TABLE OF CONTENTS. Section I Introduction... 1 Overview of the Transit System Section II Operator Compliance Requirements...

Transcription

1 December 2016

2 TABLE OF CONTENTS Section I... 1 Introduction... 1 Overview of the Transit System... 1 Section II... 6 Operator Compliance Requirements... 6 Section III Prior Triennial Performance Recommendations Section IV TDA Performance Indicators Section V Review of Operator Functions Operations Maintenance Planning Marketing General Administration and Management Section VI Findings and Recommendations... 33

3 Section I Introduction California s Transportation Development Act (TDA) requires that a triennial performance audit be conducted of public transit entities that receive TDA revenues. The performance audit serves to ensure accountability in the use of public transportation revenue. The Santa Barbara County Association of Governments (SBCAG) engaged the Michael Baker International consultant team to conduct the Transportation Development Act (TDA) triennial performance audit of the public transit operators under its jurisdiction in Santa Barbara County. This performance audit is conducted for covering the most recent triennial period, fiscal years through The purpose of the performance audit is to evaluate SYVT s effectiveness and efficiency in its use of TDA funds to provide public transportation in its service area. This evaluation is required as a condition for continued receipt of these funds for public transportation purposes. In addition, the audit evaluates SYVT s compliance with the conditions specified in the California Public Utilities Code (PUC). This task involves ascertaining whether SYVT is meeting the PUC s reporting requirements. Moreover, the audit includes calculations of transit service performance indicators and a detailed review of the transit administrative functions. From the analysis that has been undertaken, a set of recommendations has been made which is intended to improve the performance of transit operations. In summary, this TDA audit affords the opportunity for an independent, constructive and objective evaluation of the organization and its operations that otherwise might not be available. The methodology for the audit included in-person interviews with management, collection and review of agency documents, data analysis, and on-site observations. The Performance Audit Guidebook for Transit Operators and Regional Transportation Planning Entities published by the California Department of Transportation (Caltrans) was used to guide in the development and conduct of the audit. Overview of the Transit System Prior to the formation of Santa Ynez Valley Transit, public transit service in the Santa Ynez Valley had been provided through the County of Santa Barbara since The demand responsive service was operated under contract by the Community Action Committee (CAC), a nonprofit service agency based in Solvang that provided a paid driver and a volunteer driver/dispatcher. In February 1992, a number of transit riders expressed the need for expanded local service at the North County Unmet Transit Hearing. In August 1992, a Memorandum of Understanding (MOU) was developed between the cities of Buellton and Solvang and the County to provide expanded door-to-door demand response transit Triennial Performance Audit 1

4 service in the Santa Ynez Valley. SYVT began fixed-route service in July 1995 in addition to the demand response service. SYVT is administered by the City of Solvang on behalf of the other two entities (the County of Santa Barbara and the City of Buellton) which make up the Joint Powers Authority (JPA). SYVT is funded by the cities of Buellton and Solvang and the County of Santa Barbara based on ridership originating within each jurisdiction and is currently operated by a private contractor. Contract oversight and project transit management are also provided by an outside transportation consulting firm. Santa Ynez Valley is located in the geographic center of Santa Barbara County bordered by the San Rafael Mountains to the northeast and the Santa Ynez Mountains to the south with the Santa Ynez River following from east to west. Major highways include U.S. 101 and State Routes (SR) 154 and 246. U.S. 101 connects the region with Santa Barbara to the south and Santa Maria to the north. SR 154 runs along the northeast side of the Valley connecting Santa Barbara and Los Olivos. SR- 246 is the principal east-west highway connecting Buellton, Santa Ynez and Solvang with a junction at U.S. 101 in Buellton. A demographic snapshot of key cities and the unincorporated communities in the Santa Ynez Valley using Census data is presented below in Table I-1: Table I-1 Santa Ynez Valley Demographics 2010 US City/Community Census Population Change from 2000 US Census Population 65 years & older Land area (in square miles) Ballard 467 n/a 13.9% 1.18 Buellton 4, % 13.2% 1.58 Los Olivos 1,132 n/a 15.4% 2.46 Santa Ynez 4, % 19.9% 5.14 Solvang 5, % 20.9% 2.43 Source: 2010 U.S. Census Solvang is the largest incorporated city in the service area. Buellton saw the highest percentage increase in population. The senior citizen population, comprised of residents aged 65 and over, ranges between 13 and 21 percent with the highest percentage located in Solvang. The 2016 population, as reported by the State Department of Finance, is estimated to be 4,957 for Buellton and 5,451 for Solvang. The Santa Ynez Valley is also home to the Santa Ynez Band of Chumash Indians who are established on the Santa Ynez Reservation, which has a population of 249 residents. System Characteristics SYVT operates two fixed routes and a demand response service. The fixed-route service operates Monday through Saturday and the Dial-A-Ride operates daily with Sunday service commencing in June The system does not operate on the following holidays: New Year s Day, Martin Luther Triennial Performance Audit 2

