2015
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Thank You!, Thank You!, Thank You!
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5311 Transit Managers/Consultants/Operating Staff
INDOT Office of Transit Staff
INRTAP Staff
RLS and Associates Staff
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AGENDA
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INDOT Updates
Medical Qualification Updates
RTAP Updates
5311/PMTF Formula Updates
5311 Quarterly Claims/Budget Revisions
5311 Operating Concerns
 Service Area
 Trip Prioritization
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Basics of the Program
◦ What does the numerical 5311 refer to?
 The Section 5311 program is the Federal Transit
Administration (FTA) Non-Urbanized Area Formula
Grant Program. The FTA, on behalf of the U. S.
Secretary of Transportation, annually allocates
apportioned Section 5311 funds to the governor of
each state.
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Basics of the Program
◦ What does the acronym PMTF refer to?
 The Indiana State Legislature established the Public
Mass Transportation Fund (I.C. 8-23-3-8) to promote
and develop transportation in Indiana. The funds are
allocated to public transit systems on a performance
based formula.
 An eligible recipient is defined as any transit system
that receives federal funds under the Federal Transit
Act and provides public transportation in Indiana.
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Basics of the Program
◦ What two main agency’s provide regulatory
guidance/oversight to the 5311 Program?
 Federal Transit Administration (FTA)
 Indiana Department of Transportation (INDOT)
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Basics of the Program
◦ How many sub-recipients are currently funded as
part of the 5311 program?
 Forty-three (43)
◦ How many counties are represented as part of the
5311 Program?
 Sixty-four (64)
◦ How many Inter-city providers are currently funded
through the 5311(f) Program?
 Three (3)
 Miller Transportation
 Barons Bus
 Marion Transit (Feeder Service)
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Basics of the Program
◦ Who is RLS and Associates, Inc. and what services
do they provide?
 RLS & Associates, Inc. provides transportation
management and operations consulting services to
transportation providers throughout the United States.
RLS specializes in consulting assistance to small,
medium, and large public transit systems, federal and
state departments of transportation, government
agencies, and paratransit operators
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Basics of the Program
◦ Who is Indiana RTAP and what services do they
provide?
 The RTAP Program provides
technical assistance and training to not-for-profit
public and specialized transportation providers all over
the state of Indiana.
 Services are provided at no cost to those agencies that
provide public and social service transportation and
receive capital and/or operating assistance through
INDOT's 5310 or 5311 transportation grant programs.
The Indiana RTAP Program is funded by the Federal
Transit Administration and the Indiana Department of
Transportation.
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Basics of the Program
◦ Who is your individual INDOT Project Manager?
 Todd Jennings: Boone, Dekalb, Fayette, Hamilton,
Harrison, Hendricks, Huntingburg, Jay, Johnson,
LaGrange, Monroe, Rush, SIDC, Steuben, Vigo, Whitley
 Vickie Rayburn: Bedford, Franklin, Fulton, KIRPC, Knox,
LifeTime, Marion, Miami, Mitchell, Noble, Orange,
Seymour, Washington
 Mike McGathey: Cass, Clinton, Hancock, Huntington,
Kosciusko, Madison, Marshall, New Castle, Richmond,
Union, Wabash, Waveland, Wells, White
Federal Transit
Administration
(FTA)
Indiana
Department of
Transportation
(INDOT)
INDOT
Commissioner
Brandye
Hendrickson
As of
04/15
Engineering & Assets
Mgmt
Deputy Commissioner
Jay Wasson
Multi-Model
Planning &
Programs
As of
04/15
Katie England
Aviation
Rail
Transit
Office of Transit
Larry Buckel
5311 Program
Manager
5310 Program
Manager
Todd Jennings
Brian Jones
5311 Project
Manager
5311 Project
Manager
Vickie Rayburn
Mike McGathey
Transit Planner
Jason Casteel
RLS and
Associates, Inc.
Robbie Sarles
Indiana RTAP
Vicky Warner
Megan Lawson
5311
Sub-Recipients
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INDOT Mission
◦ INDOT will plan, build, maintain and operate a
superior transportation system enhancing safety,
mobility and economic growth.
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2015-2016 INDOT Goals
◦ On-time and On-budget
◦ Take Care of What We Have
◦ Customer Satisfaction
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Where did the last year go?
