and USDOT in the event an audit of expenses incurred by the County
reveals costs which are not eligible for federal or state funding but for which the
City has invoiced on behalf of the County and reimbursed the County. The
County agrees to reimburse the City, in full, for these costs.
5. Personnel. The City Manager shall designate City personnel and the County
Manager shall designate County personnel as necessary to carry out the
responsibilities of the City and County respectively, under this Agreement.
6. Subcontractors. County shall comply with the Equal Opportunity Provisions for
Federal-Aid Contracts in accordance with Attachment A, which is attached hereto
and incorporated herein and made part of this Agreement. The County shall
comply with subcontracting and procurement provisions and contained in FTA
Circular 4220.1 "Third Party Contracting Guidelines", and additions or
amendments thereto.
7. Indemnification.
a) If the County enters into any contract with a third party to perform any of
the purposes under this Agreement(hereinafter, "County Contractor"), the
County shall require in its contract with such County Contractor that the
County-Contractor shall defend, indemnity and save harmless Indemnitees
from and against all charges that arise in any manner from, in connection
with, or out of this Agreement as a result of acts or omissions of the
County Contractor or Subcontractors or anyone directly or indirectly
employed by the County Contractor. In performing its duties under this
section"a", County Contractor shall at its sole expense defend
Indemnitees with legal counsel reasonably acceptable to the City.
b) Definitions. As used in subsections "a" above and "c" and"d" below-
"Charges" means claims,judgments, costs, damage, losses, demands,
liabilities, obligations, fines,penalties, royalties, settlements and expenses
(included without limitation within) "Charges" are (1)interest and
reasonable attorneys' fees assessed as part of any such item, and (2)
amounts for alleged violations of sedimentation pollution laws and
regulations —including but not limited to any such alleged violation that
arises out of handling, transportation, deposit, or delivery of the items or
materials that are the subject of this contract).
"City" means the City of Durham.
"County Contractor" means all parties to any contract with the County for
the purpose of performing any requirement under this Agreement other
than the City or the County.
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"Indemnitees" means the City and its officers, officials, independent
contractors, agents and employees.
c) Limitations of Contractor's Obligation. Subsection"a" above shall not
require the County Contractor to indemnify or hold harmless Indemnities
against liability for damages arising out of bodily injury to persons or
damage to property proximately caused by or resulting from the
negligence, in whole or in part, of Indemnitees.
d) Nothing in subsections "a", "b", or"c" above shall affect any warranties in
favor of the City that are otherwise provided in this contract, this section
(a, b, c, and d) is in addition to and shall be construed separately from any
other indemnification provisions that may be in this contract.
8. Duration of Agreement. The term of this Agreement shall begin when the
agreement is executed by both parties and shall remain in effect until the Section
5310 funds are no longer available or until such time as the Agreement is
terminated by the parties hereto. If the term of this Agreement has not expired
before 11:59 P.M. on June 30, 2027, it shall expire at that time.
9. Amendments. This Agreement may be amended by mutual agreement of the City
and County at any time by execution of a written agreement.
10. Termination. This Agreement may be terminated by either party by providing one
year written notice to other party.
11. State Law Provisions.
a) E-Verify Requirements. (A) If this contract is awarded pursuant to North
Carolina General Statutes (NCGS) 143-129 —(i)the contractor represents
and covenants that the contractor and its subcontractors comply with the
requirements of Article 2 of Chapter 64 of the NCGS; (ii) the words
"contractor," "contractor's subcontractors," and "comply" as used in this
subsection (A) shall have the meanings intended by NCGS 143-129(j);
and (iii) the City is relying on this subsection (A)in entering into this
contract. (B) If this contract is subject to NCGS 143-133.3, the contractor
and its subcontractors shall comply with the requirements of Article 2 of
Chapter 64 of the NCGS.
b) Iran Divestment Act Certification. Each party to this contract certifies for
itself that as of the date that this contract is entered into, it is not identified
on the Iran List. It is a material breach of contract for a party to be
identified on the Iran List during the term of this contract or to utilize on
this contract any subcontractor that is identified on the Iran List. In this
Iran Divestment Act Certification section, "Iran List" means the Final
Divestment List—Iran, the Parent and Subsidiary Guidance—Iran list, and
all other lists issued from time to time by the N.C. State Treasurer to
comply with G. S. 147-86.58 of the N.C. Iran Divestment Act.
12. Miscellaneous
a) Choice of Law and Forum; Service of Process. This contract shall be
deemed made in Durham County, North Carolina. This contract shall be
governed by and construed in accordance with the law of North Carolina.
The exclusive forum and venue for all actions arising out of this contract
shall be the North Carolina General Court of Justice, in Durham County.
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b) Nondiscrimination Policy. The City of Durham opposes discrimination on
the basis of race and sex and urges all of its contractors to provide a fair
opportunity for minorities and women to participate in their work force
and as subcontractors and vendors under City contracts.
c) Headings. All headings that appear as section numbers in this Agreement
are included for convenience only and shall not affect the meaning or
interpretation of any of the provisions of the Contract.
d) Entire Agreement and Signatures. This Contract, together with the PMP
and project awards (program of projects), represents the entire and
integrated agreement between the City and County. This Contract together
with any amendments or modifications may be executed electronically.
All electronic signatures affixed hereto evidence the intent of the Parties to
comply with Article 11A and Article 40 of the North Carolina General
Statutes Chapter 66.
e) All parties hereby respectively confirm that the individuals executing the
AGREEMENT are authorized to execute this AGREEMENT and to bind
the respective entities to the terms contained herein. All Parties confirm
they have read this AGREEMENT and, conferred with counsel, and fully
understand its contents.
f) By Executive Order 24, and NCGS § 133-32, it is unlawful for any vendor
or contractor(i.e., architect, bidder, contractor, construction manager,
design professional, engineer, landlord, offeror, seller, subcontractor,
supplier, or vendor), to make gifts or to give favors to any State employee
of the Governor's Cabinet Agencies (i.e., Administration, Commerce,
Correction, Crime Control and Public Safety, Cultural Resources,
Environment and Natural Resources, Health and Human Services,
Juvenile Justice and Delinquency Prevention, Revenue, Transportation,
and the Office of the Governor).
13. Notice. (a) All notices and other communications required or permitted by this
Agreement shall be in writing and shall be given either by personal delivery,
email, facsimile with telephone confirmation, or certified United States mail,
return receipt requested, addressed as follows:
For the City:
Felix Nwoko, DCHC MPO Administrator/Manager
City of Durham/DCHC MPO
101 City Hall Plaza
Durham, NC 27701
Phone: (919)560-4366 Email: felix.nwoko @durhamnc.gov
For the County:
Orange County Department on Aging
ATTN: Mary Fraser or other Authorized Representative
200 S. Cameron St.
PO Box 8181
Hillsborough, NC 27278
Email: mfraser @orangecountync.gov
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The City and Orange County have each authorized this Agreement to be duly executed
under seal.
City of Durham Attest:
By: By:
City Manager City Clerk
This is to certify that on this day personally came before me ,
with whom I am personally acquainted, who being by me duly sworn, says that
is the City Manager and that he/she, the
said , is the Clerk of the City
of Durham, the municipal corporation named within and which executed this foregoing
instrument; that he/she knows the common seal of said corporation; that the seal affixed
to said instrument is said common seal; that that name of the corporation was subscribed
there to by said City Manager and that the Manager and said
Clerk subscribed their names thereto and said common seal was affixed, all by order of
the City council of the City of Durham and that said instrument is the act of deed of said
corporation.
Witness my hand and notarial seal, this the day of ,
2017
SEAL
Notary Public
My commission expires:
PREAUDIT CERTIFICATE
This instrument has been preaudited in a manner required by the Local Government
Budget and Fiscal Control Act.