5 King Day, Presidents Day, Easter, Memorial Day, Independence Day, Labor Day, Veterans Day, Thanksgiving, and Christmas. Regional transit services also connect the Santa Ynez Valley with other countywide areas. The Wine Country Express intercity service traveling between the Santa Ynez Valley and the City of Lompoc provides direct connections with SYVT. Wine Country Express is operated by the City of Lompoc as an extension of the COLT transit service and makes inbound and outbound stops at the Albertsons/CVS in Buellton and at Solvang Park in Solvang which are also stops along the SYVT route. The operating times of the Wine Country Express enable connections between the two transit systems. The project is funded by the cities of Buellton, Lompoc, and Solvang and Santa Barbara County through a MOU. The Breeze Route 200 route began service in January 2013 connecting Santa Ynez Valley with Los Alamos and Santa Maria. The intercommunity service is administered by the City of Santa Maria under a MOU between Buellton, Solvang, Santa Maria, Santa Barbara County, and SBCAG. There are five different stops along the Breeze 200 that include the Santa Maria Transit Center, Ferrini Park in Los Alamos, Albertson s Center and Freear Drive & Mission Drive (SR-246) in Buellton, and Solvang Park. Fixed-Route Service SYVT fixed-route service comprises two routes connecting Buellton, Solvang, Santa Ynez, Ballard, and Los Olivos. Service is mirrored on the two routes with the alignments providing bi-directional service to enable shorter trip times for riders along the loop. Route A travels in a counter-clockwise direction while Route B travels in a clockwise direction. Both routes run along Mission Drive and share common stops until they reach the fork at Alamo Pintado Road. The routes generally operate between the hours of 7:00 a.m. and 7:00 p.m. Monday through Saturday. Service frequency is 1 hour and 20 minutes. A summary of routes, frequencies, and timepoints is presented in Table I-2. Table I-2 SYVT Fixed Route Route Frequency/Operation Key Time points A Every 1 hour, 20 minutes (Monday through Saturday from 7:00 a.m. to 6:20 p.m.) 2 nd Street & Avenue of the Flags Buellton Post Office Albertson s Solvang Park South Santa Ynez High School (El Rancho Market) Sagunto Street & Edison Street Refugio Road & Baseline Avenue Alamo Pintado Avenue & Grand Solvang Park North McMurray Road Triennial Performance Audit 3

6 Route Frequency/Operation Key Time points B Every 1 hour, 20 minutes 2 nd Street & Avenue of the Flags (Monday through Saturday Buellton Post Office from 7:40 a.m. to 6:50 p.m.) Albertson s Solvang Park South Santa Barbara Ave. & Alamo Pintado Ave. Refugio Road & Baseline Avenue Edison Street & Sagunto Street Santa Ynez High School Solvang Park North McMurray Road Source: SYVT Passengers are directed to designated bus stops along the route. However, on-call stops are accepted and are only served upon request whether through an advanced reservation for pick up or notifying the bus driver at drop off. These stops include Cottage Hospital, Allan Hancock College, Chumash Casino and the Tribal Health Clinic. Dial-A-Ride SYVT provides curb-to-curb Dial-A-Ride service to seniors age 60 and older as well as to ADAcertified persons. Dial-A-Ride is available within the SYVT service area during the same service hours as the fixed route. In addition, general public Dial-A-Ride is available on Sundays from 8:30 a.m. to 12:30 p.m. and from 1:00 p.m. to 4:00 p.m. Fares SYVT fare media is comprised of cash fares and passes. Exact fare is required since drivers do not make change. Local Measure A revenues subsidize the Dial-A-Ride fare for seniors and ADAcertified passengers. Sunday general public Dial-A-Ride fare is not subsidized. The fare structure for SYVT is summarized in Table I-3: Table I-3 SYVT Fare Schedule Fixed Route Fare General $1.50 Senior (60+ years) $1.25 ADA-Certified/Disabled $0.75 Child under 5 (with fare-paying adult) Free Dial-A-Ride One-Way $1.75 Sunday, One-Way (General Public) $2.25 Triennial Performance Audit 4

7 Passes Multi-Trip Pass $15.00 Senior/(60+ years) Multi-Trip Pass $12.50 ADA-Certified/Disabled Multi-Trip Pass $7.50 Dial-A-Ride Multi-Trip Pass (Seniors 60+ years and ADA-certified) $17.50 Note: The multi-trip fare discount was eliminated during the audit period. Source: SYVT Service Brochure Fleet There were 5 vehicles in the SYVT fleet during the audit period, including one spare vehicle. The gasoline-powered fleet is wheelchair accessible with tie-downs in compliance with the Americans with Disabilities Act of 1990 (ADA). Each vehicle is also equipped with bicycle racks that accommodate up to two bicycles. Table I-4 shows the vehicle fleet information. Table I-4 SYVT Fleet Seating Year Make/Model Quantity Capacity Fuel Type Service Mode 2010 Starcraft Allstar 1 16 (2 W/C) Unleaded Back-Up/Spare 2010 Starcraft Allstar 1 16 (2 W/C) Unleaded Fixed Route 2012 Starcraft Allstar 1 16 (2 W/C) Unleaded Fixed Route 2014 Ford Starcraft 2 16 (2 W/C) Unleaded Dial-A-Ride Total 5 Source: SYVT Note: W/C=Wheelchair Triennial Performance Audit 5

8 Section II Operator Compliance Requirements This section of the audit report contains the analysis of SYVT s ability to comply with state requirements for continued receipt of TDA funds. The evaluation uses the guidebook, Performance Audit Guidebook for Transit Operators and Regional Transportation Planning Agencies, which contains a checklist of eleven measures taken from relevant sections of the Public Utilities Code and the California Code of Regulations. Each of these requirements is discussed in the table below, including a description of the system s efforts to comply with the requirements. In addition, the findings from the compliance review are described in the text following the table. Operator Compliance Requirements The transit operator submitted annual reports to the RTPA based upon the Uniform System of Accounts and Records established by the State Controller. Report is due 90 days after end of fiscal year (Sept. 28/29), or 110 days (Oct. 19/20) if filed electronically (Internet). Table II-1 Operator Compliance Requirements Matrix Reference Compliance Efforts Public Utilities Code, Section Completion/submittal dates: Fixed-Route: FY 2013: October 18, 2013 FY 2014: October 20, 2014 FY 2015: October 21, 2015 Specialized Service: FY 2013: October 18, 2013 FY 2014: October 20, 2014 FY 2015: October 21, 2015 Conclusion: Complied. The operator has submitted annual fiscal and compliance audits to the RTPA and to the State Controller within 180 days following the end of the fiscal year (Dec. 27), or has received the appropriate 90- day extension by the RTPA allowed by law. Public Utilities Code, Section Completion/submittal dates: FY 2013: February 25, 2014 FY 2014: April 2, 2015 FY 2015: April 5, 2016 A 90-day extension was granted by SBCAG as allowed by the TDA statute for the audit submittal. Conclusion: Complied. Triennial Performance Audit 6

