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WEST VIRGINIA DEPARTMENT OF TRANSPORTATION

APPLICATION

49 U.S.C. Section 5311

Rural Transportation Program

FY 2024

WV DEPARTMENT OF TRANSPORTATION

DIVISION OF MULTIMODAL TRANSPORTATION FACILITIES

PUBLIC TRANSIT

BUILDING 5, ROOM 663

1900 KANAWHA BOULEVARD, EAST

CHARLESTON, WV 25305-0432

The West Virginia Department of Transportation,

Division of Multimodal Transportation Facilities-Public Transit, as a recipient of federal funds

for programs, has given the assurance.

that within daily operations and the delivery of services,

it will not discriminate against any person on the basis of

race, color, national origin, disability, gender,

age or low-income status.

If you need this document translated into an alternate language, please contact the

Division of Multimodal Transportation Facilities-Public Transit.

CONTENTS

CHECKLIST OF APPLICATION REQUIREMENTS 1

INTRODUCTION 2

LOCAL SHARE 3

MILESTONES 5

APPLICATION FORMAT………………………………………………………...………………………6

GENERAL REQUIREMENTS FOR ELIGIBILITY……………………………………………………..7

SPECIAL LABOR PROTECTION WARRANTY……...……………………………………………….8

PROJECT BUDGET 15

DOCUMENTATION OF LOCAL MATCH 17

APPLICATION QUESTIONS 18

GENERAL CERTIFICATIONS AND ASSURANCES 27

FTA CERTIFICATIONS AND ASSURANCES 30

APPENDIX I: GLOSSARY OF TERMS 40

APPENDIX II: BUDGET DEFINITIONS 43

APPENDIX III: PRIVATE SECTOR PARTICIPATION PROCEDURES 48

APPENDIX IV: WV REGIONAL PLANNING and DEVELOPMENT COUNCILS 58

APPENDIX V: SECTION 5311 PROGRAM SAFETY REQUIREMENTS 64

CHECKLIST OF APPLICATION REQUIREMENTS

A checklist of required elements to submit with your application is presented on the

following page. Please complete and submit the checklist with your application materials.

The following documents must be submitted as a part of your application

Special Labor Protection Warranty – Letter and Listing

General and FTA Certifications and Assurances

Project Information

Narrative Description of System

FY 2023 Operating Budget

Capital Request

INTRODUCTION

The purpose of this packet is to establish the criteria upon which applicants will

be included in the West Virginia Department of Transportation, Division of Multimodal

Transportation Facilities – Public Transit (DMTF-PT) FY 2024 Section 5311 program.

The DMTF-PT program offers federal financial assistance for public transportation in

rural areas by means of a formula grant program administered by the State. Funds

made available may be used for operating and capital assistance by operators of public

transportation services in nonurbanized areas.

It is the intent of this program that funds made available under Section 5311

augment rather than supplant existing transportation resources. These funds should

expand and not take the place of locally contributed funds or existing agency

transportation funds.

All grant applications will be reviewed by the Division of Multimodal

Transportation Facilities-Public Transit.

Applications must be submitted by Friday,

March 10, 2023, to:

WV Department of Transportation

Division of Multimodal Transportation Facilities-Public Transit

Attn. Neal Vance, Section 5311 Program Manager

Bldg. 5, Room 663 / 1900 Kanawha Blvd., E.

Charleston, WV 25305-0432

LOCAL SHARE

Up to fifty percent of a system's operating expenses, minus farebox and other

revenue, may be funded with Section 5311 program funds. The remaining operating

costs must be funded with non-federal sources of local match.

Examples of non-federal sources of local match includes State or local

appropriations, funds provided by regional organizations, and non-operating revenues.

Non-cash shares such as donations, volunteered services, or in-kind contributions are

eligible to be counted towards the Local match only if the value of each is formally

documented and supported.

Non-operating revenues are public grants and income generated from other

activities of the Local agency not related to general public transportation such as airport

operations, interstate carriers, ticket sales, charter profit and advertising profit.

Charter profit may be used as a part of the local share as long as charter

operation expenses and income are carried in a separate account and all charter

operations are conducted in accordance with 49 CFR, Part 604. Charter deficit is not

eligible for assistance under this grant program. If your agency uses charter profit as a

match, it will be your responsibility to determine that the charter rates do provide for a

profit.