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Reviewing Every Process - “Blue Book” Revision
New 5311/5339 Application/Timeline
Vehicle Pricing/State QPA
Compliance Reviews/Annual Site Visits
Addressing 5311/PMTF Funding/Allocation Process
Medical Qualification Program Concerns
Everything “in-between”
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Reviewing Every Process
◦ INDOT Goal – Customer Satisfaction
 Lessen YOUR administrative burden while WE maintain
a high level of oversight to ensure program compliance
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Revised 5311 Program Manual
 Program “bible”
 Identified that some managers are not aware of/utilizing
 “Have question……it probably answers.”
 Reference first…contact second
 Mirrors FTA Circular 9040.1G (5311 Program Guidance
and Application Instructions) Table of Contents
 FTA Requirement = INDOT Oversight Procedures
 Available online by 09/30/15 (INDOT Annual Meeting)
 Questions?
Technical Assistance Process
1
2
3
4
5
•5311 Program Manual
•On-line Resources (FTA, INDOT, Indiana RTAP, CTAA, National RTAP, ADA etc.)
•5311 Peers
•INRTAP (Training, ADA, Title VI, Passenger Issues, D&A, Med Qual, etc.)
•INDOT Project Manager (Program Compliance, Grants, Funding, Charter, etc.)
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Revised 5311/5339 Application
◦ Revised Application Template
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Needed a “clean up” (Still needs a “tweak”)
Lessen the burden for completion
2015 Applications designated as “Master on File”
Major revision is in our future!
FTA trend is towards e-filing
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5311/5339 GRANT APPLICATION/TIMELINE
◦ Why the hurry in 2015?
 Historically late distribution of Fully Executed
Contracts and Purchase Orders (PO’s)
◦ FTA/INDOT 5311 Grant Process
 Operates on (3) separate calendars!
 Federal Fiscal Year (October 1 – September 30)
 State Fiscal Year (July 1 – June 30)
 5311 Operating (Jan 1 – Dec 31)
Historical Process for Grant Approval
OCT
JAN – FEB
MARCH
APRIL
INDOT Revises
5311 Application
Indiana Legislature
Appropriates State
PMTF Funding for
State Fiscal Year
FTA Publishes 5311
FFY State
Apportionments
Collect 5311 Annual
Report Data
INDOT Calculates 5311
Allocations based on 3
Year Annual Report Data
and FFY Apportionment
JUNE
JULY
AUG
SEPT
5311 Applications Distributed
INDOT Commissioner
Approves PMTF Allocations
5311 Applications Due
INDOT Review/Approve
5311 Applications
5311 Allocation Letters Distributed
PMTF Allocations Calculated
INDOT Creates Program of Projects
(POP)
OCT
Distribute 5311 Contracts for
Local Signatures
Budget Revisions (If
Necessary)
INDOT Submits State
Application to FTA for
Preliminary Review
INDOT Commissioner Submits
PMTF Allocations to SBC for
Approval
State Budget Committee
Reviews PMTF Allocations
INDOT Submits Final Program Grant
into T.E.A.M
FTA Approves INDOT Program
Grant
NOV
DEC
Intake Signed
5311 Contracts from
Systems
INDOT Routes
5311 Contracts thru State
Signature Process
FTA Publishes 5311 FFY
State Apportionments
JAN – MAR
INDOT Receives Fully Executed
Contracts from State Budget Agency/AG
Office
INDOT Submits Executed Contracts to
Procurement for Purchase Orders (PO)
INDOT Receives Purchase Orders and
Distributes 5311 Contracts/PO’s to
Systems
APRIL
1st Quarter Claim
Due
HERE IS THE ISSUE!
New Process for Grant Approval
MARCH
JAN – FEB
OCT
INDOT Calculates 5311 Allocations based on Three Year Annual Report Data and
FFY Apportionment
INDOT Revises
5311 Application
FTA Publishes 5311 FFY
State Apportionments
5311 Applications Distributed
Collect 5311 Annual Report
Data
INDOT Creates Program of Projects (POP)
JUNE
JULY
5311 Applications Due / INDOT
Review
INDOT Commissioner Approves
PMTF Allocations
APRIL
Indiana Legislature
Appropriates State
PMTF Funding
5311 Allocation Letters Distributed
PMTF Allocations Calculated
INDOT Submits State Application to
FTA for Preliminary Review
INDOT Submits Final Program
Grant into T.E.A.M
OCT
SEPT
NOV
FTA Publishes 5311 FFY
State Apportionments
Intake Signed 5311
Contracts from Systems
INDOT Awaits State
Signature Process
INDOT Routes 5311
Contracts thru State
Signature Process
FTA Approves INDOT
Program Grant
JAN
APRIL
INDOT Receives Purchase
Orders and Distributes 5311
Contracts/PO’s to Systems
1st Quarter Claim
Due
AUG
Distribute 5311 Contracts for Local
Signatures
INDOT Commissioner Submits
PMTF Allocations to SBC for Approval
State Budget Committee Approves
PMTF Allocations
DEC
INDOT Receives Fully Executed
Contracts from State Budget
Agency/AG Office
INDOT Submits Executed Contracts
to Procurement for Purchase Orders
(PO)
Problem Solved!HOPEFULL
Y!