9 Operator Compliance Requirements Table II-1 Operator Compliance Requirements Matrix Reference Compliance Efforts The CHP has, within the 13 months prior to each TDA claim submitted by an operator, certified the operator s compliance with Vehicle Code Section following a CHP inspection of the operator s terminal. The operator s claim for TDA funds is submitted in compliance with rules and regulations adopted by the RTPA for such claims. Public Utilities Code, Section B Public Utilities Code, Section SYVT, through its contract operator, participates in the CHP Transit Operator Compliance Program in which the CHP has conducted inspections within the 13 months prior to each TDA claim. Inspections were conducted at SYVT offices in the City of Solvang: Inspection dates applicable to the audit period were April 26, 2012; May 7, 2013; May 29, 2014; and June 3, Inspections were rated satisfactory. Conclusion: Complied. As a condition of approval, the SYVT s annual claims for Local Transportation Funds and State Transit Assistance are submitted in compliance with the rules and regulations adopted by SBCAG. SBCAG staff provides assistance and communication as needed in completing the claim. Conclusion: Complied. If an operator serves urbanized and non-urbanized areas, it has maintained a ratio of fare revenues to operating costs at least equal to the ratio determined by the rules and Public Utilities Code, Section Triennial Performance Audit 7 This requirement is not applicable, as SYVT only serves a nonurbanized area. Conclusion: Not Applicable.

10 Operator Compliance Requirements regulations adopted by the RTPA. Table II-1 Operator Compliance Requirements Matrix Reference Compliance Efforts The operator s operating budget has not increased by more than 15% over the preceding year, nor is there a substantial increase or decrease in the scope of operations or capital budget provisions for major new fixed facilities unless the operator has reasonably supported and substantiated the change(s). The operator s definitions of performance measures are consistent with Public Utilities Code Section 99247, including (a) operating cost, (b) operating cost per passenger, (c) operating cost per vehicle service hour, (d) passengers per vehicle service hour, (e) passengers per vehicle service mile, (f) total passengers, (g) transit vehicle, (h) vehicle service hours, (i) vehicle service miles, and (j) vehicle service hours per employee. Public Utilities Code, Section Public Utilities Code, Section Percentage increase in the SYVT operating budget: FY 2013: -6.7% FY 2014: +12.8% FY 2015: +3.9% The increase in the FY 2014 operating budget is attributed to higher transit contract costs and contributions to the Breeze Route 200 service. Source: City of Solvang Transit Budgets for FYs Conclusion: Complied. SYVT s definition of performance is consistent with Public Utilities Code Section A review of monthly operations reports and trip sheets compiled during the audit period indicates that correct performance data are being collected. Conclusion: Complied. Triennial Performance Audit 8

11 Operator Compliance Requirements If the operator serves an urbanized area, it has maintained a ratio of fare revenues to operating costs at least equal to one-fifth (20 percent), unless it is in a county with a population of less than 500,000, in which case it must maintain a ratio of fare revenues to operating costs of at least equal to three-twentieths (15 percent), if so determined by the RTPA. Table II-1 Operator Compliance Requirements Matrix Reference Compliance Efforts Public Utilities Code, Sections , , , This requirement is not applicable, as SYVT only serves a nonurbanized area. Conclusion: Not Applicable. If the operator serves a rural area, or provides exclusive services to elderly and disabled persons, it has maintained a ratio of fare revenues to operating costs at least equal to one-tenth (10 percent). Public Utilities Code, Sections , , System-wide operating ratios using audited data for SYVT were as follows: FY 2013: 10.47% FY 2014: 17.15% FY 2015: 13.17% SYVT has complied with the system-wide farebox ratios. Source: Annual Fiscal and Compliance Audits Modal operating ratios using unaudited data are presented below: Fixed Route: Dial-A-Ride: FY 2013: 11.77% 12.97% FY 2014: 10.25% 28.85% FY 2015: 10.30% 16.37% Triennial Performance Audit 9

12 Operator Compliance Requirements Table II-1 Operator Compliance Requirements Matrix Reference Compliance Efforts Source: Transit Operators Financial Transactions Reports The current cost of the operator s retirement system is fully funded with respect to the officers and employees of its public transportation system, or the operator is implementing a plan approved by the RTPA which will fully fund the retirement system within 40 years. If the operator receives state transit assistance funds, the operator makes full use of funds available to it under the Urban Mass Transportation Act of 1964 before TDA claims are granted. Public Utilities Code, Section California Code of Regulations, Section 6754(a)(3) Conclusion: Complied. To be eligible for TDA funds, the annual TDA claims form requires a sign-off from the transit claimant to comply with standard assurances, one of which is that the SYVT s retirement system is funded. As SYVT is administered by the City of Solvang, City staff s retirement is funded through the California Public Employees Retirement System (CalPERS). Conclusion: Complied. SYVT receives its operator revenue share of State Transit Assistance Funds and utilizes federal funds as reported in the NTD reports: FY 2013: $128,303 (Operations) FY 2014: $154,743 (Operations) FY 2015: $292,901 (Operations) Conclusion: Complied. Triennial Performance Audit 10

