Table of Contents Chapter 4: Urbanized Area Program Requirements

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1 Table of Contents Chapter 4: Urbanized Area Program Requirements 4-1 Tracking State Requirements 4-1 ODOT Certification of Capital and Operating 4-1 Data Report Other State Requirements 4-2 o Public Transit Management System 4-2 (PTMS) o Review/Copies of Audits 4-4 Tracking Federal Requirements 4-4 National Transit Database (NTD) 4-5 Other Federal Requirements 4-8 o Title VI Program/Environmental Justice 4-8 Assessment o Public Comment Process for Fare and 4-11 Service Changes o Reduced Fares for Elderly and Disabled 4-12 o Americans with Disabilities Act (ADA) 4-14 o Charter Bus Service 4-21 o School Bus Provisions 4-25 o Safety and Security 4-27 o Drug Free Workplace 4-33 o Drug and Alcohol Program 4-35 o Environmental Protection/Clean Air 4-39 Amendments o Equal Employment Opportunity (EEO) 4-41 Appendix 4-1: ODOT Standardized Operating 4-44 Data Definitions

2 Chapter 4 Urbanized Area Program Requirements This chapter addresses the principal requirements of urban transit systems that are state and federal transit program grantees. It is important to note that this manual is a guide only. Urban transit systems should reference ODOT program criteria and/or FTA circulars for more complete information. Tracking State Regulations ODOT Office of Transit communicates in its transit update information any state and federal regulation that it becomes aware of that may affect transit systems. In addition, when applying for state grant funding, a grantee must provide Standard State Assurances that specific state regulations and requirements will be addressed. At the present time, those assurances require grantees to submit to ODOT a copy of: All planning support documents, including but not limited to the short range transit plan, ridership surveys, long range transit plans and technical memos at the time they are prepared; The National Transit Database (NTD) Report at the same time it is submitted to US DOT (or April 30 th whichever comes first) (NTD reporting requirement is discussed later in this Chapter); Each audit no later than 30 days after its completion (the audit requirement is discussed later in this Chapter); Each approved US DOT grant contract s budget; The State Certification of Capital and Operating Data no later than February 15 (Certification of Data requirement is discussed later in this Chapter); Public Transportation Management System (PTMS) data by February 28 (PTMS requirement is discussed later in this Chapter); and All other information ODOT requests. ODOT Certification of Capital and Operating Data Report On an annual basis ODOT requires grantees to complete a Certification of Data Form. This multi-page Microsoft Excel spreadsheet (Excel) form is ed to grantees usually during December and must be completed and returned by mid- February. In general, most of the data required is similar to the data required by 1

3 the NTD Report. Prior year data is already included and many of the calculations are pre-programmed. The most current form contains the following 13 sections: Section 1 System Information Supplies basic contact information Section 2 System Characteristics Reports on the type of service operated and some basic census data of the grantee s service area Section 3 Service Providers Used to report information on any contracted service provider Section 4 Service Hours Service hours by service category Section 5 Fares Information on current fare structure Section 6 Service Statistics Operation data on hours, miles, trips, etc. Section 7 Personnel Employee headcount data Section 8 Local Support Sources of local funding Section 9 Operating Funding A detailed breakdown of grantee s federal, state, and local revenues Section 10 Operating Expenses Summary data on operating costs Section 11 Capital Funds Summary data on capital purchases and funding Section 12 Performance Measures Calculated ratios based on the input of the data from the rest of the form Section 13 Certification Name and contact information of person certifying that the data on the form is accurate and complete. It is extremely important that this form is completed accurately and submitted on time as ODOT uses the data to help allocate future years Ohio Public Transportation Grant Program (OPTGP) and Elderly and Disabled allocations. In addition, this data is published annually in the Status of Public Transit in Ohio report. ODOT can impose a penalty of 2.5% of future allocations if a grantee misses the reporting deadline. ODOT has assisted Ohio transit systems in collection, recording, and reporting of data by establishing standardized operating data definitions for miles, hours and passenger trips, as well as compiling frequently asked questions and answers (see Appendix 4-1). Other State Urbanized Area Program Requirements: The Ohio Public Transportation Management System (PTMS) The current federal transportation authorization bill requires the maintenance of management systems for pavement (PMS), bridges (BMS), safety (SMS), congestion (CMS), and public transportation facilities and equipment (PTMS). The systems provide information concerning the condition and performance of the existing and future transportation system. The needs identified by these management systems are considered in developing metropolitan and statewide 2

