APPENDIX A –21 · 2015 TIP September 24, 2014 . APPENDIX A –21 . Regional Policies: Project...

2015 TIP September 24, 2014

APPENDIX A – 21

Regional Pol ic ies : Project Funding

MTC’s Lifeline Transportation Program Guidelines and Funding for FY 2010-11 through FY 2012-13

MTC Resolution No. 4033

Date: December 21, 2011W.I.: 1311

Referred by: PACRevised: 03/28/12-ED

10/23/13-C

ABSTRACT

Resolution No. 4033, Revised

This Resolution adopts the Third Cycle Lifeline Transportation Program Guidelines and Fund

Estimate.

The following attachment is provided with this Resolution:

Attachment A — Third Cycle Lifeline Transportation Program Guidelines and Funding

FY2O1O-11 through FY2012-13

This resolution was revised on March 28, 2012, under Executive Director Administrative

Authority, to make minor changes to the FY2O11-12 and FY2012-13 Job Access and Reverse

Commute (JARC) programming targets in Attachment A to reflect the actual partial-year

FY20 1 1-12 JARC funding apportionments.

This resolution was revised on October 23, 2013 to make minor changes to the State Transit

Assistance (STA) programming targets in Attachment A to reflect the actual FY2O11-12 and

FY2012-13 STA revenues; to make minor changes to the JARC programming targets in

Attachment A to reflect the final FY2O1 1-12 JARC and FY2012-13 Section 5307 funding

apportionments and to reflect changes to the JARC program that resulted from the Moving

Ahead for Progress in the 21St Century (MAP-21) federal transportation authorizing legislation;

and to extend the obligation deadline for the Surface Transportation Program (STP)/Congestion

Mitigation and Air Quality (CMAQ) funds for certain project types.

Further discussion of the Lifeline Program Guidelines is provided in the Programming and

Allocations Committee Summary sheets dated December 14, 2011 and October 9, 2013.

Date: December 21, 2011W.L: 1311

Referred by: PAC

RE: Third Cycle Lifeline Transportation Program Guidelines and Fund Estimate

METROPOLITAN TRANSPORTATION COMMISSION

RESOLUTION NO. 4033

WHEREAS, the Metropolitan Transportation Commission (MTC) is the regional

transportation agency for the San Francisco Bay Area pursuant to Government Code Section

66500 et seq.; and

WHEREAS, MTC adopted Resolution 3814, which directed Proposition lB funds to the

Lifeline Transportation Program; and

WHEREAS, MTC adopted Resolution 3837, which established a consolidated policy for

State Transit Assistance (STA) — population-based funds, including a set percentage to the

Lifeline Transportation Program; and

WHEREAS, MTC is the designated recipient for federal Job Access Reverse Commute

(JARC) funds and has incorporated these funds into the Lifeline Transportation Program; and

WHEREAS, MTC is the designated recipient for regional Surface Transportation

Program (SIP) and Congestion Mitigation and Air Quality Improvement (CMAQ) funds for the

San Francisco Bay Area and has incorporated or will incorporate certain SIP andlor CMAQ

funds into the Lifeline Transportation Program; and

WHEREAS, MTC has conducted a program evaluation of the Lifeline Transportation

Program and has made revisions to the program based on evaluation results; and

WHEREAS, MTC will use the process and criteria set forth in Attachment A of this

Resolution to fund a program of projects for the third-cycle of the Lifeline Transportation

Program; now, therefore be it

MTC Resolution No. 4033Page 2

RESOLVED, that MTC approves the program guidelines to be used in the administration

and selection of the Third Cycle of Lifeline Transportation projects, as set forth in Attachment A

of this Resolution; and be it further

RESOLVED, that the Executive Director of MTC is authorized and directed to modify

the programming targets in Attachment A if the final Lifeline funding apportionments differ

from the estimated amounts; and be it further

RESOLVED, that the Executive Director of MTC shall forward a copy of this

Resolution, and such other information as may be required, to such other agencies as may he

appropriate.