City Finance Officer County Finance Officer
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Orange County Attest:
By: By:
Mark Dorosin, Chair County Clerk
This is to certify that on this day personally came before me ,
with whom I am personally acquainted, who being by me duly sworn, says that
is the Chair of the Orange County Board of County
Commissioners and that he/she, the said , is the
Clerk/Secretary of the Orange County, the organization named
within and which executed this foregoing instrument; that he/she knows the common seal
of said corporation; that the seal affixed to said instrument is said common seal; that that
name of the organization was subscribed there to by said Chair and that the Chair and
said Clerk/Secretary subscribed their names thereto and said
common seal was affixed, all by order of the Orange Board of County Commissioners
and that said instrument is the act of deed of said organization.
Witness my hand and notarial seal, this the day of ,
2017
SEAL
Notary Public
My commission expires:
Reviewed, approved as to legal form by:
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ATTACHMENT A
EQUAL OPPORTUNITY PROVISIONS
For FEDERAL-AID CONTRACTS
Definitions. As used in this section, "Municipalities" means municipal government,
entity, agency or any recipient of federal funds.
Municipality and agencies receiving federal transportation funds agree to comply with
Title VI of the Civil Rights Act of 1964, Environmental Justice(EJ) Executive Order
12898 and Limited English Proficiency (LEP) executive order. Title VI bars intentional
discrimination as well as disparate impact discrimination. Executive Order 12898, states
"No person in the United States shall, on the ground of race,
color, or national origin be excluded from participation in, be denied the benefits of or
be subjected to discrimination under any program or activity receiving Federal financial
assistance." Executive Order 12898, Environmental Justice "Each federal agency shall
make achieving environmental justice part of its mission by identifying and addressing,
as appropriate, disproportionately high and adverse human health or environmental
effects of its programs,policies, and activities on minority populations and low-income
populations. "
The U.S. Department of Transportation (USDOT) regulation and guidance, DOT Order
to Address Environmental Justice in Minority Populations and Low-Income Populations
in 1997, stresses three principles of environmental justice:
a. To avoid, minimize, or mitigate disproportionately high and adverse human health and
environmental effects, including social and economic effects, on minority populations and
low-income populations.
1)- To ensure the full and fair participation by all potentially affected communities in the
transportation decision-making process.
c- To prevent the denial of reduction in, or significant delay in the receipt of benefits by
minority and low-income populations.
Definition
1. Selection of Labor
During the performance of this Agreement, the Municipality will not discriminate
against labor form any other State,possession or territory of the Unites States.
2. Employment Practices
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During the performance of this Agreement, the Municipality agrees to comply
with all applicable provisions of 49 CFR 21 through Appendix H and 23 CFR
710.405 (b), EJ Executive Order 12898 and USDOT LEP Guidance (Fed Reg.
Vol. 66, No. 14,p. 6733-6747) and the Civil Rights Act of 1964 as amended, and
agrees as follows:
a. The Municipality or recipient of federal funds will not discriminate against
any employee or applicant for employment because of race, creed, color or
national origin. The Municipality or entity receiving federal funds will
take affirmative action to ensure that applicants are employed, and that
employees are treated during employment without regard to their race,
creed, color or national origin. Such action shall include but not be limited
to the following: employment, upgrading, demotion or transfer;
recruitment or recruitment advertising; layoffs, or termination; rates of pay
or other forms of compensation; and selection of training including
apprenticeship. The municipality agrees to post in conspicuous places,
available to employees and applicants for employment, notices to be
provided by the State setting forth the provisions of this nondiscrimination
clause.
b. The Municipality or Entity will, in all solicitations or advertisements for
employees and contractors by or on behalf of the municipality, state that
all qualified applicants will receive consideration for employment without
regard to race, creed, color or national origin.
c. The Municipality or Entity will send to each labor union or representative
of workers with which he has a collective bargaining agreement or other
contract or understanding, a notice to be provided by the State, advising
the labor union or workers' representatives of the Municipality's
commitments under this Attachment and shall post copies of the notice in
conspicuous places available to employees and applicants for
employment.
d. The Municipality or Entity will comply with all provisions of the
Executive Order No. 11246 of September 24, 1965, as amended by
Executive order 11375, and as supplemented in Department of Labor
regulations (41 CFR Part 60).
e. The Municipality or Entity will furnish all information and reports
required by Executive Order No. 11246 of September 24, 1965, as
amended by the Executive Order 11375, and as supplemented in
Department of Labor regulations (41 CFR Part 60), and will permit access
to its books, records and accounts by the Secretary of Labor for purposes
of investigations to ascertain compliance with such rules, regulations and
orders.
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f. In the event of the Municipality's or Entity's noncompliance with the
nondiscrimination clauses of this Agreement or with any of such rules,
regulations, or orders, this Agreement may be cancelled, terminated, or
suspended in whole or in part and the Municipality may be declared
ineligible for further Government contracts or Federally- assisted
construction Agreements in accordance with procedures authorized in
Executive Order No. 11246 of September 24, 1965 as amended by
Executive Order 11375, and as supplemented in Department of Labor
regulations (41 CFR Part 60) and such other sanctions may be imposed
and remedies invoked as provided in the aforementioned Executive Order
and regulations or otherwise provided by law.
g. The Municipality will include the provisions of this paragraph 2 in every
subcontract or purchase orders of the Secretary of Labor issued pursuant
to Section 204 of the Executive Order No. 11246 of September 24, 1965,
so that such provisions will be binding upon each subcontractor or vendor.
3. Selection of Subcontractor, Procurements of Materials and Leasing of Equipment
During the performance of this Agreement, the Municipality, for itself, its
assignees, and successors in interest(herein referred to as the "Municipality")
agrees as follows:
a. Compliance with Regulations: The Municipality will comply with the
Regulations of the Department of Transportation relative to
nondiscrimination in Federally assisted programs of the Department of
Transportation (Title 49, Code of Federal Regulations, Part 21 through
Appendix H and 23 CFR 710,450 (b), hereinafter referred to as the
Regulations), which are herein incorporated by reference and made a part
of this Agreement.
b. Nondiscrimination: The Municipality with regard to the work program by
them after award and prior to completion of the Agreement work will not
discriminate on the ground of race, color, or national origin, in the
selection and retention of subcontractors, including procurements of
material and leases of equipment. The Municipality will not participate
either directly or indirectly in the discrimination prohibited by Section
21.5 of the Regulations, including employment practices when the
Agreement covers a program set forth in Appendix B of the Regulations.
c. Solicitations: In all solicitations either by competitive bidding or
negotiations made by the Municipality for work to be performed under
subcontract, including procurement of material or leases of equipment,
each potential subcontractor, supplier, or lessor shall be notified by the
Municipality of the Municipality's obligations under this Agreement and
the Regulations relative to nondiscrimination on the grounds of race, color
or national origin.
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d. Information and Reports: The Municipality will provide all information
and reports required by the Regulations, or orders and instructions issued
pursuant thereto, and will permit access to its books, records, accounts,
other sources of information, and its facilities as may be determined by the
State pertinent to ascertain compliance with such Regulations, orders and
instructions. Where any information required of the Municipality or a
Contractor is in exclusive possession of another who fails or refuses to
furnish this information, the Municipality will so certify to the State as
appropriate, and shall set forth what efforts it has made to obtain the
information.
e. Sanctions for Noncompliance: In the event of the Municipality's or
Contractor's noncompliance with the non-discrimination provisions of this
paragraph 3, the State shall impose such contract sanctions as it may
determine to be appropriate, including but not limited to :
(1) withholding of payments to the Municipality under the
Agreement until the Municipality complies. And/or
(2) cancellation, termination or suspension of the Agreement in
whole or in part.
f. Incorporation of Provisions: The Municipality will include the provisions
of this paragraph 3 in every subcontract, including procurements of
materials and leases of equipment, unless exempt by the Regulations,
orders, or instructions issued pursuant thereto. The Municipality will take
such action with respect to any subcontract procurement or leases as the
State may direct as a means if enforcing such provisions including
sanctions for noncompliance; provided, however, that in the event the
Municipality becomes involved in, or is threatened with litigation with a
subcontractor, or lessor as a result of such direction, the Municipality may
request the State to enter into such litigation to protect the interests of the
State, and in addition, the Municipality may request the United States to
enter into such litigation to protect the interests of the United States.
g. For contracts and subcontracts of amounts in excess of$100,000 the
Municipality will comply with all applicable standards, orders, or
requirements issued under Section 306 of the Clean Air Act(43 USC 1857
(h)), Section 508 of the Clean Water Act (33 USC 1386), Executive Order
11738, and the Environmental Protection Agency regulations (40 CFR
Part 15), which prohibit the use under nonexempt Federal contracts, grants
or loans of facilities included on Environmental Protection Agency List of
Violating Facilities. The Municipality will report violations to the grantor
agency and to the U.S.E.P.E. Assistant Administrator for Enforcement (N-
329).