4 transportation plans and improvement programs and in making project selection decisions. The Ohio PTMS maintains information gathered on the condition and cost of transit assets (e.g., maintenance facilities, stations, terminals, equipment, and rolling stock) and the cost of transit operations on a continual basis. ODOT implements PTMS in cooperation with local MPOs through a systematic process that collects and analyzes information. PTMS data is used by policy and other decision makers to identify needs, and to select cost-effective strategies for providing operating funds and maintaining transit assets in serviceable condition. Annual PTMS Vehicle and Equipment Update Process Every December, ODOT provides each transit grantee with detailed instructions and PTMS vehicle and equipment files in Excel. These spreadsheets record the equipment and vehicle conditions and vehicle mileages as of December 31 st of the previous calendar year. Transit systems must update this information for the current calendar year. All vehicles must be reported regardless of funding source or use (both revenue and nonrevenue service vehicles). Vehicle mileage and condition are recorded. Any vehicles that are removed from service must be identified as to disposition date and the mileage at the time of disposition. All equipment with an original price of $100,000 or greater must be recorded and rated according to condition. ODOT provides PTMS Equipment and Condition Instructions with the PTMS update materials. Vehicle condition is determined by rating ten (10) vehicle subsystems on a 1-10 scale and then adding the subsystem scores. The total score determines a vehicle condition score as excellent, good, moderate, poor, or unusable. Condition of equipment costing over $100,000 is likewise rated as excellent, good, moderate, poor, or unusable condition. ODOT requires grantees to update PTMS data via for the previous calendar year by late February of the following year. Failure to supply this information by the due date could result in a 2.5% reduction in their annual Ohio Public Transportation Grant Program formula allocation. PTMS Facility Reporting Requirements Every three (3) years, transit grantees must report on the condition of any operations or transfer facility, electric substations, rail stations and intermodal facilities. Each facility is evaluated on its structural condition (i.e., walls, floors, roof, mechanical systems, water, sewer, fueling storage systems, fare collection areas, and conformity to federal/state mandates) as well as its functional condition (i.e., usability - taking into account items such as employee safety and comfort, functional usefulness, maintenance and storage capacity, access by the general public, dispatching and other operational considerations, etc.). In addition, interior conditions of facilities are evaluated. Lastly, the remaining service life (RSL) for a facility must be reported and based upon a four-year 3

5 capital and operating plan, a Transit Development Plan (TDP) or similar technical document(s) where programming of major renovations and replacements are scheduled. These supporting documents must have been completed within the past five (5) years. Other State Urbanized Area Program Requirements: ODOT Review/Copies of Audits Grantees must agree or permit ODOT or its agents to inspect the grantee s records, books, operations, and facilities to ensure compliance with the grant contract. In addition, grantees must provide ODOT, Office of Transit with copies of all audit reports required by OMB Circular A-133 (see Chapter 10 for information on audit requirements) within 30 days after completion of the audit report. Tracking Federal Regulations Federal transit law is codified in Chapter 53 of Title 49, United States Code (USC). The section of Chapter 53 that authorizes and governs the federal transit administration of the Urbanized Area Formula Program is Section 5307 (49 USC Section 5307). There are many federal regulations that relate to Federal Transit Administration (FTA) programs. Transit managers should become familiar with the Federal Register (FR) and the Code of Federal Regulations (CFR) The FR is a daily publication that provides a uniform system for publishing presidential and federal agency documents. The CFR is revised annually and incorporates changes published in the FR as of the date noted on the cover. Regulations in the CFR are cited by title, part, and section number. For example, 49 CFR refers to title 49, part 604, and section 11. Changes to the CFR are published in the FR as codified regulations. However, not all documents published in the FR are codified in the CFR. New regulations or amendments to existing regulations that are under consideration are published in the FR as notices of proposed rulemaking (NPRM) to give interested parties the opportunity to comment before the regulation becomes a final rule. FTA maintains a checklist of current federal regulations relating to FTA programs. FTA allows a grant applicant to certify once each year to compliance with the various requirements (further discussed in Chapter 10, Grantee Self- Certifications). Since regulations change frequently, transit managers should monitor the Federal Register. Check the following website for a list of FTA 4

6 regulations with links: National Transit Database (NTD) (formerly Section 15) Collection, Recording, and Reporting of Data Annually, all recipients of Urbanized Area Formula funding and any organization operating urban transit services that directly receive benefit from urbanized area formula funding are required to submit or coordinate the submission of an NTD report. The National Transit Database Reporting Manual, published by FTA each year, contains specific reporting instructions. This manual can be referenced on line at and includes clarifications and any changes to the requirements. Internet reporting is now mandatory for completing NTD reports. ODOT has assisted Ohio transit systems in collecting, recording, and reporting of data by establishing standardized operating data definitions for miles, hours and passenger trips, as well as compiling frequently asked questions and answers (see Appendix 4-1). The due date for a transit agency s NTD report submission is dependent on the date that the agency s fiscal year ends: Fiscal Year End Date (Between) NTD Report Due Date January 1 to June 30 October 28 July 1 and September 30 January 28 October 1 and December 30 April 30 In addition, a grantee s NTD report must be submitted to ODOT, Office of Transit upon submission of the report to FTA or April 30 th whichever comes first. FTA grants an automatic 15 calendar day grace period after the due date. FTA will grant a 30 calendar day time extension provided the request states sufficient reason for the delay. The request must be in writing and received by FTA at least 15 calendar days before the report due date. If a 30-day extension is granted, the 15-day grace period is included in the 30 days. Once reports are submitted, FTA tracks and reviews each report for completeness. As part of the validation process, FTA communicates with the grantee using Detailed Review Letters (DRL) and Follow-up Review Letters (FUL) to correct reporting problems. When the validation process is complete, the grantee is sent a closeout letter, which accepts the NTD report data. The closeout letter documents any outstanding issues. 5