Advertising profit is revenue earned from displaying advertising materials on

transit system vehicles and property. The amount shown as profit should be net of any

fees paid to advertising agencies that place the advertisement with the transit system.

The program allows funds received by recipients pursuant to service agreements

with a State or local social service agency or a private social service organization to be

considered as local match even though the original source of such funds may have

been another (non-U.S. DOT) federal program. This provision, however, applies

only to

private, nonprofit organizations. In addition, there may be certain cases where federally

appropriated funds are specifically permitted to be treated as local funds for the

purposes of matching share for other federal programs. The degree to which a recipient

demonstrates local financial commitment to the project may be used by the State as a

rating factor in its discretionary allocation decisions.

Title III B funds are among the unrestricted federal funds eligible as match.

Other FTA funds cannot be used as match.

If you have any questions as to whether or not your agency has any eligible

unrestricted federal funds or in-kind contributions, please contact the DMTF-Public

Transit.

MILESTONES

February 10, 2023 APPLICATIONS AVAILABLE

March 10, 2023 APPLICATIONS DUE

March-April 2023 APPLICATIONS REVIEWED

FOR COMPLIANCE &

COMPLETENESS

March 31, 2023 DOCUMENTATION OF LOCAL

MATCH DUE

May 26, 2023 SIGNED CONTRACTS DUE

July 1, 2023 FY 2024 SECTION 5311

PROGRAM YEAR BEGINS

APPLICATION FORMAT

The application has been assembled into a format which the DMTF-Public

Transit hopes will reduce the amount of preparation time and aid in the fair evaluation of

each applicant. The Division has provided the application questions,

assurances/certifications, and project budget information in an electronic format –

Microsoft Word and Excel. You are to respond to all the questions and complete the

assurances/certifications and project budget information, save the data, print a copy and

be sure to sign on the pages where indicated. Also, include the Checklist of

Application Requirements.

The staff of the DMTF-Public Transit is available to answer any questions

concerning this application packet.

GENERAL REQUIREMENTS FOR ELIGIBILITY

In accordance with FTA C 9040.1G, eligible recipients may include "state

agencies, local public bodies, nonprofit organizations, Indian Tribes and groups, and

operators of public transportation services."

The term "public transportation" is defined as "any transportation by bus or rail or

other conveyance, either publicly or privately owned, which provides to the public,

general or special service on a regular and continuing basis." "Public transportation

does not include the following: (1) school bus, charter, or sightseeing service; (2)

exclusive ride taxi service; (3) and service to individuals or groups which exclude use by

the general public." Additionally, the applicant's vehicles must be clearly marked in a

manner which identifies their availability for public transportation service.

In order to meet the general requirements for eligibility, there are various

statements and assurances that must be signed by the President, Chairman of the

Board, or comparable authorized official of your organization.

SPECIAL LABOR PROTECTION WARRANTY

Section 5333(b) calls for the protection of the interests of employees affected by

federal assistance, including such provisions as ensuring rights, privileges and benefits,

protection against a worsening of employee’s positions with respect to their

employment; rehiring priority for those laid off; and retraining.

The Special Labor Protection Warranty will become a part of all Section 5311

funding assistance contracts between you and the State of West Virginia (DMTF-Public

Transit). Because of the amount of time involved in filing for a warranty, the DMTF-

Public Transit will not apply for any waivers; however, if your organization feels that it

has extenuating circumstances and desires a waiver, contact the DMTF-Public Transit

in writing.

Each applicant must make assurances (letter of acceptance) to the DMTF-Public

Transit that all terms and conditions of the warranty will be met. These assurances will

be maintained on file by the DMTF-Public Transit as required by the U.S. Department of

Labor. If a union represents your transit property, the organization may become part of

the warranty by completing the sample labor organization letter.

Following this information is a copy of the Special Labor Protection Warranty.

Review this along with your board of directors, advisory council and attorney. Please

then sign the letter(s) and complete the listing of recipients, eligible transportation

providers and labor organizations, in your service area. If your organization desires

further information on the warranty, please contact this office.