13 Findings and Observations from Operator Compliance Requirements Matrix 1. Of the compliance requirements pertaining to SYVT, the operator complied with each of the nine applicable requirements. Two additional compliance requirements did not apply to SYVT (e.g., intermediate farebox recovery ratio under PUC and urbanized farebox recovery ratio). 2. Pursuant to SBCAG requirements, SYVT is held to a 10 percent farebox standard either on a system-wide basis or on a modal basis as a rural operator. Based on audited data, the farebox recovery ratios for SYVT were percent in FY 2013; percent in FY 2014; and percent in FY The average farebox ratio during the period was 13.6 percent. On a modal basis, both fixed-route and Dial-A-Ride farebox recovery ratios exceeded the 10 percent standard during the audit period. Local Measure A revenue is included in the farebox ratios. SYVT contributions to the Wine Country Express and Breeze 200 operated by other partner agencies are not included in the performance ratios. 3. Through its contract operator, SYVT participates in the CHP Transit Operator Compliance Program and received vehicle inspections within the 13 months prior to each TDA claim. Satisfactory ratings were made for all inspections conducted during the audit period. 4. The operating budget exhibited modest fluctuations throughout the audit period. The FY 2013 operating budget decreased 6.7 percent followed by two years of increases. For FY 2014, the operating budget increased 12.8 percent due to higher transit contract costs and contributions to the regional Breeze Route 200 service. The budget increased 3.9 percent in FY Triennial Performance Audit 11

14 Section III Prior Triennial Performance Recommendations SYVT s efforts to implement the recommendations made in the prior triennial audit are examined in this section of the report. For this purpose, each prior recommendation for the agency is described, followed by a discussion of SYVT s efforts to implement the recommendation. Conclusions concerning the extent to which the recommendations have been adopted by SYVT are then presented. Prior Recommendation 1 Calculate Full Time Equivalents according to the TDA definition. Actions taken by SYVT Background: Full Time Equivalents (FTEs) are required to be reported in the annual Transit Operators Financial Transactions Report submitted to the State Controller. During the prior audit period, the State Controller Reports compiled for SYVT s fixed route and Dial-A-Ride did not properly calculate FTEs, or had missing data. FTEs for fixed-route in FY 2012 appeared to represent headcount rather than the formula of dividing total annual employee hours by 2,000. Employee hours should include those from the contract operator and City personnel responsible for monitoring the operating contract and preparing the State Controller Report. It was suggested that time dedicated to the transit system be tracked as reasonably as possible and tabulated properly since it feeds into the State Controller Reports. Operations data contained in the State Controller Report should be reviewed by SYVT transit management for accuracy and completeness prior to submittal to the State by the Solvang Finance Department. Proper reporting of FTEs will result in more accurate performance indicators of productivity and responsiveness to the State. Action: The Transit Operators Financial Transactions Reports are prepared by the Director of Administrative Services at the City of Solvang. A review of the reports compiled and submitted to the State Controller during the audit period confirms that FTEs are being calculated and reported pursuant to the TDA statute. Additionally, the supplemental operating data sections in the reports were complete. The City has provided supporting documentation showing the breakdown of labor hours expended. The financial software program recently implemented by the City will allow for improved tracking of labor hours allocated to transit. Conclusion This recommendation has been implemented. Triennial Performance Audit 12

15 Prior Recommendation 2 Continue improvements in submitting the Transit Operators Financial Transactions Reports to the State Controller within the statutory timeline. Actions taken by SYVT Background: The prior audit noted that the FY 2010 Transit Operator Financial Transactions Reports for both fixed route and Dial-A-Ride were submitted to the State Controller beyond the statutory deadline. However, the two subsequent reports in FYs 2011 and 2012 were submitted on time. Public Utilities Code Section requires the reports to be filed 90 days after the close of the transit operator's fiscal year (110 days for electronic filing). The purpose of the statewide report is to collect specific financial related and statistical data information about public transit operations for use by the State Legislature, transportation planners, and the public. The performance auditor recognizes the improvement in timing of the reports by SYVT/Solvang and encourages this trend to continue. Action: In response to this recommendation, the City has been in compliance with Public Utilities Code, Section that requires the Transit Operator Financial Transactions Reports to be filed 90 days (110 days for electronic filing) after the close of the fiscal year. Reports for both service modes were filed on October 18, 2013; October 20, 2014; and October 21, Conclusion This recommendation has been implemented. Prior Recommendation 3 Include local Measure A Funds for SYVT in calculation of farebox recovery. Actions taken by SYVT Background: With reduced fares for seniors and disabled beginning in March 2012, the prior audit noted that the actual fare revenue per passenger was lower, which would have an impact on farebox recovery. This reduction could be supplemented by Measure A funding included along with fare revenues in the farebox recovery ratio. It was suggested that local measure funding be included in the calculation of farebox recovery in such reports as the annual financial audit and the State Controller Report. By including the measure revenue, the farebox is made whole in consideration of the reduced fares. Action: A review of the State Controller Reports and annual TDA fiscal audit confirm that local Measure A funds are being included when calculating farebox recovery for the SYVT Dial-A-Ride program. While the farebox recovery ratio calculation in the TDA fiscal audit does not breakout Triennial Performance Audit 13