7 NTD Waiver A grantee that operates no more than nine (9) vehicles in peak service at any time during the year may request an exemption to the NTD reporting requirements. This waiver does not apply to fixed guideway service. The grantee must base a vehicle waiver request on all fleets and annual maximum service levels. In addition, for unique and/or very unusual circumstances, the grantee may request, and the FTA can grant, a waiver from either some or all of the NTD reporting requirements. However, the nine or fewer vehicle exemptions and other reporting waivers must be requested and approved by FTA for every reporting year. The FTA does not grant permanent waivers from reporting. It is important to note that a region s federal formula allocation of urbanized transit funds, in areas over 200,000 in population, is based upon data provided through the region s NTD report(s). As a consequence, an NTD waiver could result in a reduction of federal transit funding for an urbanized area. Required Declarations: Chief Executive Officer (CEO) Certification and Uniform System of Accounts (USOA) Conformity Grantees are required to obtain, and retain on file, certain declarations to attest to the reliability and accuracy of the reported data. Declarations are based on the size of the urbanized area within which the grantee operates service, and the total combined number of vehicles operated in annual maximum service. The two required declarations that must be submitted with the grantee s NTD report are the CEO Certification and the Independent Auditor Statement of USOA conformity. The CEO Certification is a letter signed by the grantee s chief executive officer attesting to the overall accuracy of the data in the grantee s annual NTD report. The format and wording for the CEO Certification are contained in the annual NTD Reporting Manual. The Independent Auditor Statement certifies that the grantee s accounting system can produce an NTD report that conforms, in all material aspects, to the requirement to collect financial data contained in the USOA (see 49 CFR 630, Uniform System of Accounts and Records and Reporting ). The accountant s statement should list the financial forms that were reviewed; be on the letterhead of an independent, professional accounting firm; and identify the address of the office performing the statement. The requirement for an Independent Auditor Statement is a one-time requirement provided the grantee does not change its accounting system and invalidate the certification. The FTA issues a written acknowledgement of this certification. After that, unless the grantee changes its accounting system, the auditor s certification does not have to be repeated annually. 6

8 Passenger Mile Data NTD reporting includes a requirement to submit data for transit service consumed (i.e., annual unlinked passenger trips and annual passenger miles). The frequency for providing these data is based on the size of the Urbanized Area (UZA) population, and number of vehicles directly operated. The reporting thresholds are shown below Reporting Frequency UZA Population Every Year >= 500,000 >=100 Every Third Year >=500,000 <100 Number of Vehicles Directly Operated Every Third Year 200, ,999 Any Number Every Fifth Year <200,000 Any Number Grantees are required to collect the data for this reporting using either a 100 percent count or a valid statistical sampling procedure. If statistical sampling is used the process must meet the FTA minimum levels of confidence of 95 percent and 10 percent precision. FTA Circular A, Sampling Techniques for Obtaining Fixed-Route Bus Operating Data Required under the Section 15 Reporting System, and FTA Circular A, Sampling Techniques for Obtaining Demand Response Bus System Operating Data Required under Section 15 Reporting System offers the grantee several sampling plans that meet the FTA statistical criteria. The grantee may use an alternative technique if a qualified statistician has examined the technique and certified that it meets the FTA statistical criteria. The CEO states in the annual CEO Certification that the agency has collected its passenger mile data correctly and shows the statistical method used to collect these data. Independent Auditor Statement Transit agencies that are in or service urbanized areas with 200,000 or more population, who operate 100 or more vehicles in annual maximum service, are required to have an independent auditor review all NTD data used in the Urbanized Area Formula allocation (NTD Form 901). The count of the vehicles includes all revenue vehicles operated in all modes and types of service. The Auditor s Statement should certify that the directional route miles, vehicle revenue miles, passenger miles, and operating cost data have been collected and reported properly. The statement should be on the professional letterhead of an independent public accountant or state audit agency. Specific audit areas, procedures, and suggested format for the Auditors Statement are contained in the NTD Reporting Manual. 7