LABOR PROTECTION WARRANTY

FOR SMALL URBAN AND RURAL PROGRAM

A. General Application

The DMTF-Public Transit agrees that, in the absence of waiver by the Department of

Labor, the terms and conditions of this warranty, as set forth below, shall apply for the

protection of the transportation related employees of any employer providing

transportation service assisted by the Project (Authority), and the transportation related

employees of any other surface area of the project.

The DMTF-Public Transit shall provide to the Department of Labor and maintain at all

times during the Project an accurate uptodate listing of all existing transportation

providers which are eligible Recipients of transportation assistance funded by the

Project, in the transportation service area of the Project, and any labor organizations

representing the employees of such providers.

Certification by the DMTF-Public Transit to the Department of Labor that the Authority

has indicated in writing acceptance of the terms and conditions of the warranty

arrangement will be sufficient to permit the flow of 49 U.S.C. Section 5311 funding in the

absence of a finding of noncompliance by the Department of Labor.

Standard Terms and Conditions

(1) The Project shall be carried out in such a manner and upon such terms and

conditions as will not adversely affect employees of the Authority and of any other

surface public transportation provider in the transportation service area of the Project. It

shall be an obligation of the Authority and any other legally responsible party designated

by the DMTF-Public Transit to assure that any and all transportation services assisted

by the Project are contracted for and operated in such a manner that they do not impair

the rights and interests of affected employees. The term "Project" as used herein, shall

not be limited to the particular facility, service, or operation assisted by Federal funds,

but shall include any changes, whether organization, operational, technological, or

otherwise, which are a result of the assistance provided. The phrase "as a result of the

project," shall when used in this arrangement, include events related to the Project

occurring in anticipation of, during, and subsequent to the Project and any program of

efficiencies or economies related thereto; provided, however, that volume rises and falls

of business or changes in volume and character of employment brought about by

causes other than the Project (including any economies or efficiencies unrelated to the

Project) are not within the purview of this arrangement.

An employee covered by this arrangement, who is not dismissed, displaced or

otherwise worsened in his position with regard to his employment as a result of the

Project, but who is dismissed, displaced, or otherwise worsened solely because of the

total or partial termination of the Project, discontinuance of Project services, or

exhaustion of Project funding shall not be deemed eligible for a dismissal or

displacement allowance within the meaning of paragraphs (6) and (7) of the Model

agreement or applicable provisions of substitute comparable arrangements.

(2) (a) Where employees of an Authority are represented for collective bargaining

purposes, all Project services provided by that Authority shall be provided under and in

accordance with any collective bargaining agreement applicable to such employees

which is then in effect.

(2) (b) The Authority shall provide to all affected employees sixty (60) days’ notice of

intended actions which may result in displacements or dismissals or rearrangements of

the working forces. In the case of employees represented by a union, such notice shall

be provided by certified mail through their representatives. The notice shall contain a

full and adequate statement of the proposed changes, and an estimate of the number of

employees affected by the intended changes, and the number and classifications of any

jobs in the Authority's employment available to be filled by such affected employees.

(2) (c) The procedures of this subparagraph shall apply to cases where notices involve

employees' represented by a union for collective bargaining purposes. At the request of

either the Authority or the representatives of such employees negotiations for the

purposes of reaching agreement with respect to the application of the terms and

conditions of this arrangement is reached within twenty (20) days from the

commencement of negotiations, any party to the dispute may submit the matter to

dispute settlement procedures in accordance with paragraph (4) of this warranty. The

foregoing procedures shall be complied with and carried out prior to the institution of the

intended action.

(3) For the purposes of providing the statutory required protections including those

specifically mandated by Section 13(c) of the Act

, the DMTF-Public Transit will assure

as a condition of the release of funds that the Authority agrees to be bound by the terms

and conditions of the National (Model) Section 5333(b) agreement executed July 23,

1975, identified below

, therefore, if approved by the Secretary of Labor and certified for

inclusion in these conditions.