METROPOLITAN TRANSPORTATION COMMISSION

A7

A enne Tissier, Chair

The above Resolution was entered into by theMetropolitan Transportation Commissionat a regular meeting of the Commission held inOakland, California on December 21, 2011

Date: December 21, 2011W.I.: 1311

Referred by: PACRevised: 03/28/12-ED

I rsI’, IlIUI2I Ii-

Attachment AMTC Resolution No. 4033Page 1 of 16

Third Cycle Lifeline Transportation Program Guidelines and FundingFY 2011 through FY 2013

Program Goals: The Lifeline Transportation Program is intended to fund projects that result inimproved mobility for low-income residents of the nine San Francisco Bay Area counties, andaie expected to carry out the following regional Lifeline Program goals:

The Lifeline Program supports community-based transportation projects that:

• Are developed through a collaborative and inclusive planning process thatincludes broad partnerships among a variety of stakeholders such as publicagencies, transit operators, community-based organizations and other communitystakeholders, and outreach to underrepresented stakeholders.

• Improve a range of transportation choices by adding a variety of new or expandedservices including but not limited to: enhanced fixed route transit services,shuttles, children’s programs, taxi voucher programs, improved access to autos,and capital improvement projects.

• Address transportation gaps and/or barriers identified in Community-BasedTransportation Plans (CBTP) or other substantive local planning efforts involvingfocused outreach to low-income populations. While preference will be given tocommunity-based plan priorities, strategies emerging from countywide orregional welfare-to-work transportation plans, the Coordinated Public Transit-Human Services Transportation Plan or other documented assessment of needwithin the designated communities of concern will also be considered. Findingsemerging from one or more CBTPs or other relevant planning efforts may also beapplied to other low-income areas, or otherwise be directed to serve low-incomeconstituencies within the county, as applicable.

• Transportation needs specific to elderly and disabled residents of low-incomecommunities may also be considered when funding projects. Existingtransportation services may also be eligible for funding.

Program Administration: The Lifeline Program will be administered by county congestionmanagement agencies (CMA5) or other designated county-wide agencies as follows:

Attachment AMTC Resolution No. 4033

Page 2 of 16

County Lifeline Program Administrator

Alameda Alameda County Transportation Commission

Contra Costa Contra Costa Transportation Authority

Mann Transportation Authority of Mann

Napa Napa County Transportation Planning Agency

San Francisco San Francisco County Transportation Authority

San Mateo City/County Association of Governments

Santa Clara Santa Clara Valley Transportation Authority and Santa Clara County

Solano Solano Transportation Authority

Sonoma Sonoma County Transportation Authority

Lifeline Program Administrators are responsible for soliciting applications for the LifelineProgram. This requires a full commitment to a broad, inclusive public involvement process andusing multiple methods of public outreach. Methods of public outreach include, but are notlimited to highlighting the program and application solicitation on the CMA website; sendingtargeted postcards and e-mails to local community-based organizations, city departments, andnon-profit organizations (particularly those that have previously participated in local planningprocesses); and contacting local elected officials and their staffs. Further guidance for publicinvolvement is contained in MTC’s Public Participation Plan.

For the selection of projects involving federal finds, Lifeline Program Administrators must alsoconsider fair and equitable solicitation and selection of project candidates in accordance withfederal Title VI requirements, i.e. funds must be distributed without regard to race, color, andnational origin.

Fund Availability: Fund sources for the Third Cycle Lifeline Program (FY20 10-2011 toFY2012-2013) include State Transit Assistance (STA), Proposition lB - Transit funds, JobAccess and Reverse Commute (JARC)’, and Surface Transportation Program (STP), as shown inTable A. Note that MTC may apply Congestion Mitigation and Air Quality Improvement(CMAQ) funds instead of STP to CMAQ-eligible projects, and references throughout theseguidelines to “STP” should be considered as “STP or CMAQ”. Funding for STA, JARC2,andSTP will be assigned to counties by each fund source, based on the county’s share of the regionalpoverty population consistent with the estimated distribution outlined in Table B. Note that thecounty shares were updated using 2010 census data which resulted in some shifts compared to