9 Pass-Through Funds If a grantee passes Urbanized Area Formula Grant Program monies through to operators of transit services, these operators are required to report required data. Contracting for services is not a pass-through of monies. If a grantee is contracting for services, required information should be provided by the grantee. NTD and the FTA Triennial Review Grantees should maintain copies of their NTD reports, detailed review letters and responses, follow-up review letters and responses, concurrence and closeout, and waiver requests on file. A grantee can be found deficient during FTA Triennial Reviews (see Chapter 10 for more information on the FTA Triennial Review process) if NTD reports have not been filed, if reports have been filed late, or if reports have been incomplete. A grantee can also be found deficient if it has not responded to detailed review letters and/or follow-up letters by the specified due dates. The FTA Triennial Review will also include a review of the signed CEO Certification on file to assure it contains the proper format and wording, including a paragraph that certifies that the grantee has had its accounting system certified by an independent auditor, and that passenger mile data were collected correctly. FTA can find a grantee deficient if the grantee meets the reporting thresholds, but does not have a copy of a satisfactory Independent Auditor s Statement for Urbanized Area Formula data on file. Lastly, if monies are passed through, the entity receiving the monies should be reporting required information. FTA will find a grantee deficient if the subrecipient has not submitted the reports unless the FTA directly exempted the subrecipient from submitting reports. Other Federal Urbanized Area Formula Program Requirements: Title VI Program/Environmental Justice Assessments Title VI of the 1964 Civil Rights Act, Section 601 states that no person in the United States shall, on the grounds of race, color, or national origin be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving federal financial assistance. The Age Discrimination Acts of 1975 prohibited exclusion based on age, and Title 23 USC 324 added that no person should be excluded from participation on the basis of sex. The Civil Rights Restoration Act of 1987 reemphasized all of the antidiscrimination laws and the applicability to federal programs. 8

10 Nondiscrimination requirements cover such areas as land acquisition and relocation of residences and businesses, impacts of construction, fixed guideways, placement of routes, vehicle assignments, transit amenities available (e.g., bus shelters), headways, passenger loads, environmental considerations, public involvement, and multilingual communication. All grantees are required to certify annually as a part of the Certifications and Assurances (see Chapter 10, Grantee Self-Certification) that they will not discriminate in service delivery. In addition, ODOT and direct FTA grant applicants must submit a Title VI program that addresses requirements enumerated in FTA Circular , Title VI Program Guidelines for Federal Transit Administration Recipients. FTA has established two main categories of reporting requirements: general and programspecific. General reporting (all grantees) First-time grant applicants, if located in areas with a population under 200,000, are only required to submit information relating to "General Reporting Requirements" of FTA Circular This information relates to active lawsuits or complaints, pending grant applications with other Federal agencies, the submittal of the DOT Title VI and FTA civil rights assurances, and the impact of transit projects on minority communities. Program-specific reporting (areas with population 200,000 or more) Program specific reporting by grantees; and other areas of Title VI Programspecific reporting requirements apply to grantees that operate transit service in service areas with populations of 200,000 or more. The major elements of program-specific reporting requirements include demographic and service profile maps, overlays, and charts; service standards and policies; and assessment of compliance with Title VI considerations (changes in service features, information dissemination, minority representation on decision-making bodies, and multilingual facilities). Implementation and Monitoring of Title VI provisions All grantees must assign responsibility for the coordination of Title VI Program/ Environmental Justice Assessments and preparation of the Title VI Program submissions and updates for FTA. In addition, all grantees that provide public transit services are required to develop and implement procedures to monitor the level and quality of transit service to determine compliance with Title VI. These comparisons of the level and quality of transit service provided to the minority community, against overall system averages, will measure the actual realization of established service policies and standards. For example, one current area of concern in some communities is the lack of an equitable distribution of funding for bus service versus light rail and rapid transit. 9

11 Level and quality of service (areas with population of 200,000 or more) Grantees operating in a service area of 200,000 or more in population are required to establish written service standards and policies for five transit service indicators (vehicle load, vehicle assignment, vehicle headway, distribution of transit amenities, and transit access). Grantees are also required to conduct periodic self-assessments to determine whether transit service and related benefits provided to minority communities and minority users are consistent with Title VI objectives in FTA Circular Grantees must compare the quality and level of service provided to minority and non-minority users to assess equity. Fixed facility impact analysis (all construction projects) If a grant applicant is planning the construction of a large FTA-assisted project such as a multimodal transportation facility or a fixed guide-way light rail system, the applicant should be taking steps to ensure compliance with Title VI and 49 USC Section 5332 prior to submitting a grant application for assistance. Such steps should include: informing all communities of public hearings or meetings regarding such a project; providing an opportunity for interested persons to be considered for selection to decision making transit boards and advisory committees; and ensuring that input on a facility's accessibility and location will be obtained and decisions will be made without regard to race, color, creed, national origin, age, or sex. FTA Title VI Assessments Consistent with FTA oversight responsibilities, FTA has initiated a program of grantee reviews assessing compliance with the Title VI regulations. The review is comprehensive in nature, including a review of each agency's policies, procedures, and recordkeeping. After the review is complete, the review team conducts an exit interview presenting the findings, if any, to a grantee. A draft final report documenting any deficiencies and necessary corrective actions are provided to a grantee within 30 days of the site visit. A letter and final report is issued within 60 days of the site visit. A grantee then will have 90 days to take corrective actions and provide appropriate documentation to the designated FTA Civil Rights Officer (CRO). In reviewing a grantee's Title VI submission, the FTA CRO may issue a conditional approval and identify corrective actions that need to be taken or additional submittals that need to be made to determine compliance. Corrective actions may be required in cases where conditional approvals may be granted pending the submission of additional documentation by a grantee. Approved Title VI Program Updates. After an initial Title VI program has been approved, an update is required every three years, or more frequently if conditions warrant 10