(4) Any dispute or controversy arising regarding the application, interpretation, or

enforcement of any of the provisions of this arrangement which cannot be settled by

and between the parties at interest within thirty (30) days after the dispute or

controversy first arises, may be referred by any such party to any final and binding

disputes settlement procedure acceptable to the parties, or in the event they cannot

agree upon such procedure, to the Department of Labor or an impartial third party

designated by the Department of Labor for final and binding determination. The

compensation and expenses of the impartial third party, and any other jointly incurred

expenses, shall be borne equally by the parties to the proceeding and all other

expenses shall be paid by the party incurring them. In the event of any dispute as to

whether or not a particular employee was affected by the Project, it shall be his

obligation to identify the Project and specify the pertinent facts of the Project relied

Such protective arrangements shall include, without being limited to, such provisions as may be necessary for (1) the preservation of rights,

privileges, and benefits (including continuation of pension rights and benefits) under existing collective bargaining agreements or otherwise; (2)

the continuation of collective bargaining rights; (3) the protection of individual employees against a worsening of their positions with respect to

their employment; (4) assurances of employment to employees of acquired mass transportation systems and priority of reemployment of

employees terminated or laid off; and (5) paid training and retraining programs. Such arrangements shall include provisions protecting individual

employees against a worsening of their positions with respect to their employment which shall in no event provide benefits less than those

established pursuant to Section 5(2)(f) of the Act of February 4, 1987 (24 Stat. 379), as amended.

For purposes of this warranty arrangement, paragraphs (1); (2); (5); (15); (22); (23); (24); (26); (27); (28); and (29) of the Model Section 13c

Agreement, executed July 23, 1975 are to be omitted.

upon. It shall then be the burden of either the Authority or other party legally

responsible for the application of these conditions to prove that factors other than the

Project affected the employees. The claiming employee shall prevail if it is established

that the Project had an effect upon the employee even if other factors may also have

affected the employee.

(5) The Authority or other legally responsible party designated by the DMTF-Public

Transit will be financially responsible for the application of these conditions and will

make the necessary arrangements so that any employee covered by these

arrangements, or the union representative of such employee, may file claim of violation

of these arrangements with the Authority within sixty (60) days of the date he is

terminated or laid off as a result of the Project, or within eighteen (18) months of the

date his position with respect to his employment is otherwise worsened as a result of

the Project. In the latter case, if the events giving rise to the claim have occurred over

an extended period, the 18month limitation shall be measured from the last such event.

No benefits shall be payable for any period prior to six (6) months from the date of the

filing of any claim.

(6) Nothing in this arrangement shall be construed as depriving any employee of any

rights or benefits which such employee may have under existing employment or

collective bargaining agreements, nor shall this arrangement be deemed a waiver of

any rights of any union or of any represented employee derived from any other

agreement or provision of federal, state or local law.

(7) In the event any employee covered by these arrangements is terminated or laid off

as a result of the Project, he shall be granted priority of employment or reemployment to

fill any vacant position within the control of the Authority for which he is, or by training or

retraining within a reasonable period, can become qualified. In the event training or

retraining is required by such employment or reemployment, the Authority or other

legally responsible party designated by the DMTF-Public Transit shall provide for such

training or retraining at no cost to the employee.

(8) The Authority will post, in a prominent and accessible place, a notice stating that the

Authority has received federal assistance under the Federal Transit Act and has agreed

to comply with the provisions of Section 5333(b) of the U.S. Code. This notice shall

also specify the terms and conditions set forth herein for the protection of employees.

The Authority shall maintain and keep on file all relevant books and records in sufficient

detail as to provide the basic information necessary to the proper application,

administration, and enforcement of these arrangements and to the proper determination

of any claims arising thereunder.

(9) Any labor organization which is the collective bargaining representative of

employees covered by these arrangements, may become a party to these

arrangements by serving written notice of its desire to do so upon the Authority and the

Department of Labor. In the event of any disagreement that such labor organization

represents covered employees, or is otherwise eligible to become a party to these

arrangements, as applied to the Project, the dispute as to whether such organization

shall participate shall be determined by the Secretary of Labor.

(10) In the event the Project is approved for assistance under the Act, the foregoing

terms and conditions shall be made part of the contract of assistance between the

federal government and the DMTF-Public Transit or Authority of federal funds; provided,

however, that this arrangement shall not merge into the contract of assistance, but shall

be independently binding and enforceable by and upon the parties thereto, and by any

covered employee or his representative, in accordance with its terms, nor shall any

other employee protective agreement merge into this arrangement, but each shall be

independently binding and enforceable by and upon the parties thereto, in accordance

with its terms.