The Moving Ahead for Progress in the 21st Century (MAP-21) federal transportation authorizing legislationeliminated the JARC program (Section 5316) and combined JARC functions and funding with the Urbanized AreaFormula (Section 5307) and the Non-urbanized Area Formula (Section 5311) programs. JARC projects were madeeligible for 5307 funding, and, consistent with MTC’s Transit Capital Priorities (TCP) Process and Criteria (MTCResolution No. 4072), in the FY2012-13 Section 5307 program, approximately $3.0 million of the Bay Area’s largeurbanized area funds were set aside for the Lifeline program (approximately $2.8 million for the FY20 13 programand $200,000 for the FY2012 shortfall).2 Consistent with federal JARC guidance, MTC planned to set aside up to five percent of the region’s FY11, FY12and FY13 JARC apportionments to fund administration, planning and technical assistance. After that plan wasapproved in the third cycle program guidelines, the JARC program was merged with the Section 5307 programunder MAP-2 1. According to MAP-2 1 MTC cannot set aside Section 5307 funds for administration; therefore, anamount equal to five percent of the anticipated FY13 Section 5307 apportionment was set aside out of the FY11 &FY12 JARC apportionments, leaving 100 percent of the Section 5307 JARC funds for projects.


Page 3 of 16

previous Lifeline cycles. Lifeline Program Administrators will assign funds to eligible projects

in their counties based on a competitive process to be conducted by the Lifeline ProgramAdministrators in each county. Proposition lB funding will be assigned by MTC directly totransit operators and counties based on a formula that distributes half of the funds according tothe transit operators’ share of the regional low-income ridership and half of the funds accordingto the transit operators’ share of the regional low-income population. The formula distribution isshown in Table C. All funded projects must meet the eligibility requirements of the respectivefunding source. See Appendix 1 for detailed eligibility requirements by fund source.

MTC will set aside up to $1 million in STA funds toward the development and implementation

of a regional means-based discount. In Phase 1 of the means-based discount project, MTC willdevelop the regional concept, including identifying who is eligible, costs, funding, relationship toother discounts, etc. MTC will convene a regional Technical Advisory Committee to assist withscope development and project oversight. Depending on the results of Phase 1, any remainingfunds from the $1 million set-aside will be used for implementation activities.

Multi-Year Programming: The Third Cycle Lifeline Transportation Program will cover a three-

year programming cycle, FY2O1O-201 ito FY2012-2013.

Competitive Process: Projects must be selected through an open, competitive process with thefollowing exceptions:

(1) In an effort to address the sustainability of fixed-route transit operations, Lifeline Program

Administrators may elect to allocate some or all of their STA funds directly to transit operatorsfor Lifeline transit operations within the county. Projects must be identified as Lifeline projects

before transit operators can claim funds, and will be subject to Lifeline Program reportingrequirements.

(2) In most cases, Proposition lB Transit funds will be allocated directly to transit operators byMTC, due to the limited eligibility and uses of this fund source. Upon concurrence from theapplicable governing board of the CMA, transit operators may program funds to any capitalproject that is consistent with the Lifeline Program and goals, and is eligible for this fund source.Transit operators are encouraged to consider needs throughout their service area. Projects must

be identified as Lifeline projects before transit operators can claim funds, and, at the discretion ofthe Lifeline Program Administrators, may be subject to Lifeline Program reporting requirements.For Solano and Sonoma counties, Proposition 1 B funds are being directed to the CMA, whoshould include these funds in the overall Lifeline programming effort (keeping in mind thelimited sponsor and project eligibility of Proposition lB funds).

Other exceptions may be considered by MTC on a case-by-case basis but must meet theguidelines/restrictions of the applicable fund sources. LPAs should contact MTC staff as early aspossible for any exception requests.

Grant Application: To ensure a streamlined application process for project sponsors, a universalapplication form (or standard format and content for project proposals) will be used, but, with


Page 4 of 16

review and approval from MTC, may be modified as appropriate by the Lifeline ProgramAdministrator for inclusion of county-specific grant requirements.

Applicants with multi-county projects must notify the relevant Lifeline Program Administratorsand MTC about their intent to submit a multi-county project, and submit copies of theirapplication to all of the relevant counties. If the counties have different application forms, theapplicant can submit the same form to all counties, but should contact the Lifeline ProgramAdministrators to determine the appropriate form. If the counties have different applicationdeadlines, the applicant should adhere to the earliest deadline. The Lifeline ProgramAdministrators will work together to score and rank the multi-county projects, and, if selected, todetermine appropriate funding. (Note: Multi-county operators with projects that are located in asingle county need only apply to the county where the project is located.)

Program Match: The Lifeline Program requires a minimum local match of 20% of the totalproject cost; new Lifeline Transportation Program funds may cover a maximum of 80% of thetotal project cost.