State QPA/Vehicle Pricing
◦ 2014-15 Pricing Issues
 State QPA expired in February 2015 (Optional 3rd Yr.)
 State QPA extended for fourth and final year in April
 Systems received Contracts/PO’s in February/March
 Vehicle prices at that time were based on model year 2015
prices
 Upon approval of new QPA state contract, vehicle prices
were set to increase to model year 2016 prices
 Any system who ordered vehicles after new QPA was
approved on 04/24/15, incurred a price increase
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State QPA/Vehicle Pricing
◦ What It Means Moving Forward
 Current QPA expires on 02/28/16
 Department of Administration to submit bid for new State
QPA in August 2015 (2 Yr. – Option for 3rd/4th)
 INDOT will be proactive and “build-in” 5% price increase to
vehicles requested in 2016 grant applications
 If systems receive CY2016 Contracts/PO’s before QPA
expires
 “Built-in” can be used to pay for optional equipment
 If systems receive CY2016 Contracts/PO’s after QPA expires
and price increase occurs:
 “Built-in” should cover cost of price increase and any
additional can be used to cover optional equipment

State QPA/Vehicle Pricing
◦ Requesting/Ordering Vehicles
 Identify system need
 Avoid “ballpark” requests – Do the necessary homework
 Vehicles to be replaced must be identified in application
 Fully Executed Contracts/PO’s will no longer be amended
unless extenuating circumstance arises
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State QPA/Vehicle Pricing
◦ Requesting/Ordering Vehicles
 Local funding must be secured
 Avoid requesting on a “believe so, hope so, should be
there”
 When commissioners approve vehicles are expected to be
ordered
 Order upon receiving Contract/PO
 When contacting INDOT with inquires, make sure you
know which program is funding vehicle
 5310
 5339
 Questions?