WAIVER

As a part of the grant approval process, either the Authority or other legally responsible

party designated by the DMTF-Public Transit may in writing seek from the Secretary of

Labor a waiver of the statutory required protections. The Secretary will waive these

protections in cases, where at the time of the requested waiver, the Secretary

determines that there are no employees of the Authority or of any other surface public

transportation providers in the transportation service area who could be potentially

affected by the Project. A 30day notice of proposed waiver will be given by the

Department of Labor and in the absence of timely objection, the waiver will become final

at the end of the 30day notice period. In the event of timely objection, the Department

of Labor will review the matter and determine whether a waiver shall be granted. In the

absence of waiver, these protections shall apply to the Project.

SAMPLE

Letter of Acceptance of the Terms and Conditions of the

Special Labor Protection Warranty

TO BE TYPED ON APPLICANT'S LETTERHEAD

AND MUST BE SUBMITTED

WITH SECTION 5311 APPLICATION

DATE

William C. Robinson, Executive Director

Division of Multimodal Transportation Facilities-Public Transit

Building 5, Room 663

1900 Kanawha Blvd., E.

Charleston, West Virginia 253050432

Dear Director:

This will certify that the applicant, (Name of Applicant) hereby accepts the terms

and conditions of the "Special Labor Protection Warranty" for Application to the Small

Urban and Rural Program.

Sincerely,

(

SIGNED BY APPLICANT)

Attachment

TO BE COMPLETED AND

SUBMITTED WITH SECTION 5311 APPLICATION

LISTING OF

RECIPIENT, ELIGIBLE TRANSPORTATION

PROVIDERS AND LABOR REPRESENTATION FOR

SPECIAL LABOR PROTECTION WARRANTY

Project Recipient

Other Surface Public

Transit Providers

Union

Representation

of Employees (if

any)

PROJECT BUDGET

The Project Budget is composed of both operating and non-operating expenses.

(See Glossary of Terms for definitions). It is imperative to only use the forms provided.

Please note it is not mandatory for your organization to allocate at least 1% of its

budget toward marketing; however, it is encouraged.

Furthermore, the DMTF-Public Transit strongly encourages each applicant to

review the Budget Definitions and the forms before filling out the FY 2024 request.

Merely adding a fixed percentage to your current budget (FY 2023) will not be

considered sufficient budget preparation. Beginning this year, your agency will be

asked to make a budget presentation (likely virtual) to explain your funding request and

possibly to justify specific line items.

Specifically, what is actually being funded under the operating portion of the

program is the net operating cost, which is the deficit remaining after direct operating

revenues from fares, package delivery, and contra-expenses are subtracted from

eligible expenses. If direct operating revenues equal or exceed eligible operating

expenses, net operating cost is zero (0).

Contra-expenses are revenue items which directly offset transit expenses, and

which are therefore eliminated from the deficits eligible for Section 5311 assistance.

Five common types of contra-expenses include the following:

a. Interest income earned on working capital.

b. Proceeds from the sale of equipment in excess of the depreciated value.

(Private operators only)

c. Cash discounts and refunds that directly offset accrued expenses.

d. Insurance claims and reimbursements which directly offset accrued expenses.

e. State fuel tax rebates to public operators.

All eligible expenses incurred by the transit property that are not considered

operating would be classified as non-operating and eligible for the 50/50 match.

Examples of these expenses would be marketing costs, staff salaries, rent, office

supplies, etc.

2 CFR Part 225 specifically describes ineligible expenses for reimbursement.

Some of the more common ineligible items include:

a. Entertainment (e.g., golf games, sporting events, in-room movies, etc.)

b. Fines and Penalties, including finance charges for late payments.

c. Charitable Donations

d. Interest expense on long-term borrowing and debt retirement.

e. Advisory councils unless prior approval has been granted.

f. For private mass transportation operators, provision for Federal, State, or local

income taxes.

g. Indirect transit-related functions or activities of regional or local entities performed

as a normal consequence of general public administration (e.g., expenses of a

City Council in considering transit matters, expenses of an MPO in programming

formula funds, etc.)

h. Depreciation accrued by public operators, depreciation on facilities or equipment

purchased with public (e.g., Federal, State, Local) capital assistance,

depreciation of an intangible asset, and/or depreciation in excess of the rate

otherwise used for income purposes.

i. Expenses for contingencies or capital assistance including contributions to a

capital reserve account or fund.