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Program Management Plan (PMP)
Section 5310 Grant: Enhanced Mobility for Seniors and
Individuals with Disabilities
Background and Overview
In accordance with the Federal Transit Administration's (FTA) Circular 9070.1G, this Program
Management Plan (PMP)documents and describes the methods or processes used by the
City of Durham to solicit, select, award, and administer all funds. As the designated recipient of the
Section 5310 Enhanced Mobility for Seniors and Individuals with Disabilities, the funds are awarded
through the City of Durham to qualified public and private transportation service providers in the
Durham Chapel Hill Carrboro Metropolitan Planning Organization's (DCHC-MPO) urbanized area.
The funds come from the FTA for the purpose of meeting unmet public transportation and human
service needs of residents in the Durham-Chapel Hill-Carrboro area. This plan essentially serves as a
guide to the biennial project selection and monitoring process. A copy of this plan will be filed with
FTA(Region 4) office, and also with the North Carolina Public Transportation Division.
The DCHC-MPO currently heads the development and coordination of the region's public and
human service transportation initiatives, as required by the federal transportation legislation,
Moving Ahead for Progress in the 21st Century Act (MAP-21). The goal of DCHC-MPO is to help
improve or enhance transportation services for residents in the Durham, Orange and Chatham
County metropolitan area. The Section 5310 Grant program is intended to enhance mobility for
seniors and persons with disabilities by providing funds for programs to serve the special needs of
transit-dependent populations beyond traditional public transportation services and Americans
with Disabilities Act (ADA) complementary paratransit services.The DCHC-MPO is the planning and
administrative entity that oversees all MPO transportation planning functions. Consequently, this
body will be responsible for the overall administration of the 5310 program.
The primary goal of the Program Management Plan is to increase personal mobility and travel
options for those with special transportation needs and to enhance access to transit service through
the coordination of existing and future services. FTA has defined the goal of the 5310 program, in
the Circular FTA C9070.1G; "to improve mobility for seniors and individuals with disabilities
throughout the country, by removing barriers to transportation services and expanding the
transportation mobility options available."Toward this goal, FTA provides financial assistance for
transportation services planned, designed, and carried out to meet the special transportation needs
of seniors and individuals with disabilities in all areas— urbanized, small urban, and rural. The 5310
program will be administered towards the goals, strategic objectives, and recommendations found
in the DCHC MPO 2013 Coordinated Public Transportation Human Services Transportation Plan
Update. The program requires coordination with other Federally-assisted programs and services in
order to make the most efficient use of Federal resources.
Approved by DCHC MPO TAC 6.11.14 Page 1
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The designated recipient of Section 5310 Grant funds in urbanized areas over 200,000 in population
has the principal authority and responsibility for administering the program. The designated
recipient must be officially designated through a process consistent with 49 U.S.C. 5307(a) (2): "an
entity designated in accordance with the planning process under Sections 5303, 5304, and 5306, by
the chief executive officer of a State, responsible local officials, and publicly owned operators of
public transportation, to receive and apportion amounts under Section 5336 that are attributable to
transportation management areas identified under Section 5303.”
The City of Durham is the designated recipient of the Section 5310 Grant on behalf of the Durham-
Chapel Hill-Carrboro Metropolitan Planning Organization (DCHC-MPO). Every two years,the DCHC
will solicit, receive, and select proposals for funding from both private and public transportation
providers from across the Durham Urbanized area. Also, the Lead Planning Agency (LPA) of the
DCHC MPO will assume the primary responsibilities associated with grant administration, including,
but not limited to:
1. Document procedures in a Program Management Plan;
2. Planning for future transportation needs and ensure integration and coordination among
diverse transportation modes and providers;
3. Developing selection criteria consistent with the coordinated planning process;
4. Notifying eligible local entities of funding availability;
5. Soliciting applications from potential sub-recipients;
6. Determining applicant and project eligibility;
7. Certifying allocations of funds are made on a fair and equitable basis;
8. Submitting an annual POP and grant applications/reports to FTA;
9. Ensuring that all sub-recipients comply with Federal requirements;
10. Certifying that all projects are included in a locally developed , coordinated public transit-
human service transportation plan developed and approved through a process that included
participation by seniors, individuals with disabilities, representatives of public, private, and
non-profit transportation and human service providers, and other members of the public;
11. Certifying that to the maximum extent feasible,funded 5310 services are coordinated with
transportation services assisted by other Federal departments and agencies;
12. Overseeing the implementation of projects as developed/prioritized in the coordinated plan;
13. Ensuring at least 55 percent of the apportionment is used for traditional Section 5310
projects carried out by eligible sub-recipients; and
14. Managing all aspects of grant administration, distribution, and oversight for sub-recipients.
Technical Subcommittee
The DCHC MPO draws upon a technical subcommittee to assist in the development of a variety of
materials, including the development and update of the 2013 Coordinated Human Services
Transportation Plan Update and project evaluation criteria. The subcommittee represents a wide
variety of special needs transportation interests, and is comprised of the following types of
agencies:
• Human service transportation providers
• MPO Technical Coordinating Committee—transit subcommittees
• County departments of community services
Approved by DCHC MPO TAC 6.11.14 Page 2
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• Transit agencies
• Department of Social and Health Services
C000rdiimmatiion
Section 5310 Grant funding must be implemented effectively and efficiently. One way to provide
quality service under these constraints is to coordinate agencies and projects. Proposed projects
will be evaluated based on their ability to coordinate with other public transportation, community
transportation and/or social service resources (including financing of projects). Projects that include
partnerships with non-profits, private business, or other stakeholders will also receive higher
points. Project sponsors should clearly identify project stakeholders, and how they will keep
stakeholders involved and informed throughout the project. The MPO Lead Planning Agency will
assist coordination efforts related to this program with public and private providers including
human services agencies, private non-profit organizations, community service agencies, private
operators including taxicabs, Meals-on-Wheels, retirement communities, and university
transportation services. Operators of public transportation, such as Chapel Hill Transit, Durham
Area Transit Authority, Triangle Transit Authority, Orange Public Transportation, and Durham
County Access will also be included in all coordination efforts.
In January 2014, the DCHC-MPO adopted the 2013 Coordinated Public Transportation-Human
Services Transportation Plan Update (CPT-HSTP)to fulfill the requirement of MAP-21 for
coordinated public transportation plans. Federal law also requires that the plan be developed
locally"through a process that includes representatives of public, private, and non-profit
transportation and human services providers and participation by the public."The purpose of a
CPT-HSTP is to improve transportation services for persons with disabilities, older adults, and low-
income individuals through a better coordinated transportation system. Plan updates are
mandatory every four years to identify needs of the transportation disadvantaged.
CPT-HSTPs coordinate fixed-route transit, paratransit, and transit services provided by local
agencies and non-profits. Human service transportation projects funded by Federal Transportation
Administration (FTA)grants must be derived from priorities identified in the CPT-HSTP. DCHC-MPO
will continue to facilitate and coordinate human services transportation by hosting 5310 Grant
Workshops for potential sub-recipients, providing quarterly opportunities for coordination amongst
providers, and oversight for the 5310 grant program.
�Iiu i�I��le 502 p' 9h1!C!n15
-lp
The Section 5310 Grant funds have two categories of projects and different eligible sub-recipients
for each category. Not all sub-recipients are eligible for both Traditional and Non-traditional 5310
projects (please see the chart on the next page). Only transportation-related projects that fall
within the Metropolitan Planning Area will qualify for funding.