There are two exceptions to the 20% match requirement:

(1) JARC operating projects require a 50% match. However, consistent with MTC’s approach inprevious funding cycles, Lifeline Program Administrators may use STA funds to cover the 30%difference for projects that are eligible for both JARC and STA funds.

(2) All auto-related projects require a 50% match.

Project sponsors may use certain federal or local funding sources (Transportation DevelopmentAct, operator controlled State Transit Assistance, local sales tax revenue, etc.) to meet the matchrequirement. The match may include a non-cash component such as donations, volunteerservices, or in-kind contributions as long as the value of each is documented and supported,represents a cost that would otherwise be eligible under the program, and is included in the netproject costs in the project budget.

For JARC projects, the local match can be non-Department of Transportation (DOT) federalfunds. Eligible sources of non-DOT federal funds include: Temporary Assistance to NeedyFamilies (TANF), Community Services Block Grants (CSBG) and Social Services Block Grants(SSBG) administered by the US Department of Health and Human Services or CommunityDevelopment Block grants (CDBG) and HOPE VI grants administered by the US Department ofHousing and Urban Development (HUD). Grant funds from private foundations may also beused to meet the match requirement.

Eligible Projects: Per the requirements set forth in the Safe, Accountable, Flexible, EfficientTransportation Equity Act: A Legacy for Users (SAFETEA-LU), projects selected for fundingunder the JARC program must be “derived from a locally developed, coordinated public transithuman services transportation plan”, and the plan must be “developed through a process thatincludes representatives of public, private, and non-profit transportation and human servicesproviders and participation by members of the public.” A locally developed, coordinated, public


Page 5 of 16

transit-human services transportation plan (“coordinated plan”) identified the transportationneeds of individuals with disabilities, older adults, and people with low incomes, and providesstrategies for meeting those local needs. The Bay Area’s Coordinated Plan was adopted inDecember 2007 and is available at httn://www.mtc.ca.gov/planning/pths/. The plan includes alow-income component and an elderly and disabled component.

Eligible operating projects, consistent with requirements of funding sources, may include (butare not limited to) new or enhanced fixed route transit services, restoration of lifeline-relatedtransit services eliminated due to budget shortfalls, shuttles, children’s transportation programs,taxi voucher programs, improved access to autos, etc. See Appendix 1 for additional detailsabout eligibility by funding source.

Eligible capital projects, consistent with requirements of funding sources, include (but are notlimited to) purchase of vehicles; bus stop enhancements, including the provision of bus shelters,benches, lighting or sidewalk improvements at or near transit stops; rehabilitation, safety ormodernization improvements; or other enhancements to improve transportation access forresidents of low-income communities. See Appendix 1 for additional details about eligibility byfunding source.

Eligible planning projects, consistent with requirements of funding sources, include (but are notlimited to) planning assistance for updating Community-Based Transportation Plans (CBTP),consolidated transportation services planning, and bicycle and pedestrian planning projects.CBTP updates are eligible for STP funding provided the following conditions are met: 1) All ofthe previously identified CBTPs in the county have been completed3;2) The county hasidentified a lead agency to update the status of existing plans, needs, and projects, and to trackimplementation of projects over time; 3) A county-led process involving multiple stakeholdershas established a way to set priorities for plan updates within the county (e.g., oldest first, largestpopulations, highest percentage of implemented projects); 4) Coninnmities getting plan updatesmust be identified as Communities of Concern (CoCs) as part of the Plan Bay Area process tohave priority, but countywide updates will be considered in counties with either no CoCs or withmore than two-thirds of the county low-income population residing outside designated CoCs.Counties may decide whether and/or how to prioritize CBTP updates over other eligible usessuch as bicycle and pedestrian projects. See Appendix 1 for additional details about eligibility byfunding source.

Transportation needs specific to elderly and disabled residents of low-income communities mayalso be considered when funding Lifeline projects.

Project Selection/Draft Program of Projects: MTC is the designated recipient for the Bay Area’slarge Urbanized Area (UA) funding apportionment of JARC funds. Caltrans is the designatedrecipient for California’s small and non-UA funding apportionment of JARC funds. As thedesignated recipient, MTC is responsible for ensuring a competitive selection process todetermine which projects should receive funding. For the large UA apportionment, the

Because funding has been available for completing the region’s remaining CBTPs since 2008, counties who havenot completed all of their existing plans will not be eligible for any plan update funds. MTC’s expectation is that allCBTPs will be complete by the end of this cycle.