16 the local Measure A contribution, the amount is indicative of the local contribution. The footnotes section of the FY 2014 State Controller Report filed for Dial-A-Ride refer to the one-year increase in special transit fares. Conclusion This recommendation has been implemented. Triennial Performance Audit 14

17 Section IV TDA Performance Indicators This section reviews SYVT performance in providing transit service to the community in an efficient and effective manner. TDA requires that at least five specific performance indicators be reported, which are contained in the following tables. Farebox recovery ratio is not one of the five specific indicators but is a requirement for continued TDA funding. Therefore, farebox calculation is also included. Two additional performance indicators, operating cost per mile and average fare per passenger, are included as well. Findings from the analysis are contained in the section following the tables. Tables IV-1 through IV-3 provide the performance indicators for SYVT system-wide, fixed route and Dial-A-Ride. Charts are also provided to depict the trends in the indicators. It is noted that the system-wide operating costs and fare revenues are based on audited figures, while modal costs and fare revenues for fixed route and Dial-A-Ride are unaudited. The annual fiscal audits do not provide a modal breakdown. Triennial Performance Audit 15

18 Table IV-1 SYVT TDA Performance Indicators System-wide Audit Period Performance Data and Indicators FY 2012 FY 2013 FY 2014 FY 2015 % Change FY Operating Cost $627,093 $627,465 $633,689 $600, % Total Passengers 50,775 47,436 47,294 44, % Vehicle Service Hours 10,101 10,394 10,247 9, % Vehicle Service Miles 183, , , , % Employee FTE's % Passenger Fare Revenue (1) $70,475 $65,722 $108,648 $79, % Operating Cost per Passenger $12.35 $13.23 $13.40 $ % Operating Cost per Vehicle Service Hour $62.08 $60.37 $61.84 $ % Operating Cost per Vehicle Service Mile $3.42 $3.29 $3.33 $ % Passengers per Vehicle Service Hour % Passengers per Vehicle Service Mile % Vehicle Service Hours per Employee , , , % Average Fare per Passenger $1.39 $1.39 $2.30 $ % Fare Recovery Ratio 11.24% 10.47% 17.15% 13.17% 17.2% Source: Annual Fiscal & Compliance Audits; State Controller Reports; National Transit Database (1) Passenger fare revenues include local Measure A support. Triennial Performance Audit 16

19 Table IV-2 SYVT TDA Performance Indicators Fixed Route Audit Period Performance Data and Indicators FY 2012 FY 2013 FY 2014 FY 2015 % Change FY Operating Cost $555,366 $429,145 $430,971 $415, % Total Passengers 44,757 40,028 40,469 38, % Vehicle Service Hours 6,908 6,885 6,863 6, % Vehicle Service Miles 146, , , , % Employee FTE's % Passenger Fares $73,161 $50,479 $44,164 $42, % Operating Cost per Passenger $12.41 $10.72 $10.65 $ % Operating Cost per Vehicle Service Hour $80.39 $62.33 $62.80 $ % Operating Cost per Vehicle Service Mile $3.80 $2.95 $2.97 $ % Passengers per Vehicle Service Hour % Passengers per Vehicle Service Mile % Vehicle Service Hours per Employee , , , % Average Fare per Passenger $1.63 $1.26 $1.09 $ % Fare Recovery Ratio 13.17% 11.76% 10.25% 10.30% -21.8% Note: SYVT contributions to the Wine Country Express and Breeze 200 operated by other partner agencies are not included in the performance table. Source: State Controller Reports; National Transit Database Triennial Performance Audit 17

20 Table IV-3 SYVT TDA Performance Indicators Dial-A-Ride Audit Period Performance Data and Indicators FY 2012 FY 2013 FY 2014 FY 2015 % Change FY Operating Cost $71,726 $198,319 $215,163 $207, % Total Passengers 6,018 7,408 6,825 6, % Vehicle Service Hours 3,193 3,509 3,384 2, % Vehicle Service Miles 37,430 45,327 45,048 39, % Employee FTE's % Passenger Fares (1) $9,802 $25,731 $62,083 $33, % Operating Cost per Passenger $11.92 $26.77 $31.53 $ % Operating Cost per Vehicle Service Hour $22.46 $56.52 $63.58 $ % Operating Cost per Vehicle Service Mile $1.92 $4.38 $4.78 $ % Passengers per Vehicle Service Hour % Passengers per Vehicle Service Mile % Vehicle Service Hours per Employee 3, , , , % Average Fare per Passenger $1.63 $3.47 $9.10 $ % Fare Recovery Ratio 13.67% 12.97% 28.85% 16.37% 19.8% Source: State Controller Reports; National Transit Database (1) Dial-A-Ride passenger fare revenues include local Measure A support. Triennial Performance Audit 18

21 $700,000 Graph IV-1 Operating Costs $600,000 $500,000 $400,000 $300,000 $200,000 $100,000 $- FY 2012 FY 2013 FY 2014 FY 2015 Systemwide Fixed Route Dial-A-Ride Note: System-wide operating costs are drawn from audited data, while data by mode are unaudited. 60,000 Graph IV-2 Ridership 50,000 40,000 30,000 20,000 10,000 - FY 2012 FY 2013 FY 2014 FY 2015 Systemwide Fixed Route Dial-A-Ride Triennial Performance Audit 19