Please Note: All organizations or business entities receiving 5310 funds must have a Data Universal
Numbering System (DUNS) registration number. This is a nine-digit identification number that
provides a unique identification for business entities. Applicants that do not currently have a DUNS
number can obtain one for free from Dun and Bradstreet (www.dnb.com). It takes about five weeks
to receive the DUNS number after all the information is entered.
Approved by DCHC MPO TAC 6.11.14 Page 3
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DCHC-MPO will allow organizations to apply without the DUNS number, but will not be able to
disburse any grant funds until the DUNS number is provided.
Types of eligible agencies:
Private non-profit organizations. A non-profit organization is a corporation or association
determined by the Secretary of the Treasury to be an organization described by 26 U.S.C. 501(c)
which is exempt from taxation under 26 U.S.C. 501(a) or one which has been determined under
State law to be non-profit and for which the designated State agency or urbanized area
designated recipient has received documentation certifying the status of the non-profit
organization;
State or local governmental authorities approved by the state to coordinate services;
Operators of public transportation services, including private operators of public transportation
services.
Agencies eligible for project categories:
Traditional 5310 Projects Non-Traditional 5310 Projects
1) Private, non-profit organizations. 1) Private, non-profit organizations.
2) State or local governmental authorities 2) State or local governmental authorities
approved by the state to: approved by the state to coordinate services
a. coordinate services for seniors and for seniors and individuals with disabilities.
individuals with disabilities
or 3) Operators of public transportation (including
b. certify that there are no non-profit private operators and taxicab programs).
organizations readily available in the
area to provide the service.
Ifif Ill iig,iIIm,III,t A,gtiyiitiies
II ui a Ain na01
According to the MAP-21 legislation, at least 55 percent of a recipient's Section 5310 funds are
required to be used for capital projects that are "traditional" Section 5310 projects.The 55 percent
requirement is the minimum, however capital projects can utilize more of the apportionment if
needed. Capital projects are public transportation projects planned, designed, and carried out to
meet the special needs of seniors and individuals with disabilities when public transportation is
insufficient, inappropriate, or unavailable. New or replacement buses and vans are a capital
expense, however as the LPA is unable to hold a lien on vehicles (which is recommended by the
FTA), vehicle purchase with 5310 funds is unlikely.The City of Durham cannot record a lien against
the title of any vehicles purchased by sub-recipients, including vehicles purchased with 5310 funds.
Therefore,grant applications that include the use of 5310 funds for vehicle purchase will receive
very low scores due to the impossibility of recording a title lien. Fundable capital expenses that are
considered traditional projects include, but are not limited to:
Vehicle rehabilitation (e.g. radios, wheelchair lifts, ramps); passenger facilities (benches,
shelters, and amenities); Intelligent transportation systems (ITS); dispatch and fare collection
systems; lease of equipment when it is more cost effective; transportation services under
Approved by DCHC MPO TAC 6.11.14 Page 4
18
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contract or lease; capital and operating expenses associated with contracted services;
coordination programs among public transportation providers and other human services
agencies. Mobility Management is an eligible capital cost.
Iui na0I
The Section 5310 program has expanded the list of eligible activities to include "non-traditional"
public transportation projects that:
a. improve access to fixed-route service and decrease reliance by individuals with
disabilities on complementary paratransit.
b. exceed the requirement of the ADA.
c. provide alternatives to public transportation that assist seniors and the disabled.
These non-traditional projects are not permitted to utilize more than 45 percent of the Durham UZA
apportionment.These projects must be targeted toward meeting the transportation needs of
seniors and individuals with disabilities, although the services may also be used by the general
public. It is not sufficient that seniors and individuals with disabilities are included (or assumed to
be included) among the people who will benefit from the project. FTA encourages projects that are
open to the public as a means of avoiding unnecessary segregation of services.
The following activities are examples of eligible projects that go beyond the minimum requirements
of ADA:
Expansion of service hours for ADA paratransit beyond hours of fixed-route services; incremental
cost of providing same day service; incremental cost of making door-to-door service available to all
ADA paratransit riders; enhancing service by providing escorts or assisting riders through the door
of their destination; purchase of equipment designed for mobility aids that exceed the
dimensions/weight ratings under the ADA and labor costs of aides to help drivers with over-sized
wheelchairs and installation of additional securement locations in public buses beyond ADA
requirement.
Public transportation alternative activities may include: purchasing vehicles to support new
accessible taxis, ride sharing, and/or vanpooling programs; supporting the administration and
expense related to new voucher programs for existing transportation services offered by human
service providers (mileage reimbursement as part of a volunteer driver program, taxi trip, or trips
provided by human service agency).Vouchers are an operational expense that requires a 50/50
match.
®ca01 Sham an III...®ca01 III'° a iiiu Ill e uhements
The 5310 grant program requires a local match to ensure projects are 100%funded.The FTA's
contribution varies according to project type (please see below). Non-DOT funds and local and
private funds can be used as the local match. Matching share requirements are flexible to
encourage coordination with other federal programs that may provide transportation, such as
Health and Human Services or Medicaid. All sources of local match must be identified and described
in the grant application.
Funds can be used to support:
• Capital Projects—80% Fed/20% Local Match
• Operating—50% Fed/50% Local Match
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• ADA or CAA' compliant vehicles—85% Fed/15% Local Match
• ADA or CAA vehicle-related equipment (on and attached to the vehicle)—90% Fed/ 10%
local
Income from contracts to provide human service transportation may be used either to reduce net
project cost (treated as revenue) or to provide local match for Section 5310 operating assistance.
No FTA program funds can be used as a source of local match for other FTA programs. Matching
share requirements are flexible to encourage coordination with other federal programs that may
provide transportation, such Health and Human Service or Medicaid. Some examples of sources of
local match which may be used for any portion of local shares include:
• State or local appropriations;
• Other non-DOT Federal funds eligible to be expended for transportation;
• Private donations;
• Revenue from human service contracts;
• Net income generated from advertising and concessions.
• Income from contracts to provide human service transportation.
Local match may be derived from other Federal funds derived from Federal programs that are
eligible to be expended for transportation, other than from the DOT programs. Examples of types
of programs that are potential sources of local match for Section 5310 include:
• employment training,
• aging,
• medical,
• community services, and
• rehabilitation services.
To be eligible for local match for FTA funds, the other Federal funds must be used for activities
included in the total net project costs of the FTA grant. Expenditure of other Federal funds for
transportation outside of the scope of the project cannot be applied as a credit for local match in
the FTA grant. Specific program information for other types of Federal funding is available at
www.unitedweride.gov.
II'irolect Seliect ion Criteria and Method of Diistoriilbutiing, Funds
Project funds will be awarded through a competitive selection process. The process will begin every
two years during the spring with a call for projects. After receipt of applications by the DCHC-MPO
staff, applications will then be forwarded to the Subcommittee of the DCHC's Technical
Coordinating Committee (TCC). The Subcommittee will review and score all applications and make a
selection based on the responsiveness of individual applications. Representatives of this
subcommittee are very familiar with local human service agencies, the target population
documented in the CPT-HSTP, and the transportation issues affecting this target population. After
scoring the proposals, the Transit Subcommittee will recommend projects for funding to the TCC.