12 Title VI Complaints and Lawsuits Any person who believes that he or she has been subjected to discrimination has the right to file complaints alleging discrimination. The grantee is required to maintain a list of active Title VI lawsuits or complaints, and must be able to explain how such complaints would be processed although there is no specific requirement for a written complaint handling process. The grantee must document that any complaints received are being addressed, and how violations of Title VI Program regulations are being rectified. ODOT Office of Transit needs to be notified of any lawsuit filed against a transit system. Section 5307 systems must also notify FTA.. Executive Order 12898, Environmental Justice This order directs federal agencies to assess the impact of programs and policies on minority populations and low-income populations. Limited English Proficiency (LEP) of a community or service area must also be evaluated. If a significant portion of the community served is non-english speaking, it is the responsibility of the transit system to provide important information on services or public meetings, etc. in another language. Failure to provide information in the language of what has been determined as a significant portion of the community could result in a Title VI finding of discrimination based on national origin. Other Federal Urbanized Area Formula Program Requirements: Public Comment Process for Fare and Service Change FTA requires its grantees to have a locally developed, written process to solicit and consider public comment before raising a fare or carrying out a major reduction of transit services. These procedures may be a separate stand-alone document or part of a larger set of administrative procedures of the agency or local government. The policy should provide an opportunity for a public hearing, or public meeting, for any fare increase or major service reduction and should describe how such meetings will be conducted and how the results will be considered in the process of changing fares and service. (Please note: A grantee is not required to hold a public meeting, but must offer an opportunity for one in order to solicit comment.) The regulations do not require that fare decreases, service increases, or "special fares" be preceded by public comment. While many grantees do not make a distinction between raising or lowering fares or increasing or decreasing service, the requirement is only for increasing the basic fare structure and decreasing service. For service decreases, the requirement applies to "major service reductions" only. The grantee should have established guidelines or thresholds for what it considers a "major" change to be. Often, this is defined as a numerical standard, such as a change that impacts 25 percent of service hours of a route. Minor service changes do not require a public comment process. 11

13 Public Comment Documentation Requirements 1) That the Process is Followed. For every fare increase or major service reduction, the grantee should be able to provide evidence that the process was followed. Evidence can include public announcements of fare or service changes, transcripts from public hearings, minutes of board meetings, and information provided to passengers on board buses to show how a public participation process was followed. 2) That Comments were Considered in the Decision-Making Process. In addition to soliciting public comment, the grantee is required to consider these comments as part of its decision-making process. A grantee is not required to change its plans based on the public participation process. However, the grantee should be able to provide evidence that due consideration to comments made by the public was given in the implementation of the final plan. Public notices, public hearing transcripts, letters from the public, summaries of public meetings, and board minutes are sources of information. Internal working documents also may show the original plans proposed by the grantee compared to the actual plans that were implemented. Changes in these plans can be compared to public hearing transcripts and other sources documenting public participation. Other Federal Urbanized Area Formula Program Requirements: Reduced Fares for Elderly and Disabled Urban transit grantees must allow elderly persons, persons with disabilities, and Medicare cardholders to ride fixed route services during the off-peak period for a fare that is not more than one-half the base fare charged other persons during the peak period. If there is a service with a fare that is different than the grantee's fare for its regular service, a separate half fare is needed. The grantee needs to ensure that the amount is not higher than 50 percent of the peak hour fare for each particular service. In addition, if the grantee has both peak and offpeak fares in its overall fare structure, the off-peak time periods for the general public and the half fare program should be defined consistently. The requirement is applicable to all fixed-route services that operate in both the peak period and the off-peak period using, or involving, facilities and equipment financed with Section 5307 funds, whether provided by the grantee or by another entity that leases facilities and/or equipment from the grantee. It is not applicable to demand responsive service open to the general public. It is not applicable to services that operate only during peak hours, such as express commuter routes but it is applicable to express routes that operate trips beyond the peak period. 12