2015 Compliance Reviews (Completed every FOUR Years)
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Dekalb County – Complete
Jay County – Complete
Johnson County – Complete
LaGrange County – Complete
LifeTime Resources (Multi-County) – Complete
Steuben County – Complete
Cass County – Scheduled
Fulton County – Scheduled
Kosciusko County – Scheduled
KIRPC (Jasper, Starke, Pulaski, Newton)
Madison County
Marshall County
Rush County
SIDC (Multi-County)
Waveland
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Compliance Review Process
 INDOT notifies system by letter no less than (30) days prior
to review date
 INDOT Consultants (RLS and Associates, Inc.) contacts
system and provides “desk review” upload instructions
 RLS and Associates, Inc./INDOT reviews documents prior to
on-site review
 On-site review conducted/Summary of Findings provided
during exit interview
 RLS provides draft report to INDOT for review within 45 days
 INDOT approves and distributes final report to system
 System uploads corrective actions to RLS website
 RLS/INDOT Review of Corrective Actions
 INDOT sends system Letter of Compliance within 5-10 days
of confirmation of sufficient corrective actions
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Common Compliance Review Findings
 Outdated Insurance Cards in Vehicles
 Title VI Notice to Public not posted in vehicles
 No handicap placard inside vehicle (displayed during
passenger boarding/disembark
 Outdated 5333(b) Labor Warranty Posted/Not Posted
 EEO Signage Not Posted
 Drug and Alcohol Records not being kept separate
 Vehicle Preventative Maintenance Plans not
Followed/Lift Maintenance Not Occurring
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Annual Site Visits/Reviews
◦ Every system reviewed annually by INDOT Project
Manager
◦ Specific Areas Covered:
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Vehicle/Equipment Management
Driver Training
Procurement/DBE
ADA Compliance
Financial Management
Marketing/Brochures
Audit Reports
Safety and Security/Title VI
Previous Compliance Review Findings
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Annual Site Visits/Reviews
◦ Purpose
 Used as “surface level” review vs. extensive Four Year
Compliance Review
 Used to identify continued and repeated findings that
may have been identified during Four Year Compliance
Review
 Increases basic operational awareness by INDOT
Program Manager
 Helps maintain positive line of communication
between INDOT/Transit System Staff.

Annual Site Visits/Reviews
◦ Process
 Project Manager will contact system to schedule review
 On-site review conducted
 Project Manager will discuss possible findings with
5311 Program Manager and recommended corrective
actions provided to system
 Review findings placed in system file to be referenced
for following year Annual Site Visit/Review
 Repeated non-compliance may be factor during
grant/funding approval

State Management Review Workshop
◦ INDOT SMR due to occur in 2016
◦ FTA State Management Review Workshop
 Information very beneficial!
 “If FTA doesn’t require……we won’t require.”
◦ Sub-recipient Site Visit
 One system chosen
 FTA is not there to audit/review the system, but to
audit/review INDOT’s oversight of the system!
 Volunteers? / Questions?
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Numerous scheduling issues identified
CDL physical forms not be completed or
completed correctly and in a timely manner
Lack in a response or a timely response to
request for service
Driver Ability Reviews not being submitted or
documentation of the submission maintained
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Meeting was held on June 10 to address
reported issues
Online scheduling system with applicable
forms has been added to PSM website
Question and Answer section has been added
to PSM website with common questions
Chris Costlow and Lora Lex will be handling
the program personally
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Paperwork not being completed or not
brought to the appointment
Tardiness for appointments
Correspondence needs to be read and
communication must occur to ensure
understanding
Program information, policies and documents
available on the RTAP website at
indianartap.com
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Retain a copy of the letter issued by the BMV
regarding the operators status on file
PSM has been advised to maintain a copy of
the fax transmittal on file to show proof of
submission
May request a copy of the fax transmittal and
assistance with verifying communications
with BMV
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One or more vendors may be selected
Regional sites for conducting evaluations
◦ Reduce travel and associated costs
◦ For all evaluations categories
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Will not be in place for another year
RTAP Update
44
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Newly revised
documents available
on the RTAP website
Download and
implement by as soon
as possible, but no
later than September 8,
2015
Submit revised
documents to INDOT
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Post the revised public
notice on vehicles
Update system
websites and
information
Implement new
compliant form
Dispose of all older
versions
Training Update
By Megan Lawson
46
Trainings and Reservations
Please RSVP drivers to the RTAP office that will
be attending one or more of the training's listed
on the 2015 calendar. RSVP's must be received
one week prior to the class scheduled. Classes
without a sufficient number of participants to
conduct the class will be cancelled.
Training confirmation will be done at least two
days prior.
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Training requirements for 5311 grantees
identified
This will be added to the State Management
Plan clarifying the requirement
Frequency of training requirements will also
be identified
Documentation of training and training
material may be required to show compliance
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49 CFR 37.173 states that each public or private entity which
operates a fixed route or demand responsive system shall ensure
that personnel are trained to proficiency, as appropriate to their
duties, so that they operate vehicles and equipment safely and
properly assist and treat individuals with disabilities who use the
service in a respectful and courteous way, with appropriate attention
to the difference among individuals with disabilities.
◦ Transit operators must receive training programs that meet the federal
requirement and, which requires a driver demonstration to show a
sufficient level of proficiency.
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Defensive Driving is a training program for
professional operators.
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Pre-Trip Inspections training must includes State
and Federal requirements for operations.
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Emergency Evacuations/Emergency
Procedures training addresses State and
Federal requirements as well as transit
specific threats and emergency situations.
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
What is the picture of a shopping cart have to
do with anything?
Do you think your drivers are transporting the
shopping carts?
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Does your agency have a limit?
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If so, what is your limit?
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How do you know if it is being enforced?
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How are my drivers assisting with the items when passengers
disembark?
How much “assisting” are my drivers really doing?
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A wheelchair lift, also known as a platform
lift, or vertical platform lift is a fully powered
device designed to raise a wheelchair and its
occupant in order to overcome a step or
similar vertical barrier.
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Prevent damage to the equipment
Prevent damage to “cargo” and potential
replacement of expensive items
Prevent loosing a law suite where it may
deemed that inappropriate use of the
wheelchair lift resulted in failure.
• Manager and Supervisors should go into the
field and observe the quality of services
being provided. Document deficiencies,
training needs and identify policy violations.
• Develop a threat and vulnerability
assessment to reduce safety issues, identify
vulnerabilities within the services and
address them.
Roadeo Update
63
64
65
66
Driver have 30 minutes to complete a 25
question test!
67
A driver Walk through of the course is
completed before competition begins
to familiarize drivers with the course
layout and answer any questions.
68
Drivers are broke into three
teams with each team
completing pre-trip inspection,
wheelchair securement and the
course
Runners collect the score sheets
and take them to scoring
69
Each team is
assigned a team
leader to make
sure everyone
completes each
event.
YEP, there is food!
Suzanne Patberg
City of
Huntingburg
Only 51 points between first and fifth place
with new and familiar faces holding the top
five spots!
Dave’s Auto
DeKalb county Coa
Elkhart Coach
Clean Zone Marketing
Franklin Muffler & Brake
Midwest Transit
Mobilitat
State Farm Franklin, IN
Tesco
CTS
Generations
Fayette County Senior Center
Encompass
St. Vincent's - Carmel
NIRPC
Bartronics
Opportunity Enterprises
City of Huntingburg
LaGrange County COA
State Farm – Franklin, IN
St. Vincent's – Franklin, IN
Shine 99
The course was tight and both
Indiana drivers competed in the
MV1 division.
Juliana Abney finished eighth
and Derek Johnson finished
twelfth!