1 CAA is the Clean Air Act of 1990
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The TCC will review the projects All applications must meet the following:
recommended for funding and make further
recommendation to the DCHC Technical 1. The proposed project must be a non-duplicative
Advisory Committee (TAC).The TAC will
service or program.
have the final vote on the selection and
funding of the recommended projects.The
2. Eligible matching funds must be identified and
list of approved projects will then be
published and submitted to the FTA for available.
funding. All proposals will reflect public
transportation and human service 3. The primary focus of the proposed service or
transportation priorities documented in the program must serve the target populations
CPT-HST Plan.The recommended top tier (i.e. persons with disabilities or seniors).
transportation priority needs currently
identified by the MPO are listed below: 4. The project must benefit the Durham —Chapel Hill
1. Education and Outreach —Carrboro urbanized area.
2. Access to Services
3. Coordination and Cooperation Eligible applications will then be evaluated on the
4. Alternative Funding following criteria:
5. Rural-Urban Connections
1. Project Need/Goals & Objectives (30%)
Further explanation, detail, and project • Fit with high-priority needs identified in the
ideas that fall under the five general areas of Coordinated Plan
need can be found in the 2013 CPT-HSTP
Update. 2. Quality of the implementation plan (15%)
IPors,gE iii,,2 ,,11,i 2.12 ,1, ,,,,,p„ 2312 2112li , ,lrm,1,,,11d, 3. Project Budget(15%)
p ,p21231.alll lP,process • Efficiency (estimated cost per new customer)
In accordance with the federal • Financial sustainability beyond grant period
transportation law, MAP-21, all projects
selected for 5310 Grant funding must be 4. Partnerships and Outreach (25%)
"included in a locally developed, • Effectiveness of proposed partnerships
coordinated public transit-human service • Maximize additional resources
transportation plan."The 2013 CPT-HSTP • Quality of marketing/outreach plan
Update identifies five top priority needs, • Geographic range of project benefits
with many project ideas under each
category. Applicants can propose more 5. Program Effectiveness and Performance Indicators
detailed project ideas than are listed in the (10%)
CPT-HSTP, allowing applicants the flexibility • Quality of the evaluation plan
to address needs creatively.
6. Innovation (5%)
Ilprp „pIllip • Applicability of innovative ideas or creative
The Project Selection process will be financing elsewhere in region
conducted every two years, as long as 5310
grant funds are available.The solicitation of
Approved by DCHC MPO TAC 6.11.14 Page 7
21
projects will be announced as early in each calendar year as is feasible,to provide applicants with
ample time to develop complete proposals. During this first year, the solicitation announcement
follows the Transportation Advisory Committee's approval of the CPT-HSTP and the Program
Management Plan. In subsequent years, the solicitation announcement will occur earlier, to
provide applicants with ample time to develop complete applications.
All applicants will be required to submit a completed application. This would allow enough time for
the application evaluation by the Technical Coordinating Committee (TCC) subcommittee. This
subcommittee would make funding recommendations to the full TCC, who in turn would make final
recommendations to the Transportation Advisory Committee. The criteria recommended for use in
evaluation of competing applications are listed in the box at right.
The intent is that the selected projects will enable all the stakeholders to cooperatively move
toward an increasingly coordinated transportation system. This will better serves the needs of all
our customers, but particularly those who have traditionally been transportation-disadvantaged.
The TCC will review and make all necessary updates to the program as it deems necessary.
II'irole Seliect ion C riteoriia/AilsIpi icat ionand Scoring
The LPA is electing to conduct a competitive selection process for projects seeking Section 5310
funds apportioned to the DCHC MPO.
This competition shall occur biennially. The following information and scoring criteria will be used to
score and rate project applications:
1. Project Needs/Goals and Objectives (30 points):The project should directly address priority
transportation needs identified through the Durham-Chapel Hill-Carrboro MPO's locally
developed Coordinated Public Transportation - Human Services Transportation Plan. Project
application should clearly state the overall program goals and objectives, and demonstrate
how the project is consistent with the objectives of the 5310 grant program. The project
application should indicate the number of persons expected to be served, and the number
of trips (or other units of service) expected to be provided.
2. Implementation Plan and Evaluation (15 points): For all projects, applicants must provide a
well-defined service operations plan and/or capital procurement plan, and describe
implementation steps and timelines for carrying out the plan. The implementation plan
should identify key personnel assigned to this project and their qualifications. Project
sponsors should demonstrate their institutional capability to carry out the service delivery
aspect of the project as described.
3. Project Budget(15 points): Projects must submit a clearly defined project budget, indicating
anticipated project expenditures and revenues, including documentation of matching funds.
Proposals should address long-term efforts and identify potential funding sources for
sustaining the service beyond the grant period.
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4. Partnerships and Program Outreach (25 points): Proposed projects will be evaluated based
on their ability to coordinate with other public transportation, community transportation
and/or social service resources. Projects that include partnerships with non-profits, private
business, or other stakeholders will also receive higher points. Project sponsors should
clearly identify project stakeholders, and how they will keep stakeholders involved and
informed throughout the project. Project sponsors should also describe how they would
promote public awareness of the project. Letters of support from key stakeholders and/or
customers should be attached to the grant application.
5. Program Effectiveness and Performance Indicators(10 points):The project will be scored
based on the project sponsor's ability to demonstrate that the proposed project is the most
appropriate match of service delivery to the need, and is a cost-effective approach. Project
sponsors must also identify clear, measurable outcome-based performance measures to
track the effectiveness of the service in meeting the identified goals. A plan should be
provided for ongoing monitoring and evaluation of the service, and steps to be taken if
original goals are not achieved. Sponsor should describe their steps to measure the
effectiveness and magnitude of the impact that the project will have on target markets (i.e.,
persons with disabilities or seniors).
6. Innovation (5 points):The project will be examined to see if it contains innovative ideas
(service concepts or facilities, creative financing, or new technologies) that have the
potential for improving access and mobility for the target populations and may have future
application elsewhere in the region.
Designated recipients of the Section 5310 Grant funding may utilize up to 10%of each yearly
apportionment to support program administrative costs including administration, planning, and
technical assistance. This activity may be funded entirely by federal funds and does not require a
local match. The City of Durham being the designated recipient will utilize allowable funds up to
10%of the total value of any grant that they administer. These funds will offset the cost of
overhead and staff salaries associated with application process, project approval and grant
management activities. These dollars will be used to support the competitive selection process and
updates to the Coordinated Human Services Transportation Plan.
In the course of administering projects for sub-recipients, the designated recipient, the LPA (City of
Durham Transportation) may include up to 10%of the net application project amount to fund
program administration costs including administration, planning, and technical assistance.
Allowable administrative costs may include, but are not limited to, general administrative and
overhead costs, staff salaries, office supplies, and development of specifications for vehicles and
equipment. Guidance on eligible costs can be found in the Office of Management and Budget
(OMB) Circular A-87.The City of Durham, as the designated recipient will assist in determining
needs within service areas for seniors and persons with disabilities. This assistance includes an
inventory of existing public transportation services,the total estimated demand for seniors and
persons with disabilities transportation and the estimated number of vehicles of a given capacity to
satisfy the unmet demand.
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The City of Durham will offer to provide technical assistance for applications and grant
administration to local groups or organizations that plan to provide transportation services to
seniors and persons with disabilities. Grant applicants should consider some the following factors
based on specific project type: number of trips,trip purpose, the locations of shopping areas and
medical facilities, nutrition sites, social services, recreation areas,the estimated number of vehicles
and sizes needed to fill gaps in service. Data compiled on the existing transportation services
available in the area will be used and an analysis will be made as to whether or not the existing
services are insufficient, inadequate or inappropriate to meet the need.
Transfer of..ands
Transfers of Section 5310 funds to other FTA programs or sub-recipients are not permitted. Upon
successful program selection and funds approval by the Durham City Council, the designated
recipient would apply for grants and pass-through funds to sub-recipients under the guideline
outlined in this PMP and consistent with pass-through agreements.
IIlii,vate S21tour EREtiigii, !,a ,pia, t
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
To the extent possible, the DCHC-MPO will provide equal and adequate access for all public and
private transportation and Human service providers in the Metropolitan area to enable them to
apply for the grant, and if qualified, receive funding from the program. The competitive selection
process is open and public. Notices for funding and call-for-projects will be advertised in
newspapers, as well as mailed out to partners and stakeholders on the MPO Coordinated Human
Services mailing lists.
gvii III Ifni,g,lll�m;s/tt,;,�i,;tIlle,,VI{
,,,,,,,,,,,,,,,,,,,,,,,,,,,,,,
The City of Durham will require that sub-recipients recommended for federal funding submit all
project appropriate FTA certifications and assurances as part of the application process and
annually thereafter. These include, but are not limited to:
1. Nondiscrimination Assurances
2. Assurance of Nondiscrimination on the Basis of Disability
3. Equal Employment Opportunity Policy
The City of Durham will not execute any grant contract without having first received these items.