Page6ofi6

competitive selection is conducted on a county-wide basis. For the small and non-UAapportionment, the competitive selection is conducted by Caltrans.

For the MTC process, standard evaluation criteria will be used to assess and select projects. Thesix criteria include (1) project need/goals and objectives, (2) community-identified priority, (3)implementation plan and project management capacity, (4) coordination and program outreach,(5) cost-effectiveness and performance indicators, and (6) project budget/sustainability.4LifelineProgram Administrators may establish the weight to be assigned for each criterion in theassessment process.

Additional criteria may be added to a county program but should not replace or supplant theregional criteria. MTC staff will review the proposed county program criteria to ensureconsistency and to facilitate coordination among county programs.

Each county will appoint a local review team of CMA staff, the local low-income or minorityrepresentative from MTC’s Policy Advisory Council, and representatives of local stakeholders,such as, transit operators, other transportation providers, community-based organizations, socialservice agencies, and local jurisdictions, to score and select projects. Counties are stronglyencouraged to appoint a diverse group of stakeholders for their local review team. Each countywill assign local priorities for project selection.

In funding projects, preference will be given to strategies emerging from local CBTP processesor other substantive local planning efforts involving focused outreach to low-incomepopulations. Projects included in countywide regional welfare-to-work transportation plans, theCoordinated Public Transit-Human Services Transportation Plan or other documentedassessment of need within the designated communities of concern will also be considered.Findings emerging from one or more CBTPs or other relevant planning efforts may also beapplied to other low-income areas, or otherwise be directed to serve low-income constituencieswithin the county, as applicable. Regional Lifeline funds should not supplant or replace existingsources of funds.

A full program of projects is due to MTC from each Lifeline Program Administrator on May 15,2012. However, with state and federal funding uncertainties, sponsors with projects selected forFY20 13 JARC funds should plan to defer the start of those projects until the funding isappropriated and secured. Lifeline Program Administrators, at their discretion, may opt toprioritize high scoring projects with FY20 11 and FY20 12 funds. MTC staff will work withLifeline Program Administrators on this sequencing; more will be known about the FY20 13funds near the end of calendar year 2012.

Project Delivery: All projects funded under the county programs are subject to MTC obligationdeadlines and project delivery requirements. STP funds are subject to all of the deliveryrequirements in MTC Res. 3606. All projects will be subject to a “use it or lose it” policy.Beginning this cycle, MTC is adding a project delivery requirement that project sponsors must

For future cycles of the Lifeline Transportation Program, transit operations projects will need to be consistent withrecommendations stemming from MTC’s Transit Sustainability Project. See http://www.mtc.ca.gov/planning/tsp/


Page 7 of 16

expend the Lifeline Transportation funds within three years of the grant award or execution ofsubrecipient agreement with MTC, whichever is applicable.

Policy Board Adoption: Prior to the programming of funds to any project, MTC requires that theproject sponsor adopt and submit a resolution of local support. Projects recommended for STA,JARC and STP funding must be submitted to and approved by the respective governing board ofthe Lifeline Program Administrator. Projects funded with Proposition lB Transit funds musthave concurrence from the applicable CMA; furthermore, Caltrans requires that Proposition lB -

Transit projects either be consistent with the project sponsor’s most recent short-range transitplan (SRTP), as evidenced by attaching the relevant SRTP page to the allocation request, or beaccompanied by a certified Board Resolution from the project sponsor’s governing board. For allfunds, the appropriate governing board shall resolve that approved projects not only exemplifyLifeline Program goals, but that the local project sponsors understand and agree to meeting allproject delivery, funding match and eligibility requirements, and obligation and reportingdeadlines and requirements.

Project Oversight: For Lifeline projects funded by STA, JARC, and STP, Lifeline ProgramAdministrators are responsible for programmatic and fiscal oversight, and for ensuring proj ectsmeet MTC obligation deadlines and project delivery requirements. In addition, Lifeline ProgramAdministrators will ensure that projects substantially carry out the scope described in the grantapplications for the period of performance, and are responsible for approving reimbursementrequests, budget changes, and scope of work changes, prior to MTC’s authorization. All scopechanges must be fully explained and must demonstrate consistency with Lifeline Program goals.Any changes to JARC or STP funded projects must be reported to MTC and reconciled withFTA (or FHWA, as applicable for STP funds).