22 $40.00 Graph IV-3 Operating Cost Per Passenger $35.00 $30.00 $25.00 $20.00 $15.00 $10.00 $5.00 $- FY 2012 FY 2013 FY 2014 FY 2015 Systemwide Fixed Route Dial-A-Ride Note: System-wide operating costs are drawn from audited data, while data by mode are unaudited. $90.00 Graph IV-4 Operating Cost Per Vehicle Service Hour $80.00 $70.00 $60.00 $50.00 $40.00 $30.00 $20.00 $10.00 $- FY 2012 FY 2013 FY 2014 FY 2015 Systemwide Fixed Route Dial-A-Ride Note: System-wide operating costs are drawn from audited data, while data by mode are unaudited. Triennial Performance Audit 20

23 7.0 Graph IV-5 Passengers Per Vehicle Service Hour FY 2012 FY 2013 FY 2014 FY 2015 Systemwide Fixed Route Dial-A-Ride 35% Graph IV-6 Fare Recovery Ratio 30% 25% 20% 15% 10% 5% 0% FY 2012 FY 2013 FY 2014 FY 2015 Systemwide Fixed Route Dial-A-Ride Note: System-wide operating costs are drawn from audited data, while data by mode are unaudited Triennial Performance Audit 21

24 Findings from Verification of TDA Performance Indicators 1. Operating cost per vehicle service hour, an indicator of cost efficiency, remained nearly the same systemwide during the reporting period, with a slight decrease of 0.3 percent from $62.08 in FY 2012 to $61.88 in FY Fixed route operating costs per hour registered a greater decline than the system overall with a decrease of 24.5 percent during the period. In contrast, Dial-a-Ride operations exhibited an increase of over two-fold from $22.46 to $72.52 as Dial-A-Ride operating costs increased significantly in the reporting period. New general public Dial-A-Ride service was implemented on Sundays, while contract costs with Storer also increased. Systemwide, both operating costs and operating hours decreased roughly 4.0 percent overall. 2. Operating cost per passenger, an indicator of cost effectiveness, increased 9.6 percent systemwide from $12.35 in FY 2012 to $13.54 in FY 2015 as operating costs were reduced but at a lower rate than the reduction in overall ridership. Fixed route services exhibited a reduction in operating costs per passenger of 12.3 percent from $12.41 in FY 2012 to $10.89 in FY Demand response services had a significant increase during the period of percent from $11.92 in FY 2012 to $33.46 in FY 2015 due to a major increase in operating costs and steady ridership. Ridership systemwide fell by 12.7 percent during the period from 50,775 passengers in FY 2012 to 44,325 passengers in FY 2015 combined with a 4.3 reduction in operating costs. 3. Passengers per vehicle service hour, which measures the effectiveness of the service delivered, decreased 9.1 percent between FY 2012 and FY 2015 systemwide from 5.0 passengers per hour to 4.6 passengers per hour. Fixed route operations reflected a greater rate of decrease of 14.0 percent over the same period from 6.5 to 5.6 passengers per hour as ridership fell and vehicle service hours remained fairly constant. Demand response operations exhibited an increase of 15.0 percent from 1.9 to 2.2 passengers per hour as ridership grew 2.9 percent and vehicle service hours declined 10.5 percent. The trend in this indicator reflects a decrease in systemwide ridership at a rate higher than the decrease in service hours during the reporting period (12.7 percent decline in ridership versus 4.0 percent decline in service hours). 4. Passengers per vehicle service mile, another indicator of service effectiveness, decreased 13.1 percent between FY 2012 and FY 2015 from 0.28 in FY 2012 to 0.24 in FY For fixed route operations, the number of passengers per service mile decreased 14.0 percent from 0.31 to Demand response services held steady in the passengers per service mile indicator at 0.16 during the triennial period. From the FY 2012 base year to FY 2015, total vehicle service miles increased 0.5 percent systemwide. 5. Vehicle service hours per employee increased 92.0 percent systemwide between FY 2012 and FY This increase was driven by fixed route operations and the reporting of FTEs consistent with the TDA definition. Fixed route FTEs increased percent from Triennial Performance Audit 22

25 628.0 hours in FY 2012 to 1,710.3 hours in FY Fixed route vehicle service hours per employee increased significantly between FY 2012 and FY 2013 as FTE s decreased from 11 to 4 and vehicle hours remained constant between those fiscal years. For demand response operations within the reporting period, vehicle hours per employee decreased from 3,193.0 in FY 2012 to 1,429.0 in FY 2015 as vehicle service hours declined and demand response employees increased from 1 to 2 FTE s. This measure is based on the number of employee Full-Time Equivalents (FTE) using employee pay hours from the State Controller s Report and dividing by 2,000 hours per employee. 6. Farebox recovery exhibited an average annual increase of 11.2 percent systemwide between FY 2012 and Farebox recovery decreased by 21.8 percent on fixed-route service between FY 2012 and FY 2015, yet increased 19.8 percent on demand-response service as local Measure A funds were used to support Dial-A-Ride passenger fare revenue. Systemwide, passenger fares increased 12.2 percent from $70,475 in FY 2012 to $79,066 in FY Operating costs declined 4.3 percent during the same reporting period. Conclusion from the Verification of TDA Performance Indicators Santa Ynez Valley Transit s performance indicators reflect an effort to reduce operating costs and maintain the level of vehicle service hours and miles with a reduction of ridership. Systemwide operating costs were reduced 4.3 percent during the triennial period, but overall ridership also fell 12.7 percent, impacting service performance. Fixed route operating costs were reduced 25.2 percent while demand response operating costs increased by nearly two-fold in the triennial period. New general public Dial-A-Ride service was implemented on Sundays, while contract costs with Storer also increased. While beyond the audit period, SYVT has incurred higher cost from the new contract operator for SYVT services which could impact the performance cost indicators in the near term in relation to the stagnant levels of service hours and miles, and declining ridership. Triennial Performance Audit 23