If your organization has any questions as to whether an expense item is

eligible or ineligible, please contact the DMTF-Public Transit.

For FY 2024, overall budget requests showing an increase from FY2023 must

include a detailed explanation regarding the extenuating circumstances. These

requests will be reviewed on a case-by-case basis.

For those agencies wanting to use in-kind services and/or unrestricted federal

funds for part of the local match, contact the DMTF-Public Transit for special

instructions.

NOTE: Please round all budget figures to the nearest dollar and read all budget

definitions before completing any budget form.

DOCUMENTATION OF LOCAL MATCH

All applicants are required to provide documentation of local funds to be used to

match the federal Section 5311 funds. Documentation may consist of but is not limited

to written statements from county commissions, State agencies, city managers, Mayors,

town councils, organizations, accounting firms and financial institutions.

All

documentation should indicate the date that funds will be made available to your

system.

If available at the time of submission of your application, documentation of local

funds should be provided. Match documentation should be inserted immediately after

the Sources of Funds page.

If documentation of local funds is not available at the

time of submission, such

documentation must be submitted to the DMTF-Public Transit on or before March

31, 2023.

APPLICATION QUESTIONS

Applicant Information

1. Name and address:

2. Name, title, telephone, email address of

applicant contacts (minimum of two):

Service Area Information

1. Counties and towns served

2. Service area population

Total

Persons with disabilities

Elderly persons

Service Characteristics

Definitions:

Demand-Response: Any system of transporting individuals, including but not limited to providing

designated public transportation service or specified public transportation service by vehicle at the

request of the user.

Fixed-Route: A system of transporting designated or specified public transportation services along a

prescribed route according to a fixed schedule without an advanced request by a passenger to ensure

that service is provided.

Route Deviation: Fixed-route service that upon request allows deviations from the regular route to

provide direct transportation access to passengers within the vicinity of the prescribed route.

ADA Complementary Paratransit: Origin-to-destination demand-response service required for persons

who are unable to use fixed-route service.

Types of service provided.

For fixed-route and route deviation services,

please list the number of routes.

Days and hours of operation

Fare structure

(Base, student, elderly, disabled, zone

charges, other)

Description of other transportation services

provided (NEMT, contracts). For NEMT

service, please describe the service area, cost

recovery ratio, # of passengers per month,

etc.

How do you meet the transportation needs of

the general public?

How do you meet transportation needs of

persons with disabilities?

How do you meet the transportation needs of

persons who are transportation

disadvantaged?

Do you have any planned service changes for

the next grant application year?

Planned service changes for the next five

years. Include details on how you will finance

the transportation program.

Do you foresee potential significant impacts to

your service needs, such as relocation of a

hospital, new business, or closing of a plant?

Coordination

Wherever possible, Section 5311 recipients should coordinate with other transportation providers, public,

private and nonprofit. Benefits that can be obtained through coordinated services are the elimination of

duplicate transportation services, better use of equipment and facilities, increased service availability and

the ability to reduce transportation and maintenance costs. Your organization is required to coordinate

wherever possible, the planning and operation of your service with existing transportation providers both

public and private.

1. Please list ALL transportation

providers, both private and

public, in your service area.

2. Describe any coordination

activities initiated by your

system and/or any other agency

during this fiscal year.

3. What plans does your system

have to coordinate services in

the next fiscal year?

4. Did your system participate in

the local public meeting held in

2018-19 to update the Regional

Coordinated Public Transit-

Human Service Coordination

Transportation Plan? When

was the public meeting held? If

you did not attend this

mandatory meeting, please

explain why.

Marketing

Do you intend to spend part of your system’s

annual operating budget towards marketing

efforts for FY2024?

Specifically describe your current marketing

efforts to retain and attract new riders (Such as

distributed materials at local events, revamped

website; purchased radio commercials, social

media applications, etc.)

Title VI-

Make sure you are keeping track of all outreach efforts to document Title VI compliance.

1. List any active lawsuits or complaints naming

the applicant which allege discrimination on the

basis of race, color, or natural origin with respect

to service or other transit benefits. Include:

the date the lawsuit or complaint was filed

a summary of the allegation

the status of the lawsuit or complaint,

including whether the parties to a lawsuit

have entered into a consent decrees.

If none, please state so.