For projects funded by Proposition 1 B, the Lifeline Program Administrators are encouraged tocontinue coordination efforts with the project sponsors if they feel that it would be beneficialtoward meeting the Lifeline goals; however, this may not be necessary or beneficial for allProposition lB projects.

See appendix 1 for detailed accountability and reporting requirements by funding source.

As part of the Call for Projects, applicants will be asked to establish project goals, and to identifybasic performance indicators to be collected in order to measure the effectiveness of the Lifelineprojects. At a minimum, performance measures for service-related projects would include:documentation of new “units” of service provided with the funding (e.g., number of trips, servicehours, workshops held, car loans provided), cost per unit of service, and a qualitative summaryof service delivery procedures employed for the project. For capital projects, project sponsors areresponsible for establishing milestones and reporting on the status of project delivery. Forplanning projects, project sponsors are responsible for establishing a schedule of deliverablesrelated to the project. Project sponsors are responsible for satisfying all reporting requirements,as referenced in Appendix 1. Lifeline Program Administrators will forward all reportscontaining performance measures to MTC for review and overall monitoring of the LifelineTransportation Program.

Fund Administration:


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For projects receiving JARC Funds: MTC will enter all projects into the TransportationImprovement Program (TIP). For projects sponsored by non-Federal Transit Administration(FTA) grantees, e.g., nonprofits or other local government entities, MTC will enter projects intoMTC’s FTA grant planned to be submitted in fall 2012. Following FTA approval of the grant,MTC will enter into funding agreements with subrecipients. Transit operators who are FTAgrantees will act as direct recipients, and will submit grant applications to FTA directly. MTCreserves the right to reprogram funds if direct recipients fail to obligate the funds through grantsubmittal and FTA approval within 12 months of program approval. See Appendix 2 for federalcompliance requirements.

For projects receiving STA funds: For transit operators receiving STA funds, MTC will allocatefunds directly through the annual STA claims process. For other STA eligible projectsadministered by sponsors who are not STA eligible recipients, the project sponsor is responsiblefor identifying a local transit operator who will act as a pass-through for the STA funds, and willlikely seek to enter into a funding agreement directly with the project sponsor.

For projects receiving Proposition lB Transit Funds: Project sponsors receiving Proposition 1 Bfunds must submit a Proposition lB application to MTC for submittal to Caltrans with prior

review by MTC. The estimated due date to Caltrans is June 1, 2012. The state will distributefunds directly to the project sponsor. Note that although the Proposition lB Transit Program isintended to be an advance-payment program, actual disbursement of funds is dependent on theState budget and State bond sales.

For projects receiving STPfunds: Projects must comply with the provisions of the Cycle 2STP/CMAQ programming guidelines and program adoption, and project sponsors must submit aLocal Resolution of Support (template located on MTC’s Website at:http://www.mtc.ca.gov/funding/STPCMAQ/) meet all of the delivery requirements in MTCResolution 3606 (located on MTC’s Website at: http://www.mtc.ca.gov/funding/delivery/) andSTP funds must be obligated by the Federal Highway Administration (FHWA) or transferred toFTA by April 30, 2014. Furthermore, the following provisions apply accordingly:

• Transit operators who are FTA grantees will act as direct recipients, and will enterprojects into the TIP, request FHWA transfers through Caltrans and submit grantapplications to FTA directly. MTC reserves the right to reprogram funds if directrecipients fail to obligate the funds through grant submittal and FTA approval within18 months of MTC approval of the project.

• For non-FTA grantees with transit projects, the CMA (or appropriate agency) will enterprojects into the TIP, request a transfer of funds from FHWA to FTA, and include theprojects into an FTA grant for submittal in spring 2013. Following FTA approval of thegrant, the CMA or appropriate agency will execute funding agreements with theimplementing entity.

• Local non-transit agencies with non-transit projects (e.g., planning, bicycle, andpedestrian projects) will receive the funding directly, and will enter projects into the TIPand submit obligationlauthorization requests through Caltrans to FHWA. (See Appendix2 for federal compliance requirements.)