14 It is not applicable to services that operate only in the off-peak period (e.g., lunchtime circulators and weekend routes to football games). "Elderly," by FTA regulations, is to "at a minimum, include all persons 65 years of age or over. Grantees are permitted to use a definition that extends this fare to younger (e.g., 62 and over, or 60 and over) persons. Persons with disabilities are defined by FTA as persons "who by reason of illness, injury, age, congenital malfunction, or other incapacity or temporary or permanent disability (including any individual who is a wheelchair user or has semi-ambulatory capabilities), cannot use effectively, without special facilities, planning, or design, mass transportation service or a mass transportation facility." The definition of Medicare cardholder is self-explanatory. While many grantees choose to use a Medicare card as proof of eligibility for the elderly and persons with disabilities half fare, it is important to recognize that Medicare cards can be issued to non-elderly persons with a disability. A Medicare card can be issued to anyone over 20 years of age who has received Social Security or Railroad Retirement Board disability benefits for 24 months or is a kidney dialysis or kidney transplant patient. The grantee cannot limit acceptance of a Medicare card to seniors only. The grantee may require passengers to show proof of eligibility when they pay their fare in order to receive the half fare. Identification cards such as a Medicare card, special identification card, ADA eligibility card are all permissible. In addition, a grantee may require all eligible passengers to have a special identification card as the sole basis for obtaining the half fare. A valid Medicare card must be considered sufficient identification for obtaining such a reduced fare card. In addition, obtaining this special card must be relatively easy, such as accessible by transit, open during convenient hours, and publicized. The grantee is not required to publish fare information. However, if the grantee publishes fare information, it needs to assure that complete information about the half-fare program, including Medicare eligibility, is included in the grantee's general public information that presents its fare structure. Common examples of readily available public information items include the system map, public timetables, and signs within the system (e.g., decals on fareboxes, signs in stations, and car cards on vehicles). For example, if a brochure says the fare to ride the bus is $1.00, it also should say that the fare for elderly persons, persons with disabilities, and Medicare cardholders is $0.50. Other sources are brochures describing the fare structure and the reduced fare program, and application forms for the reduced fare program or special ID cards. Documents, such as fare policies/ tariffs and internal policy memoranda, may describe the program. The grantee's web site also may have fare information. In addition, internal materials should demonstrate that the grantee has notified the staff of the program and included the correct information. Internal materials include training documents and communication with drivers and others responsible for implementing the fare. 13

15 Other Federal Urbanized Area Formula Program Requirements: Americans with Disabilities (ADA) The ADA of 1990 prohibits discrimination based on disabilities in the areas of employment, public services, public accommodations, and services operated by private entities, public transportation, and telecommunications. Employers are prohibited from discriminating against any qualified individuals with a disability in regard to job application procedures, the hiring, advancement or discharge of employees, employee compensation, job training, and other terms, conditions, or privileges of employment. Any private company, state and local government, employment agency, and labor union employers with 15 or more employees had to comply by July 26, All programs, activities and services provided or made available by state and local government, including public transportation, are prohibited from discriminating on the basis of disability, regardless of whether or not those entities receive federal financial assistance. Titles II and III of the Americans with Disabilities Act of 1990 provide that no entity shall discriminate against an individual with a disability in connection with the provision of transportation service. The law, 49 CFR Part 37, "Transportation Services for Individuals with Disabilities" and 49 CFR Part 38, "Americans with Disabilities Act (ADA) Accessibility Specifications for Transportation Vehicles" sets forth specific requirements for vehicle and facility accessibility and the provision of complementary paratransit service. Fixed Route Provision of Service The ADA regulations (37 CFR Subpart G) detail specific service requirements listed below: Stop announcements on fixed-route vehicles. Vehicle identification mechanisms at multi-route stops Service animals Use of lifts and securement systems by persons who use mobility devices Use of lifts by ambulatory persons Use of accessibility-related equipment and features Public information/communications made available in accessible formats Lift deployment at all designated stops Service to persons using respirators or portable oxygen Adequate time provided to allow persons with disabilities to board/ disembark from a vehicle 14