The City and NCDOT shall exercises an active oversight role with regard to the equipment
procurement process. The MPO shall require that bidding documents for equipment be in
compliance with Subpart D, 49 CFR, Part 26.This requirement relates to the purchase of goods
and/or services from disadvantaged business enterprises (DBE). Sub-recipients are required to
annually report purchases made from DBE vendors and provide a description of their good faith
efforts to locate and purchase from DBE vendors.
The DCHC—MPO will ensure that all fund recipients comply with federal civil rights requirements
related to the execution of the funded project. The MPO will also ensure that recipients of the
funds provide equal access and mobility for any person without regard to race, color or national
origin.
Consequently, the DCHC would make certain that projects funded by the grant have in place
adequate measures to meet or exceed federal Title VI assurance and DBE goals, and provide fair,
Approved by DCHC MPO TAC 6.11.14 Page 10
24
equitable service to minority women, children and the elderly population in the course of executing
the funds. Also, the DCHC, in the process of selecting fund recipients would make sure that
potential fund recipients have incorporated minority programs into their proposal and that the
disadvantaged population group have been given due consideration and are not harmed by the
execution of the project.
Section 'y04 and ADA Reporting
The DCHC-MPO project funding guidelines will guarantee that all programs funded by Section 5310
funds comply with all Section 504 and ADA rules and regulations. Accordingly, all applicants would
be made to certify that their respective projects comply with all applicable rules and regulations
related to Section 504 and ADA. Also, program selection would be made with Section 504 and ADA
compliance requirements in mind and the level of compliance may influence the selection of a
program.
Additionally,The DCHC-MPO would require that fund recipients have endorsement from other
human service agencies that cater to the needs of ADA clients. Also, any ADA violation by a fund
recipient may be ground for termination of the funds. The LPA will notify each grant recipient at the
time of the grant award that that allegations made in regards to discrimination in service or
employment, including Section 504 and ADA will be reported and investigated. The City Human
Relations Department may be contacted by anyone alleging discrimination in service or
employment, including Section 504 and ADA. Sub-recipients must be in compliance with Section
504 ADA requirements. Any written complaints alleging discrimination will be referred to Durham
Human Relations Department and the NCDOT's Office of Equal Opportunity.
Program Measures
At the beginning of each program year, and depending on the scope or the emphasis areas chosen
by the DCHC-MPO as qualified areas for funding, a set of criteria would be outlined that would be
the basis for selection of projects. As part of the compliance and monitoring process, individual
projects will have specific reporting benchmarks that must be met in order to stay compliant and be
eligible for continuous funding.
On a quarterly basis, all sub-recipients will provide documentation to their financial administrator,
and reports would be compiled and forwarded to the DCHC-MPO for further review and filing. Such
reports will be required when invoices are submitted for payment by the recipient. Twice a year,
the DCHC-MPO will review the benchmarks and make necessary notations as may be required to
ensure that the recipients are in full compliance and fulfilling the objectives depicted in their grant
application. Overall the program administration would ensure that:
• All applicants, both public and private, are given equal opportunity to submit application for
financial assistance under this program.
• All recipients understand the purpose of the funding program, general reporting standards,
and requirements set by the program administrators.
• All recipients and sub-recipients are in compliance with the requirements contained in the
provisions of the program, including the provision of all relevant information or reports
related to the execution of the program.
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The DCHC MPO will also submit a consolidated report of(both quantitative and qualitative)
information available on each of the following measures with its fourth quarter or annual milestone
progress reports:
(1) Gaps in Service Filled: Provision of transportation options that would not otherwise be available
for seniors and individuals with disabilities measures in numbers of seniors and individuals with
disabilities afforded mobility they would not have without program support.
(2) Ridership: Actual or estimated number of rides (as measured by one-way trips) provided
annually for seniors or individuals with disabilities on Section 5310 supported vehicles and
services.
(3) Physical Improvements: Additions or changes to environmental infrastructure (e.g.
transportation facilities, sidewalks, etc.), technology, and vehicles that impact availability of
transportation services as a result of project implemented in the current reporting year.
(4) Other Measures: Any other measures the FTA Secretary deems appropriate.
22§i,g,ii;m,a;,ec',,,,,Iltggiilkie,li;m, ,,,,11',ir2g,lra,ii; ,,,,,,ll ll,am;,ma,geli; ,e,li t
The City of Durham will be responsible for ensuring certain reports are provided to FTA each year or
as needed. In order to provide these reports for services provided by the City and its sub-recipients,
it will be necessary for The City of Durham to collect certain data from each sub-recipient. The
reports that City of Durham will provide to FTA each year are:
Annual Program of Projects (POP) Status Reports—The City of Durham will submit quarterly status
reports that include an updated POP for each approved grant that contains active projects.The
updated POP reflects project descriptions, changes in projects from one category to another, and
adjustments if applicable.
Significant civil rights compliance - Issues occurring during the year (such as Title VI, Equal
Employment Opportunity (EEO), or Disadvantaged Business Enterprise (DBE) Program complaints
against the designated recipient, the City of Durham or sub-recipients will be addressed in the
annual status report. The City of Durham will also report notable accomplishments or problems
involving 5310 Grant sub-recipients.
Milestone Activity Reports - For activity line items (ALIs)for which milestones were required at the
time of the recipient application (for example,for vehicle procurements, construction projects, and
program reserve),The City of Durham will provide revised milestone dates as part of the report. If
the estimated completion date for the grant has changed, the revised date will be provided with an
explanation as to why the date has changed
The daily monitoring as well as management of the program will be done by the designated
recipient, the City of Durham. All procurement emanating from the grant must comply with the
established compliance guidelines set by the program. In cases of gross mismanagement, fraud or
non-performance of the project, the City would set in motion a process to cut off funds, involve the
City of Durham's attorneys or do both. In some cases assets acquired with funds from the program
Approved by DCHC MPO TAC 6.11.14 Page 12
26
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may be taken away or transferred to other agencies to ensure that public funds are not wasted but
put to proper use. Additionally the City of Durham would establish the following annual process for
managing the program:
• Establish timeline and procedure for announcing, selecting, disbursing funds and monitoring
of programs.
• Establish procedure for developing updates and maintaining local standards for compliance
with the program.
• Establish internal guidelines for making determinations of compliance with the program, and
contract administration.
• Conduct end-of—program assessment to assure that all goals were met and also the program
complied with all requirements of the guidelines established.
• Provide avenue for further review, updates or amendments to the local program
requirement.
The City of Durham will monitor sub-recipients' compliance with federal requirements and program
guidance. The City of Durham will use a checklist and provide a summary of each visit,which it will
keep on file and make available to FTA during any federal program management reviews
Ceortiifiicatiions
Certifications are required for all federal grant recipients, sub-recipients, contractors, and
subcontractors. For DCHC MPO transit operators, the certification is part of the Annual List of
Certifications and Assurances that they submit to the FTA.Transit operators are required to include
the lobbying clause in its FTA-funded agreements, including sub-recipient agreements, third party
contracts, and subcontracts exceeding$100,000. Signed certifications must be obtained by the City
of Durham from all sub-recipients. The full list of certifications and required documentation is
located on the 5310 application.
5 IU4-orecii,p ,iD t..A,g,iree,oi; eEtt
The City of Durham will develop and execute sub-recipient agreements with all sub-recipients
awarded funding under the Section 5310 Grant Program. The sub-recipient agreements for capital
projects will detail the scope of work of the project. Agreements for operating assistance will
outline the type of service provided by the sub-recipient, the time period covered by the
agreement, and the service area. All sub-recipient agreements will include the funding amounts
awarded. Any expenses incurred in excess of the budgeted amounts are the sole responsibility of
the sub-recipient.
1 3.2.i22irk,inglEg.qt2.11,2.2ts.