Timeline Summary


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Program Action Date

JARC/STA/STP MTC issues guidelines to counties December 21, 2011

Prop lB Transit operators submit draft project lists to February 15, 2012CMAs

Prop lB Allocation requests due to MTC (concurrence April 11, 2012from the CMA is required)

Prop 1 B MTC & transit operators submit TIP End of April — Deadline TBDamendments

Prop lB Commission approval of Prop lB projects May 23, 2012

Prop lB MTC submits FY11 request to Caltrans June 1, 2012

JARC/STA/STP Board-approved programs due to MTC from May 15, 2012CMAs

JARC/STA/STP MTC and transit operators submit TIP June/July 2012 — Deadline TBDAmendments

JARC/STAISTP Commission approval of Program of Projects June 27, 2012

STA Operators can file claims for FY12 and FY13 After Commission Approval

JARC MTC and transit operators submit FTA grants November/December 2012with FYi 1 and FY12 JARC projects (following TIP approval)

JARC FY11 and FY12 JARC-funded project sponsors January/February 2013

enter into funding agreements (following FTA grant approval)

JARC/STP MTC confirms availability of FY13 funds; Winter/Spring 2013 (est.)

MTC and transit operators submit TIPAmendments for FY13 projects

JARC/STP MTC and transit operators submit FTA grant or Spring/Summer 2013FHWA obligation request with FY13 projects (following TIP approval)

JARC/STP FY13 project sponsors enter into funding Summer/FaIl 2013agreements (if applicable) (following FTA grant approval)

STP Deadline for STP funds to be obligated or April 30, 2014 (for FTA transfers);

transferred to FTA February 1, 2015 (for FHWAprojects)

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trat

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.


Page 14 of 17

Appendix 2Lifeline Transportation Program Third Cycle Funding

Compliance with Federal Requirements for

Job Access and Reverse Commute (JARC) and Surface Transportation Program (STP) Funds

Applicants should be prepared to abide by all applicable federal requirements as specified in 49 U.S.C. Section

5316, FTA Circulars C 9050.1 and 4702.1A, the most current FTA Master Agreement MA(13), and the most

current Certifications and Assurances for FTA Assistance Programs.

MTC includes language regarding these federal requirements in its funding agreements with subrecipients and

requires each subrecipient to execute a certification of compliance with the relevant federal requirements.

Subrecipient certifications are required of the subrecipient prior to the execution of a funding agreement by MTC

and annually thereafter when FTA publishes the annual list of certifications and assurances.

Direct recipients are responsible for adhering to FTA requirements through their agreements and grants with FTA

directly.

Title VI of the Civil Rights ActIn connection with MTC’s Title VI monitoring obligations, as outlined in FTA Circular 4702.1A (Title VI and

Title VT-Dependent Guidelines for Federal Transit Administration Recipients), applicants will be required to

provide the following information in the grant application:a. The organization’s policy regarding Civil Rights (based on Title VI of the Civil Rights Act) and for

ensuring that benefits of the project are distributed equitably among low-income and minority population

groups in the project’s service area.b. Information on whether the project will provide assistance to predominately minority and low-income

populations. (Projects are classified as providing service to predominately minority and low-income

populations if the proportion of minority and low-income people in the project’s service area exceeds the

regional average minority and low-income population.)

In order to document that federal funds are passed through without regard to race, color or national origin, and to

document that minority populations are not being denied the benefits of or excluded from participation in the

Lifeline Transportation Program, MTC will keep a record of applications submitted for Lifeline funding. MTC’s

records will identif,’ those applicants that would use grant program funds to provide assistance to predominately

minority and low-income populations and indicate whether those applicants were accepted or rejected for funding.

MTC requires that all JARC and STP subrecipients submit all appropriate FTA certifications and assurances to

MTC prior to funding agreement execution and annually thereafter when FTA publishes the annual list of

certifications and assurances. MTC will not execute any funding agreements prior to having received these items

from the selected subrecipients. MTC, within its administration, planning, and technical assistance capacity, also

will comply with all appropriate certifications and assurances for FTA assistance programs and will submit this

information to the FTA as required.

The certifications and assurances pertaining to civil rights include:1. Nondiscrimination Assurances in Accordance with the Civil Rights Act

2. Documentation Pertaining to Civil Rights Lawsuits and Complaints

Nondiscrimination assurances included above involve the prohibition of discrimination on the basis of race, color,

creed, national origin, sex, or age, and prohibit discrimination in employment or business opportunity, as

specified by 49 U.S.C. 5332 (otherwise known as Title VI of the Civil Rights Act of 19640, as amended (42

U.S.C. 2000d et seq.) and U.S. DOT regulations, Nondiscrimination in Federally-Assisted Programs of the


Page 15 ofl6

Department of Transportation-Effectuation of Title VI of the Civil Rights Act, 49 C.F.R. Part 21. By complyingwith the Civil Rights Act, no person, on the basis of race, color, national origin, creed, sex, or age, will beexcluded from participation in, be denied the benefits of any program for which the subrecipient receives federalfunding via MTC.