5311 Formula Data
◦ FTA Allocates State Apportionments by formula
based on percent of non-urbanized (under 50,000
populations) as a ratio of the total non-urbanized
population in the U.S.
◦ INDOT initially allocates necessary funds for:
 INDOT Administration
 INDOT Technical Assistance (RTAP)
 Inter-city (15%)
◦ Remaining 5311 funds allocated by formula to
existing grantees

5311 Formula Data
◦ 30% Weight Factor - Population Data (Current
decennial census - 2010)
◦ 30% Weight Factor - Passenger Boarding's
◦ 40% Weight Factor - Locally Derived Income (LDI)
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Fares
Advertising Income
Auxiliary Income (i.e. rent)
Local cash grants
General funds
Unrestricted Federal/State funds (i.e. Medicaid, United
Way)

5311 Formula Data
◦ Historical Indiana Apportionments
Federal Fiscal Year
Indiana Apportionment
2010
$14,143,656
2011
$12,017,418
2012
$12,723,775
2013
$11,471,242
2014
$12,955,749
2015
$13,403,003
2016
$13,703,001

5311 Funding Concerns
◦ Apportionments continue to remain stagnant
◦ Systems unable to expand services
◦ Formula resulting in excessive loss for some
 20%-30%

5311 Funding Concerns
◦ INDOT Response
 We are all in this together
 INDOT Goal – “Take Care of What We Have”
 Performance must remain a factor
◦ Result
 FTA Apportionment determines if everyone gains/loses
 Annual gains/losses will not exceed 1-4%