26 Data Consistency In a review of data consistency between external and internal reports, fiscal year-end performance data was compared between the annual State Controller Report, National Transit Database, and SYVT internal system management reports. Performance data reviewed included ridership, vehicle revenue service hours, and vehicle revenue service miles. Table IV-4 shows the side-by-side comparison during the audit period. There appears to be both data consistency and minor discrepancies among the performance data contained in the three reports. Most data matched relatively close, with a few exceptions for both modes. For fixed route unlinked passengers in FY 2015, there was a 260 passenger variance between the internal contractor report and the annual State and Federal external reports. The greatest difference was for demand response vehicle service hours. The FY 2014 State Controller vehicle service hour data appear to be the same as the passenger trip data reported. The FY 2015 internal contractor report vehicle service hour data appear to reflect total service hours as compared to the other two external agency reports. Overall improved data consistency provides an indication of the agency moving in that direction. Table IV-4 Data Consistency Review Data Consistency Fixed Route Audit Review Period TDA Statistic Source FY 2013 FY 2014 FY 2015 Unlinked Passengers SYVT Internal Reports 40,028 40,469 38,360 State Controller Report 40,028 40,469 38,130 National Transit Database 40,028 40,469 38,130 Vehicle Service Hours SYVT Internal Reports 6,885 6,863 6,840 State Controller Report 6,885 6,863 6,841 National Transit Database 6,885 6,863 6,841 Vehicle Service Miles SYVT Internal Reports 145, , ,704 State Controller Report 145, , ,704 National Transit Database 145, , ,704 Triennial Performance Audit 24

27 Data Consistency Demand Response Audit Review Period TDA Statistic Source FY 2013 FY 2014 FY 2015 Unlinked Passengers SYVT Internal Reports 7,408 6,825 6,195 State Controller Report 7,408 6,825 6,195 National Transit Database 7,408 6,825 6,195 Vehicle Service Hours SYVT Internal Reports 3,509 3,383 3,134 State Controller Report 3,509 6,825 2,858 National Transit Database 3,509 3,384 2,858 Vehicle Service Miles SYVT Internal Reports 45,327 45,048 39,770 State Controller Report 45,327 45,048 39,770 National Transit Database 45,327 45,048 39,770 Triennial Performance Audit 25

28 Section V Review of Operator Functions This section provides an in-depth review of various functions within Santa Ynez Valley Transit. The review highlights accomplishments, issues and/or challenges that were determined during the audit period. The following functions were reviewed at the City of Solvang with administrative staff: Operations Maintenance Planning Marketing General Administration and Management Within some departments are sub-functions that require review as well, such as Grants Administration that falls under General Administration. Operations SYVT s operations remained relatively stable during the audit period. SYVT continued to make progress in optimizing its existing services through infrastructure and technology improvements, new vehicle procurement and updated image branding. The service provision is composed of two bi-directional fixed routes serving the two incorporated cities of Buellton and Solvang as well as the unincorporated communities of Ballard, Los Olivos and Santa Ynez. Dial-A-Ride primarily serves ADA-certified passengers followed by seniors. The launch of the General Public Dial-A-Ride on Sundays has expanded options for the transit dependent. The fixed-route is operated with two vehicles. The main east-west alignment for both routes is situated along SR-246 connecting Buellton, Solvang, and Santa Ynez. The main north-south alignment connecting the communities of Ballard and Los Olivos includes Alamo Pintado Drive and Refugio Road. The majority of boardings occur in the unincorporated areas of Ballard, Los Olivos and Santa Ynez while most alightings take place in Solvang. About 50 percent of the SYVT ridership work in the local hospitality and service industries. SYVT was involved in the implementation of the 2012 Transit Infrastructure Plan, which provided an assessment of passenger amenities that would ensure safety, comfort and convenience to the ridership. The plan included recommendations affecting 50 bus stops. The bus stop upgrades undertaken were composed of concrete padding, shelters, benches and solar-powered beacons throughout the system. Some stops were relocated in order to enhance on-time performance and Triennial Performance Audit 26

29 service efficiency. The first round of improvements involved 21 stops, which were completed in FY The stops were selected based on existing conditions and ridership. Additional stops have been identified for the second round of improvements. In addition to the bus stop improvements, SYVT procured two new cutaway replacement vehicles for fixed route operations as part of the fleet replacement plan set forth in the 2012 Short Range Transit Plan. Additional fleet upgrades have included new radio equipment and fare vaults. The newer vehicles will assist in mitigating operating and maintenance costs for the foreseeable future. Vehicles are equipped with bicycle racks that accommodate up to two bicycles. SYVT is looking to install racks that can accommodate up to three bicycles. SYVT had been operated under contract by Modesto-based Storer Transit Systems since July The operating contract was for a five-year term (with two 1-year extensions). The Storer project manager split time between the SYVT and Lompoc COLT operations. During the audit period, the project manager took a leave of absence and supervision was delegated to a customer service manager/representative. Storer advised SYVT that it would not extend the operations contract and the City of Lompoc indicated that it would not release a joint Request for Proposals (RFP) to solicit a new contract operator. In addition, Storer increased contract rates significantly in FY SYVT issued an RFP for contract operations based on a five-year term with an option for up to a five year extension. Five proposal bids were received and Roadrunner Management Services based in Camarillo, California was selected to operate SYVT. The new contract went into effect July 1, During the audit period, dispatching was conducted for both the COLT and SYVT transit systems from a central facility in Lompoc. SYVT updated how it schedules Dial-A-Ride pick-ups instead of placing limits on the number of pick-ups. The StrataGen dispatching and scheduling software was implemented in 2011 in conjunction with Storer becoming the contract operator. This technology upgrade has allowed SYVT to accommodate more rides. The StrataGen dispatching software is configured to accept same-day reservations and allows for open return reservations for passengers with medical appointments. The software eliminates the need for drivers to have a manifest. With increased trip requests, SYVT is examining the possibility of employing a second vehicle for Dial-A-Ride within the next few years. The SRTP has made recommendations to improve on-time performance including reducing the number of time-points to allow drivers the opportunity to recover between stops in the event additional time is needed. Fare revenue is counted daily and deposited into the contractor s account and subtracted from the monthly invoice to the City. SYVT and Storer implemented stricter accountability measures to ensure proper fare collection such as having the driver verify that dollar bills are unfolded upon placement into the farebox. Fares were counted at the Storer facility in Lompoc with any variance between expected and actual revenue discussed with the driver. The project manager submitted fare sheets to Storer s corporate finance where the revenues were double checked. The multi-trip fare discount was eliminated during the audit period. Triennial Performance Audit 27