Sub-recipients are required to report on various items with each quarterly invoice. In addition to
the measures mentioned above under the section "Program Measures", grantees will be required
to propose a set of performance measures that will allow the MPO to evaluate the implementation
and effectiveness of individual grant projects. The performance data required of each sub-recipient
will vary, but performance measures agreed upon are required in the quarterly project status
report. Examples of performance measures include, but are not limited to:
• Passengers per day/hour • Net Cost per passenger/client
• Average passenger revenue • Annual vehicle miles traveled
Approved by DCHC MPO TAC 6.11.14 Page 13
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• Revenue service hours provided • Expanded service provision
• Number of additional clients
served/trained
A brief narrative of quarterly activities shall also be submitted by the grantee (with invoices) to the
DCHC MPO. Information included in the narrative would contain such items as coordination efforts
with employers or other transportation providers, marketing or public awareness efforts, service or
schedule revisions made during the period.
Performance Standards
All sub-recipients are required to report performance on a quarterly basis. Comparisons will be
made among services based on the above reporting requirements. Since 5310 projects may vary
widely in service type, it is recognized that some types of services will always be less financially
productive but none the less important for improved access to transit services.
II'itol ectIfVlls n itor inganc Reviews
The City of Durham shall monitor sub-recipients' compliance with Federal requirements through:
• Careful scrutiny of plans, reports, and certifications submitted to The City of Durham under
the provisions of those regulations, and discussion with sub-recipients to clarify all
requirements.
• Review of quarterly and final reports and invoices sent for payment of costs incurred.
This may include an annual meeting with grant recipients (one of which may be a site visit).
• Reviewing and approving, prior to issuance, any materials developed by sub-recipients in
connection with their project. This shall include but is not limited to any Request for
Proposals (RFPs) and 3rd party contractual agreements related to the project.
The City of Durham shall retain records of all meetings, visits and contacts with sub-recipients.
Throughout the project's progress, the City shall offer sub-recipients program guidance and provide
or arrange for technical assistance, should this be needed.
If�:ii mm a mm a~ii a III IM a mm a g,e,oil,e,oi�m,�,
The designated recipient, the City of Durham, maintains financial management systems for financial
reporting, accounting records, internal controls, and budget controls subject to standards specified
in state laws enforced by the State Auditor, the State Office of Financial Management, and the
Legislative Transportation Committee. All systems and procedures for financial management are in
compliance with 49 CFR 18.20 and the NCDOT's procedures for incurring and recording
expenditures associated with state administration of the 5310 program.
A. Appropriate Expenditures
1. Salaries and payroll additive costs,transportation expenses, and office and other
expendable supplies for all work provided in the approved planning work program.
2. Printing, copying, keypunching, computer processing, mapping and aerial
photography costs as required for carrying out the work provided in the planning
program.
3. Purchases of special equipment.
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4. The Employment of Consultants must be in accordance with North Carolina
Department of Transportation Consultant Selection Procedures; or procedures
approved by NCDOT and FTA. NCDOT must approve the employment of all
consultants. All contracts or agreement with consultants or contractors must be
submitted to NCDOT. Payments to minority or women owned business must be
reported to NCDOT.
5. Reimbursement of other city agencies, municipalities, counties, regional and state
agencies for expenses incurred in conducting work provided for in the planning work
program.
6. Auditing costs associated with fulfilling the requirements of OMB Circular A-133.
B. Accounting Procedures
1. A separate account should be established for the 5310 funds for each fiscal year and
all transactions recorded in accordance with acceptable accounting procedures
which are approved by NCDOT and FTA. OMB Circular A-102 outlines standards for
grantee financial systems.
2. The account established for the planning funds will be included in the annual audit
of the agency in accordance with OMB Circular A-133.
3. Time spent for staff services on work provided for in planning work program should
be recorded by work task on either standard monthly, weekly, or biweekly time
sheets for each individual and filed for audit purposes.
4. Cost for capital and operating (i.e., transportation, office and other expendable
supplies, printing, copying work, keypunching, computer processing, mapping and
aerial photography) should be supported by receipts, logs and vouchers as
appropriate.
5. Reimbursement of other city agencies, municipalities, counties, regional and state
agencies should be on a basis of vouchers submitted and supported by similar
documents as required of the lead agencies. The vouchers should, as a minimum,
specify the staff time expended and work task for which the reimbursement is
requested.
6. The total amount of funds specified in the approved 5310 Grant program will be the
controlling amount for which reimbursement can be claimed for a given fiscal year.
It is recognized that the amount to be spent on each task will vary somewhat from
that estimated in the program. Identification of expenditures by work task in a
quarterly progress report will ensure that work is being accomplished in accordance
with the program and provide guidance in estimating costs for work to be
accomplished in succeeding fiscal years.
C. Reimbursement Procedures
Sub-recipients invoices should be submitted via quarterly reports to MPO/Lead Planning
Agency(LPA). The invoice should indicate/include:
1. The total amount of federal grant funds and matching funds expended during the
subject period and the amount being requested for reimbursement.
2. Quarterly expenditure report by work task.
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29
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3. Year-to-date quarterly narrative.
4. Supporting Documentation (timesheets, receipts, invoices paid, etc.).
D. Quarterly Progress Report Procedures
Quarterly progress reports should be submitted to the MPO/LPA. The quarterly progress
report should include a brief narrative report of transportation planning work accomplished
by the planning agency and any sub-contractor. The quarterly progress report shall be
included with that invoice and expenditures report.
E. Annual Performance Report
An annual performance report is to be submitted with the final planning funds invoice
submission for a fiscal year. The written narrative of the performance report should (1)
compare work accomplishments to anticipated work goal; (2) discuss progress in meeting
schedules; (3) comment on significant task cost overruns/underruns; (4) identify any
approved amendments; and (5) discuss any items of interest, i.e. reorganization and
personnel changes.
F. Sub-Recipients
The aforementioned 5310 Grant funds procedure and requirements apply to sub-recipients.
Sub-recipients shall send appropriate materials and documents to the designated recipient,
the City of Durham.
4141egli ,,ie,oi;m,t,,,,ll,,,ka giiA II\/II2112ge,ii; e,CI
The City of Durham will develop and execute grant pass-through agreements with recipients of
5310 Grant funds. All projects related to capital and operating assistance expenditures are expected
to be incurred locally and reported to the MPO after the agreements have been executed. All grant
agreements for capital projects shall detail the equipment approved for purchase and its intended
use. Agreements for operations assistance outline the type of service provided by the sub-recipient,
the time period covered by the agreement, and the service area.The City of Durham shall
reimburse the sub-recipient with the federal funds based on the proportions identified on the grant
agreement. Grant expenditures shall be identified in the City of Durham Accounting and financial
reporting tool called MUNIS. Also, grant funding and expenditures shall be identified by federal
grant number, grant program and sub-recipient grant number.
The City of Durham shall also maintain spreadsheets for each sub-recipient. These spreadsheets
track project expenditures, amounts charged to each funding source, local matching sources, and
project budgets. Additional spreadsheets may be prepared which summarize the total expenditures
on each grant.
Audits
Sub-recipients shall provide an audit report to the City of Durham. The City of Durham shall conduct
a single audit consistent with the City's audit policies and procedures. NCDOT Auditor is legally
responsible for conducting audits of state agencies and local governments, including public transit
Approved by DCHC MPO TAC 6.11.14 Page 16
30
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agencies. These audits comply with OMB Circular A-133. Auditor issues reports at the completion of
the audits. Sub-recipients who are private non-profit organizations or private for-profit firms are
required to obtain audits of their expenditures and operations annually by an independent audit
firm if their agency has expended in excess of$500,000 in the Federal fiscal year. The audit firm is
instructed by the sub-recipient to send a copy of the report to the City of Durham the year after
they incur grant-related expenditures. NCDOT's Audit Office shall review the audit reports for
compliance with OMB Circular A-110,A-122, and A-133. Any questions raised by the Audit Office
must be resolved by the sub-recipient and the audit firm preparing the audit report.
nose O u t
For internal financial reasons, the City of Durham closes projects several months after reimbursing
the sub-recipient for the last of its eligible expenditures. The process is one of the following:
a) Verification by the City of Durham with the sub-recipient's representative that all project
expenditures have been incurred and reimbursed, or
b) All funding available in the sub-recipient agreement has been reimbursed, or
c) The project has come to the end of its 3-year term (operating projects).