Note: please do not include lawsuits or

complaints from your own employees or

personnel.

2. A description of all pending applications for

financial assistance and all financial assistance

currently provided by other federal agencies. If

none, please state so.

3. A summary of all civil rights compliance review

activities conducted in the last three years. The

summary should include: the purpose or reason

for the review; the name of the agency or

organization that performed the review; a

summary of the findings and recommendations

of the review; and a report on the status and/or

disposition of such findings and

recommendations. If none, please state so. Do

not list DPT compliance reviews.

Number of Employees

1. Total full-time

2. Full-time drivers

3. Full-time operations employees (dispatchers,

mechanics, supervisors)

4. Full-time administrative employees

5. Total part-time employees

6. Part-time drivers

7. Other part-time operation employees

8. Part-time administrative employees

9. Volunteers (working for the system without

pay)

Raises and Once-A-Year Increments (such as Longevity Raises)

This section is to be completed by all Section 5311 applicants. The purpose of this question is

to determine whether you were able to offer pay raises to your employees during FY 2023 or FY

2022.

FY 2023 Salary Increase FY 2023 Salary Increment

Yes Indicate amount or % No

s Indicate amount or % No

Manager

Admin. Staff

Mechanics

Drivers

Dispatcher

FY 2022 Salary Increase FY 2022 Salary Increment

Yes Indicate amount or % No

s Indicate amount or % No

Manager

Admin. Staff

Mechanics

Drivers

Dispatcher

Performance Measures

Performance standards will be used by the Division as a tool for measuring the effectiveness

and efficiency of your system's rural public transportation services. The rating structure is also

being used as a basis for offering technical assistance. The program is set up such that

services can be rated as "Successful", "Acceptable" or "Needs Review" based on how a

system performs in each of the operating measures. In addition, these standards will be

utilized in determining whether new services requested by systems should be funded based on

their potential for success. The following standards apply to demand response and rural route

services and all Section 5311 recipients:

Measure Successful Acceptable Needs Review

Operating Cost per

Hour

<$30 $30-$40 >$40

Operating Cost per

Mile

<$1.80 $1.80-$3.50 >$3.50

Operating Cost per

Passenger Trip

<$9.00 $9.00-$13.00 >$13.00

Farebox Recovery

Ratio

>15% 12%-14% <12%

Passenger Trips

per Mile

>0.35 0.10-0.35 <0.10

Passenger Trips

per Hour

>4 2.5 - 4 <2.5

1. Please complete the chart for the past three fiscal years (FYs 2018-2020). Refer to the

year-end Project Expenditure reports to obtain these measures. Then indicate in the

appropriate column whether the measure is Successful (S), Acceptable (A) or Needs

Review (N).

Measure FY 2020 S/A/N FY 2021 S/A/N FY 2022 S/A/N

Operating Cost per

Hour

Operating Cost per

Mile

Operating Cost per

Passenger Trip

Farebox Recovery

Ratio

Passenger Trips

per Mile

Passenger Trips

per Hour

2. What steps are you taking to bring

measures that “Needs Review” to the

“Acceptable” level or the

“Acceptable” level to the

“Successful” level? (Answer for every

measure that has fallen into these two

categories for two of the last three yrs.)

Ridership

1. Enter ridership information for the past five fiscal years.

Fiscal Year Total Ridership

FY 2018

FY 2019

FY 2020

FY 2021

FY 2022

2. Explain ridership trends.

3. If you have been losing ridership,

what steps are you taking to

reverse this trend? What steps are

planned for FY2023?

4. If you have been losing ridership,

why should continue to be funded at

the current or increased levels?

Sources of Local Funds

1. Please list the sources of local funds. Do not

list revenues as a source of local funds.

Insert rows as necessary.

FY2024

Source Amount

FY2023

Source Amount

FY2022

Source Amount

Maintenance of Effort

When allocating funds, the Division may take into account maintenance of effort. To maintain effort, the

amount of local contributions as applied to eligible operating expenses in the project year should not be

less than the average amount of local contributions from the two preceding fiscal years. Maintenance of

effort may be said to require that the level of effort in the project year be at least equal to the average

level of effort in the two preceding fiscal years. For the purpose of maintenance of effort, local

contributions are defined as those funds received from organizations in the applicant’s service area, such

as county commissions, city councils and other local donors.