16 Operating, training, and maintenance manuals and internal bulletins should provide information or procedures pertinent to the regulations. Public information materials should address communications in alternative formats. The regulations do not require that grantees have written policies detailing how they comply with these service provisions, but the grantee should be able to provide reasonable documentation to demonstrate that operators are trained in these requirements and that the grantee enforces their implementation. For bus stop announcements, if a union claims that an agreement prevents its members from calling stops; grantees should note that ADA is a federal law that supersedes any union agreement. In regard to service animals, it is discriminatory to require a person with a disability to certify or register a service animal. Having policies is not sufficient. The grantee should monitor compliance with the policies. Many grantees find it necessary to check periodically on operator compliance with these service provisions, especially the stop announcement requirement. Training The ADA requires that each fixed route or demand responsive service operator ensure that vehicle operators and other personnel who interact with passengers are trained to proficiency, as appropriate for their duties. This training is required so that personnel operate vehicles and equipment safely, properly assist passengers, and treat persons with disabilities who use the service with respect and courtesy. The training should give appropriate attention to the difference among persons with disabilities. The FTA expects the grantee to incorporate sensitivity training on interacting with persons with disabilities into its various equipment operation and safety training programs. The ADA regulations do not specify an acceptable course or frequency of training. The grantee establishes these standards for its particular operation. There is no requirement for recurrent or refresher training, but there is an obligation to ensure that each employee is proficient at all times. The training must be appropriate to the duties of each employee, and must address both technical requirements and human relations. A grantee should ensure that it is meeting its own standards, establish how it will monitor performance to determine if personnel, contractors, and subcontractors are "proficient," and what, if any, consequences result if these standards are not met. FTA may review agency training materials and handbooks, other bulletins, and materials provided to agency personnel, and customer complaints to evaluate a grantee s compliance with ADA training requirements. 15

17 Fixed-Route and Paratransit Vehicle Accessibility and Facility Accessibility In general, all new vehicles purchased or leased after August 25, 1990 by public entities operating fixed-route service must be accessible (must comply with 49 CFR, Part 38 standards). All new public transportation buses and rail cars must be accessible to the mobility, hearing, and sight-impaired. At least one car on every train must be accessible. All new passenger stations must be accessible, and older key stations must be retrofitted for accessibility, unless an extension was granted for extraordinarily expensive retrofitting. These provisions and those requiring complementary paratransit services for those unable to use fixedroute service were fully effective January 26, A public fixed-route operator may purchase or lease new non-accessible vehicles only after obtaining a waiver from the FTA Administrator. Used vehicles that are not accessible may be purchased or leased only after a good faith effort has been demonstrated to obtain accessible vehicles. The grantee must keep records for three years documenting the good faith effort. Remanufactured vehicles must be made accessible to the maximum extent feasible. It is considered feasible to remanufacture a vehicle so that it is accessible unless an engineering analysis demonstrates that including accessibility features would have a significant adverse effect on the structural integrity of the vehicle. Public entities operating demand responsive service for the general public must purchase or lease accessible vehicles unless it can be demonstrated that the system, when viewed in its entirety, provides a level of service to persons with disabilities that is equivalent to the level of service it provides to persons without disabilities. The regulations provide guidance for evaluating equivalent service. Before procuring any non-accessible vehicle for demand-responsive service, the entity must file an equivalent service certification with FTA or with the state if the grantee receives its Urbanized Area Formula Grant Program funds from a state administering agency. Any new facility to be used in providing public transportation services that is constructed must be accessible according to the standards in 49 CFR Part 37, Appendix A. If the grantee alters an existing facility used to provide public transportation, the altered portions of the facility must be accessible. An exception may be made if the cost of making the facility accessible is disproportionate. The regulations provide guidance to define disproportionate costs, specify what costs may be counted, and provide a priority listing for accessible features. Key Station and Rail Car Requirements All rail operators are required to ensure that key stations (e.g., transfer points, major interchanges with other transportation modes, and stations serving major activity centers) are accessible. Some rail operators that have not yet met the regulatory requirements are working under a Voluntary Compliance Agreement (VCA) or Time Extension (TE) with FTA's Office of Civil Rights. If a VCA or time 16

18 extension is in place, the grantee is required to submit Key Station Quarterly Status Reports to FTA. Under the ADA, as of July 25, 1995, all rail operators are required to ensure that each train (consisting of two or more vehicles if the grantee provides light or rapid rail) includes at least one car that is readily accessible to and usable by persons with disabilities, including persons who use wheelchairs. Maintenance of Accessibility Features and Lift Availability All transportation providers must maintain accessibility features and equipment and repair out-of-order equipment promptly. Public transit systems must establish a system of regular and frequent checks of vehicle lift equipment. When a lift fails, the vehicle must be taken out of service and the lift repaired. However, if there is no spare vehicle available, the transit system can keep the vehicle in service for three days (if the grantee serves an area of more than 50,000 persons in population), or five days (if the grantee serves an area of 50,000 persons or fewer in population) to prevent a reduction in service. Alternative accessible transportation must be provided if a vehicle is in service with an inoperative lift and the headway to the next accessible vehicle exceeds 30 minutes. Transit grantees should have written policies for vehicle lift maintenance and removal of lifts from service. All transit systems must transport all persons using wheelchairs that do not exceed 30 inches in width, 48 inches in length or weigh more than 600 pounds when occupied. The transit system may require that the individual use the vehicle s securement devices, but cannot deny service because the securement system does not secure the wheelchair satisfactorily. Transfers to vehicle seats may be suggested, but not required. Any passenger must be allowed to use lifts, even while standing, and must be allowed to face any direction. Transit systems may not refuse to let a passenger get off a vehicle using a lift at a stop, unless the lift will not deploy or could be damaged if used at that location. Paratransit as a Complement to Fixed-Route Service Eligibility Process The DOT ADA regulations require that all public entities operating fixed route transit (except for commuter bus/rail or intercity rail) must provide complementary paratransit to persons with disabilities. Each grantee is required to establish a process for determining ADA paratransit eligibility. Eligibility is to be strictly limited to certain categories of individuals: 17