30 Service metrics such as complaints are recorded on a monthly basis by the contract operator. The contractor separately tracks informal complaints and actual complaints that are substantiated. A log of complaints by type is submitted by the contract operator to SVYT transit management. A complaint rate is derived monthly which is the product of the number of complaints divided by total phone calls received for the month. Contract Personnel SYVT contract operations under Storer Transit Systems were comprised of a project manager, 9 drivers (6 full-time and 3 part-time drivers), and one receptionist who handled customer service duties. Three of the full-time drivers are dedicated to SYVT with the remaining staff split between the Lompoc COLT service and SYVT. There was some turnover of drivers during the transition of contract operations to Storer, while the road supervisor position was eliminated and is currently handled by the project manager. One-quarter of the project manager s time was devoted to SYVT, which amounts to eight hours weekly. Qualified driver candidates are required to have a good work history and a clean H-6 printout from the Department of Motor Vehicles (DMV) along with a Class B license with passenger endorsement. Verification of Transit Training (VTT) certificate issued by the DMV is required for bus operations. New drivers undergo 60 hours of training that includes 20 hours of classroom, 40 hours behind-the-wheel and ADA/mobility sensitivity instruction. Drivers are also trained behind a computer simulated drive cam for defensive driving skills. There is a two-year minimum commitment by the driver if the contractor pays for training. Maintenance Vehicle maintenance is performed on a 3,000 mile or 45 day inspection schedule in accordance with the State s General Public Paratransit Vehicle (GPPV) regulations. SYVT utilizes outside vendors in lieu of using municipal facilities and staffing. Advanced Automotive Solutions located at 91 2 nd Street, Suite F in Buellton serves as SYVT s primary maintenance facility. Frazier Auto Repair & Towing located at 1120 Mission Drive serves as SYVT s secondary maintenance vendor and provides tire repair and replacement. SYVT vehicles have received satisfactory CHP terminal inspections. Vehicle fueling is conducted at Buell Flat located 1214 Mission Drive in Solvang. Vehicles are stored at the City of Solvang corporation yard or at Oak Street Parking Lot 4. The City of Solvang installed security lighting in the corporation yard where vehicles are parked overnight. Roadcalls pertain to mechanical and other operational failures while the transit vehicles are in service. The contract operator tracks and records such information in its system management report. During the audit period, there were no roadcalls that resulted in a service interruption. With minimal roadcalls, SYVT has maintained positive performance relative to the number of revenue miles between roadcalls. Triennial Performance Audit 28

31 Planning The 2012 SYVT Short-Range Transit Plan (SRTP) served as the principal service planning document during the audit period. Adopted in September 2012, the SRTP update provides an objective and comprehensive assessment of public transit services covering a five-year horizon that identifies specific capital and operations improvements. The document also presents practical strategies for addressing current and forecast demand for transit service. There are a series of qualitative and quantitative performance benchmarks that addressed farebox recovery, on-time performance, DAR denials, bus stop amenities, accidents, roadcalls and vehicle spare ratio. Some of the findings contained in the 2012 SRTP include an emphasis on attracting choice riders, target marketing efforts toward the region s tourism industry, the need for schedule adherence during peak commute hours, and maximizing the use of technology such as GPS and the StrataGen scheduling software. Also contained in the 2012 SRTP is a series of service recommendations tailored for each service mode. The SYVT project management consultant will assist with marketing and implementing the recommendations. The service recommendations are summarized in Table V-1 below: Table V-1 SYVT 2012 SRTP Service Recommendations Fixed Route Dial-A-Ride Increase availability and marketing of noncash fare media (bus passes) Improve complaint reporting procedures Increase frequency of DAR system scheduling throughout the service day to ensure accurate scheduling as traffic and road conditions change Provide regular training of SYVT office staff and transit managers Notify customers of anticipated delays as early as possible Reduce the number of published time-points Designate stop along Alisal Road as on-call Extend service hours to match fixed-route Designate Viborg Road stop as on-call schedule changes in order to maintain ADA compliance Investigate use of sweeper vehicle during Introduce subscription (recurring) trips peak demand time to provide more available seats Increase total trip time to improve schedule adherence. Conduct regular SYVT office staff training Source: SYVT 2012 SRTP Update The North County Transit Plan was updated and adopted in September 2016 by SBCAG. The 2016 update was a three-year effort that built on the progress made since the adoption of the 2006 plan by identifying outstanding recommendations and offering proposals for increased service collaboration and improved governance. The Solvang Public Works Director served as a project advisor during the course of the update. The 2016 plan recommended voluntary consolidation of Triennial Performance Audit 29