1. FY2022 Local Contribution

2. FY2023 Local Contribution

3. Total Contribution FYs 2022 and 2023

4. Average Annual Contribution FYs 2022 and

2023

5. Proposed FY2024 Local Contribution

(In order to maintain effort, this amount must be

equal to or greater than the average contribution

for the two preceding fiscal years.)

Capital Planning

The Division is developing its FY 2024 capital budget.

Vehicle replacement is the top priority. Vehicles must be within 2,000 miles of their useful life to

be submitted. Vehicles with the oldest number of miles and years will be replaced first.

If you are requesting a replacement vehicle, indicate the last five numbers of the VEIN, current

mileage, and type of vehicle you are requesting in the format listed below. You must sell the

vehicle you are requesting a replacement for. If you do not plan on selling the equipment, this is

an expansion request, and you must indicate this. You must justify all expansion requests.

1. Capital funding is available through the Section 5311 program at an 80 percent Federal/20 percent

local matching ratio. Projects eligible for capital funding include:

Transit vehicles

Communications equipment

Bus stop shelters, with or without benches

Building

Other capital needs

So that we can better plan and budget your anticipated capital needs and/or requests for FY2021,

please complete the table below. Please only list items that are essential. For buses, identify the

type as follows:

Plain Mini van

Low-floor mini-van, ramp

Converted van (old Braun’s)

18-passenger cutaway

Champion-like vehicle

Narrow Body vehicle

Transit Van

GCII-like vehicle

Shop/support vehicle

Note whether the bus will be for replacement or expansion. For replacement vehicles, include the

VEIN of the vehicle to be replaced. If requesting communication equipment, please also indicate if it

is a replacement of older units or an addition.

If you are requesting a different type of vehicle for replacement such as replacing a mini-van with an

18-passenger cutaway, you should indicate this.

2018 low floor mini

VEIN last five numbers 12345

Mileage as of February 1, 2020 - 100,000

Replace with 18 passenger cutaway.

For expansion vehicles, please provide the type and a justification.

You should also indicate the availability of local match.

Please note that the Division may not have the resources to fund all capital requests. The

Division may also decide to give priority to certain items, such as replacement vehicles, over

other items like expansion vehicles.

Fiscal Year Capital Items

FY2024

FY2025

FY2026

2. Please explain why this

equipment is essential for

the operation of your

transit services?

Miscellaneous

1. Do you foresee any potential budget impacts

due to any current or proposed federal/state

laws?

2. What effects do you anticipate the potential

changes in the NEMT reimbursement

program will have on your service – such as

the ability to generate match money if you

don’t participate with the broker or trips

decrease? What steps will you need to take

in order to stay within budget?

Drug and Alcohol Testing Program

1. Please name your agency’s Drug and Alcohol

Program Manager (DAPM) and back-up

person.

2. Do you have on file the current qualifications

of all contractors (MRO, SAPs, BATs, and any

other collection personnel)? This should be

done annually, and employees provided

notification of any changes with the MRO or

SAP.

Funding Justification

1. With projections of limited future funding,

please justify why you should continue to

receive federal and state transit assistance.

GENERAL CERTIFICATIONS AND ASSURANCES

The following is a list of forms that must be included with your application. Please complete information

where specified.

Ineligible Expense Assurance

(Must be signed by all active Board members and the manager/project director)

I, (Please List Individual Names) of (Name of Applicant) hereby certify that it is fully

understood that the following types of expenses are ineligible for reimbursement under

the 49 U.S.C. Section 5311 program.

a. Entertainment

b. Fines and penalties

c. Charitable donations

d. Interest expense on long-term borrowing and debt retirement

e. Advisory councils unless prior DPT approval has been granted

f. For private mass transportation operators, provision of federal, State and

local income taxes

g. Indirect transit-related functions or activities of regional or local entities

performs as a normal consequence of general public administration (e.g.

expenses of a City Council or County Commission in considering transit

matters)

h. Depreciation accrued by public operators, depreciation of facilities or

equipment purchased with public (e.g., federal, State, local) capital

assistance, depreciation of an intangible asset and/or depreciation in excess

of the rate otherwise used for income purposes

i. Expense for contingencies or capital assistance including contributions to a

capital reserve account or fund