As a condition of receiving JARC and STP funds, subrecipients must comply with the requirements of the USDepartment of Transportation’s Title VI regulations. The purpose of Title VI is to ensure that no person in the

United States shall, on the ground of race, color, or national origin, be excluded from participation in, be denied

the benefits of, or be subjected to discrimination under any program or activity receiving Federal financialassistance. Subrecipients are also responsible for ensuring compliance of each third party contractor at any tier ofthe project.

Subrecipients must develop procedures for investigating and tracking Title Vi complaints filed against them and

make their procedures for filing a complaint available to members of the public upon request. In order to reduce

the administrative burden associated with this requirement, subrecipients may adopt the Title VI complaintinvestigation and tracking procedures developed by MTC.

Subrecipients must prepare and maintain a list of any active investigations conducted by entities other than FTA,

lawsuits, or complaints naming the subrecipient that allege discrimination on the basis of race, color, or nationalorigin. This list shall include the date, summary of allegations, current status, and actions taken by thesubrecipient in response to the investigation, lawsuit, or complaint.

Subrecipients must provide information to the public regarding their Title VI obligations and apprise members of

the public of the protections against discrimination afforded to them by Title VI. Subrecipients that provide transitservice shall disseminate this information to the public through measures that can include but shall not be limited

to a posting on the agency’s Web site.

All successful subrecipients must submit compliance reports to MTC. The following contents will be required

with the submission of the standard agreement and annually thereafter with the submission of the annual FTAcertifications and assurances:

1. A summary of public outreach and involvement activities undertaken and a description of steps taken toensure that minority and low-income people had meaningful access to these activities.

2. A copy of the subrecipient’s plan for providing language assistance for persons with limited Englishproficiency (LEP) that was based on the DOT LEP Guidance or a copy of the agency’s alternativeframework for providing language assistance.

3. A copy of the subrecipient procedures for tracking and investigating Title VI complaints.

4. A list of any Title VI investigations, complaints, or lawsuits filed with the subrecipient. This list shouldinclude only those investigations, complaints, or lawsuits that pertain to the subrecipient submitting thereport, not necessarily the larger agency or department of which the entity is a part.

5. A copy of the subrecipient’s notice to the public that it complies with Title VI and instructions to the publicon how to file a discrimination complaint.

The first compliance report, submitted with the standard agreement, must contain all of the contents listed above.

If, prior to the deadline for subsequent compliance reports, the subrecipient has not altered items 2, 3 and 5 above

(its language assistance policies, procedures for tracking and investigating a Title VI complaint, or its notice to thepublic that it complies with Title VI and instructions to the public on how to file a Title VI complaint), the


Page 16 of 16

subrecipient should submit a statement to this effect in lieu of copies of the original documents. The annual

compliance report should include an update on items 1 and 4.

Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS)

JARC and STP recipients/subrecipients will be required to have a Dun and Bradstreet (D&B) Data Universal

Numbering System (DIJNS) number and provide it during the application process.5 A DUNS number may be

obtained from D&B by telephone (866-705-5711) or the Internet (http://fedgov.dnb.com/webform).

Role of Recipients/Subrecipients: JARC and STP recipients/subrecipients’ responsibilities include:

- For direct recipients (transit operators who are FTA grantees), submitting a grant application to FTA

and carrying out the terms of the grant;- Meeting program requirements and grant/funding agreements requirements including, but not limited

to, Title VI reporting requirements;- Making best efforts to execute selected projects; and- Complying with other applicable local, state, and federal requirements.

A Dun and Bradstreet (D&B) Data Universal Numbering System (DUNS) number is a unique, non-indicative 9-digitidentifier issued and maintained by D&B that verifies the existence of a business entity. The DUNS number is a universalidentifier required for Federal financial assistance applicants, as well as recipients and their direct subrecipients.

APPENDIX A –21 · 2015 TIP September 24, 2014 . APPENDIX A –21 . Regional Policies: Project...

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