PMTF Formula Data
◦ State makes funding appropriations to PMTF
program every (2) years in conjunction with state’s
bi-ennial budget process.
◦ PMTF is funded as part of the states general fund
(budget line item) that is based on estimated
revenue taken in by state over (2) year budget
period
 State Budget Agency has authority to decrease based
on budget projections

PMTF Formula Data
◦ Northern Indiana Commuter Transit District (NICTD)
Set-aside (12.34%)
◦ Remaining 87.66% distributed to urban/rural transit
systems (4 groups)
 Group 1 – Large Fixed Route (IndyGo)
 Group 2 – Small Fixed Route (Columbus)
 Group 3 – Urban (over 50,000 population) Demand
Response (Kokomo)
 Group 4 – Rural Demand Response (Boone County)

PMTF Formula Data
◦ 33% Weight Factor – Passenger Boarding’s (one-way trip)
◦ 33% Weight Factor – Total Vehicle Miles
◦ 33% Weight Factor - Locally Derived Income (LDI)
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Fares
Advertising Income
Auxiliary Income (i.e. rent)
Local cash grants
General funds
Unrestricted Federal/State funds (i.e. Medicaid, United Way)
◦ Formula calculated using previous (3) year operating
data
 2016 Allocation based on 2013-2015 data

PMTF Formula Data
◦ Historical Indiana Apportionments
Bi-ennial Budget Year
PMTF Allocation
2010-2011
$41,400,000
2012-2013
$42,581,051
2014-2015
$42,581,051
2016-2017
$42,073,285

PMTF Funding Concerns
◦ Apportionments continue to remain
stagnant/decrease
◦ Systems in incorrect group
◦ CIRTA included in Group 2
◦ Systems unable to expand services and in some
cases must decrease service/staff
◦ Formula resulting in excessive loss for some
 15%-20%

PMTF Funding Concerns
◦ INDOT Response
 We are all in this together
 INDOT Goal – “Take Care of What We Have”
 Performance must remain a factor
◦ Result
 PMTF Apportionment determines if everyone
gains/loses
 System gains/losses will not exceed that of total
apportionment
 Example: PMTF increases by 3%, everyone increases 1-3%

Quarterly Claims
Quarter
First Quarter
Period Covered
January – March
Second Quarter April – June

Third Quarter
July – September
Fourth Quarter
October December
Claim Due
May 15th
August 15th
November 15th
February 15th
Late claims will result in delayed processing
and receipt of payment
Claim Form Exercise

Budget Revision Requirements
◦ Every system will be notified if budget revision is
necessary with 2nd Quarter Claim
 Budget line items +/- 10% variance will require budget
revision (Less than 40% or Over 60%)
◦ INDOT Project Manager will notify and provide
Budget Revision form upon notification of need for
revision

Budget Revision Requirements
◦ Why the Need?
 De-obligation of funds
 Managers not monitoring
 Managers not aware of allow ability
◦ Questions?

Definition
◦ Service Area: The geographic area that coincides
with a transit system’s legal operating limits
defined in Exhibit A (Project Description) of the
applicant’s 5311 contract along with the applicants
approved operating budget

How is a 5311 Funded Service Area
determined?
◦ Populations included in an applicants 5311
apportionment

Types of Services Allowable:
◦ Funded Service Area: Should be a systems
“primary/core” area that receives service
◦ Extended Service Area
 Allowable as long as:
 Rural, Urban, Rural
 Service is defined in annual application
 Service is identified in marketing material/brochures
 Rates should be adequate to cover operating
expenses:
 Fuel
 Salaries
 Maintenance

Issues Identified
◦ Trip Exclusivity occurring for Medical trips
 Brochures
 Websites
◦ Trip Prioritization occurring for Medical trips
 Trip denials occurring due to excessive scheduling of
medical, school, or agency trips
◦ Excessive Trip Denials due to inadequate staffing
available within Funded Service Area
 40-50% staffing

Corrective Actions
◦ Trip Exclusivity
 Remove any language that refers to “only for” in
brochures/marketing materials
◦ Trip Prioritization
 Adjust schedules to remove an unequal balance of
public transit vs. subscription
◦ Excessive Trip Denials
 Adjust staffing levels to ensure “primary/core” service
area is not experiencing denials due to unavailability
of drivers