Capital assistance has a term equivalent to the useful life of the equipment purchased, which may
be up to twelve years after acceptance of the equipment. The DCHC MPO may amend or terminate
capital assistance agreements when project equipment is transferred between sub-recipients
before its useful life has been reached. Operating assistance agreements have a term of 36 months
and are not extended or closed prior to the end date of the agreement.
Procurement
Purchasing equipment under the 5310 grant program may be conducted directly by the sub-
recipients. Sub-recipients that are governmental transit entities (such as DATA or Chapel Hill
Transit) will have different procurement processes. These types of entities may participate in
NCDOT's coordinated bid process (with NCDOT oversight). The role of NCDOT and the City of
Durham is to assure purchases are made competitively and in compliance with federal procurement
policies. NCDOT requires that all bid documents and specifications prepared by the sub-recipients
be submitted for review and approval prior to seeking bids for equipment, to assure compliance
with Federal standards.
The DCHC MPO will provide procurement oversight for non-governmental transit entities (private
non-profits or for-profit businesses). The role of DCHC MPO is to assure purchases are made
competitively and in compliance with federal procurement policies. Purchases of equipment by sub-
recipients are required to abide by the Buy America and Disadvantaged Business Enterprise (DBE)
provisions. DCHC MPO requires that all bid documents and specifications prepared by the sub-
recipients be submitted for review and approval prior to seeking bids for equipment, to assure
compliance with Federal standards.
Property Management
The DCHC MPO shall design and maintain a database that contains all equipment inventory records.
The information in the database shall include, but is not limited to the sub-recipient's name,
address and phone number; date accepted; equipment purchased; identification/model numbers;
vehicle equipment is attached to; federal grant number and state agreement number; federal
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31
percentage share; date last inspected, and condition; type of funding used for the purchase; and
other information used by the City for program review and reporting.
lInventoryilleporq, Maintenance Records and ADA Accessibility
Sub-recipients would be required to submit an annual Owned Rolling Stock Inventory. The inventory
will include the following information:
• Year/Make/Model or other ID • Age
• Vehicle Identification Number • Remaining Useful Life
• Agency Vehicle Number • Replacement Cost
• Condition • ADA Accessibility
The information obtained from these inventories will become part of the inventory record.
Recipients and sub-recipients shall maintain equipment maintenance and inspection records for
equipment procured with 5310 funds. In the owner's manual and the lift equipment manual that is
included with each vehicle, there is a complete vehicle maintenance schedule. The schedules list
the service functions and the service time intervals, in months or miles or cycles. Recipients will be
required to service the vehicle(s) and equipment, at a minimum, in accordance with the
maintenance schedules, and to keep records to show that service was completed. During an annual
inspection, the City of Durham will ask to review the maintenance records. The City of Durham will
randomly pick maintenance reports to review. In addition, each recipient will submit certification
that service is completed at least as scheduled per the owner's manuals. Request for certification
will be sent out annually by the City of Durham.
Recipients and sub-recipients shall maintain ADA accessibility records and checklist.The DR shall
be provided a checklist for maintenance and ADA Accessibility features such as lift, voice
annunciation, etc. Sub-recipients may be required to provide their daily log of their maintenance
and ADA accessibility checklist to the City of Durham.
Sub-recipients are required to prepare a variety of reports on a quarterly basis. These include a
project narrative, local matching sources used, number of passenger trips provided, vehicle miles
traveled, revenue service hours provided, or any other specific benchmarks established at grant
award. They are also required to report on an annual basis their efforts in purchasing from DBE
vendors and a vehicle condition report.
Other Provisions
The DCHC MPO makes appropriate certifications of compliance with Federal requirements. The
designated recipient, the City of Durham will cite language regarding these Federal requirements in
its contracts with sub-recipients and requires each sub-recipient to execute a certification of
compliance with the relevant Federal requirements. Sub-recipient certifications are required of the
sub-recipient at the time of application (if applicable). In addition to monitoring sub-recipient's
adherence to Title VI requirements, all other applicable federal requirements and certifications will
be monitored under the City of Durham 5310 Grant compliance program currently under
development.
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Under the Buy America provision applicable to FTA grants, FTA funds may not be obligated unless
steel, iron, and manufactured products used in FTA-funded projects are produced in the United
States. Rolling stock (including train control, traction power and communication equipment) must
be assembled in the United States and have a 60 percent domestic content to be considered a
United States product. The DCHC MPO, in accordance with FTA regulations, requires as a condition
of responsiveness, that a bidder submit with its bid a completed Buy America certificate.
lIEnviioronmentalll IP rotectiion
The DCHC MPO anticipates only funding projects with categorical exclusions from both the National
Environmental Protection Act (NEPA) and the State Environmental Protection Act (SEPA). Therefore,
there should be no further documentation necessary. However, should a project be approved that
is subject to environmental regulations, the MPO will ensure that the sub-recipient meets all
environmental requirements. If such a project were funded, the MPO would require the sub-
recipient to submit all necessary documentation.
Restriction on II...obbiingand Code of If;;tlhiics
The MPO requires each sub-recipient to complete FTA's Certification on Lobbying prior to contract
execution. All bids for equipment prepared by these sub-recipients are required to contain this
certification as well. The City's contract with sub-recipients shall require the development and
implementation of a written code of ethics. All staff, officers, employees, board members or agents
of the sub-recipient are required to comply with the code of ethics. The City of Durham shall verify
compliance with this regulation during project monitoring visits.
1131 rwug,,ancj' Alllcoh li Testing
Governmental transit operators, in accordance with 49 CFR Part 655, must have a drug and alcohol
testing program in place for all safety sensitive employees. Section 5310 sub-recipients that also
receive funding under other FTA programs (Section 5307, 5309, or 5311) must adhere to the
mandated FTA drug and alcohol testing program. Any employees funded under Section 5310
projects should be included in the established testing program.
The City of Durham will also require private and non-profit sector sub-recipients with safety
sensitive employees to have a drug and alcohol testing program.The testing policies also apply to
any contractor or subcontractor with safety sensitive employees. Sub-recipients without safety
sensitive employees should submit their drug-free workplace policy. Sub-recipients will be
required to submit their drug and alcohol policy and/or drug-free workplace policy to DCHC MPO
LPA(the Lead Planning Agency) as part of the project application process. This procedure will be
reviewed and approved by the City of Durham. The LPA will monitor the sub-recipient's drug and
alcohol program proactively over the course of the sub-recipient agreement. The information that
the City of Durham requires will be clearly defined in the contract documents issued by the City of
Durham and a conformed copy of the contract, including the specifications, maintained by the City
of Durham.
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The Davis-Bacon Act is applicable to all federally funded construction contracts in excess of$2,000.
This Act requires that each contract for the construction, alteration, or repair (including painting
and decorating) of public buildings or public works within the United States shall contain a clause
that no laborer or mechanic employed directly upon the site of the work shall receive less than the
prevailing wage rate as determined by the U.S. Secretary of Labor. The minimum wages (including
fringe benefits) are those determined by the Secretary of Labor to be prevailing for the laborers and
mechanics employed on projects of a similar character in the area in which the work is to be
performed. Recipients and Sub-recipients will be required to include the prevailing wage rates in
contracts for construction in excess of$2000. Additional guidance can be found in 29 CFR parts 1, 3
and 5.
II'orolbiibiitiiomm o0 .?5.clllg.§1ve S b.92ll EERI §2.211.2 ,ia,plum,
Sub-recipients may not provide school bus transportation solely. School bus transportation is
defined by FTA as transportation exclusively for school students or personnel. Sub-recipients are
required to certify compliance. Students with disabilities are permitted on regular service along
with the general public ("tripper service"). The Applicant and sub-recipients understand that a
violation of this agreement may require corrective measures and the imposition of penalties,
including debarment from the receipt of further Federal assistance for transportation.
Approved by DCHC MPO TAC 6.11.14 Page 20