19 1. Any person with a disability who is unable to board, ride, or disembark from an accessible vehicle without the assistance of another person (except for the operator of a lift or other boarding device) 2. Any person with a disability who could ride an accessible vehicle but the route is not accessible or the lift does not meet ADA standards 3. Any person with a disability who has a specific impairment-related condition that prevents the person from traveling to or from a boarding/disembarking location. There are many ways that a grantee can determine eligibility. The process may include functional evaluation or testing of applicants. Evaluation by a physician or health professional may be part of the process, but a diagnosis of a disability does not establish eligibility. What is needed is a determination of whether, as a practical matter, the individual can use fixed route transit under given circumstances. The goal of the process is to ensure that only persons who meet the regulatory criteria are regarded as ADA eligible. If decisions are based solely on a note from a physician, and 100 percent of applicants are approved, a grantee may not have an appropriate process. A grantee is not prohibited from providing service to other persons; however, the eligibility process must distinguish whether someone is ADA eligible or is provided service on some other basis. The grantee must process a completed application within 21 days of submittal. If after 21 days, the grantee has not made an eligibility determination, the applicant is presumed eligible and must be provided service unless the grantee later denies the application. The grantee is required to establish an appeals process for persons denied eligibility. The applicant must be given notice of the right to an appeal. The grantee may require that an appeal be filed within 60 days of the denial of a person's application. The process must include an opportunity to be heard and to present information. The person hearing the appeal must be separate from the person who made the original decision to deny eligibility. The grantee is not required to provide ADA complementary paratransit service pending the determination of the appeal, but if the decision takes longer than 30 days, paratransit must be provided from that time until a decision to deny the appeal is issued. Provision of service ADA complementary paratransit must be provided to an ADA eligible individual, including those with temporary eligibility, the personal care attendant (PCA), if a PCA is necessary, and one other individual accompanying the ADA-eligible individual, if requested. Additional companions may be provided service if space is available. Service also must be provided to visitors who present ADA eligibility documentation from another jurisdiction. If a visitor does not have ADA eligibility documentation, the grantee may request proof of residency, and if the disability is not apparent, proof of disability. The grantee must accept a certification by the visitor that he or she is unable to use 18

20 fixed route transit. The grantee is not required to provide more than 21 days of service within a 365-day period. It may request that the visitor apply for eligibility in order to receive additional service beyond this number of days. The regulations require only curb-to-curb service. The grantee may provide a higher level of service, but if the grantee is experiencing capacity constraints, the grantee should determine if the paratransit exceeds the minimum requirements. Service area The ADA complementary paratransit service area at a minimum includes all origins and destinations within corridors with a width of ¾ mile of each fixed route. Within the core service area, any small areas not inside a corridor but surrounded by corridors also must be served. The grantee may provide additional service, but if the grantee is experiencing capacity constraints, the grantee should determine if the paratransit service area exceeds the minimum requirements. Response time Requests for reservations must be accepted during normal business hours on a "next day" basis (not 24 hours in advance); on all days prior to days of service (e.g., weekends, holidays); and trips must be scheduled within one hour of the requested pickup time. The grantee should periodically track the number of next-day reservations that are actually made. If the number is a very low percentage of all trips, it may indicate capacity constraints. Advance reservations may be permitted up to 14 days before a desired trip. The regulations allow the grantee to negotiate pickup times with ADA eligible persons within a one-hour window. If the grantee cannot schedule a ride that is no more than one hour before or after the desired departing time, the trip must be tracked as a denial. If the rider refuses an alternate time that is within the one hour window, it is not a denial for the purposes of ADA compliance. If a rider accepts an offer of a trip that is outside the one-hour window, the trip must still be tracked as a denial. Similarly, if only one leg of a round trip can be reserved, and the rider declines the trip, it should be tracked as two denials. If on a regular basis, the phone lines are busy during certain hours, or callers after a certain time (e.g., mid-morning) are told that they cannot reserve trips for the next day, the grantee is limiting the availability of service. The grantee also must ensure that an ADA eligible individual can reach a reservation agent to cancel a trip. Fares The ADA complementary paratransit fare cannot exceed twice the base fixed-route fare. No fare may be charged for personal care attendants. Any companions must pay the same fare as the ADA-eligible individual. Days and Hours of Service Days and hours of ADA complementary paratransit service must be the same as the fixed-route days and hours of service. 19