Report No:
Meeting Date:
15-013
February 11, 2015
Alameda-Contra Costa Transit District
STAFF REPORT
TO:
Operations Committee
AC Transit Board of Directors
FROM:
David J. Armijo, General Manager
SUBJECT:
2014 Federal Transit Administration (FTA) Triennial Review Report
BRIEFING ITEM
RECOMMENDED ACTION(S):
Consider receiving a report regarding the fiscal year 2014 FTA Triennial Review Report.
EXECUTIVE SUMMARY:
The FTA Triennial Review, covering the period of July 1, 2011 to June 30, 2014, is complete. The
review covered 17 topical areas. There were no deficiencies identified by the FTA in 13 ofthese
areas. Triennial Review findings were in 4 areas and are summarized below:
•
Technical - Untimely closeout and inactivity of some grants.
contained milestone dates that had slipped and not been updated.
Also, some grants
•
Americans with Disabilities Act- Certain elements of the District' s no-show policy were
found to be unreasonable.
•
Procurement- A procurement of bus fareboxes did not contain all of the required FTA
clauses. Also, contract files did not contain documentation of a responsibility of
determination .
•
Drug and Alcohol - The District's Drug and Alcohol policy needed to be updated to
reflect all current FTA required elements.
BUDGETARY/FISCAL IMPACT:
There is no budgetary or fiscal impact associated with this report.
BACKGROUND/RATIONALE:
The FTA conducts Triennial Reviews of all U.S. transit properties receiving federal funds. The
Triennial Review is a comprehensive evaluation of District compliance with FTA requirements
governing the use of federal funds. The review covers three fiscal years of activity and is also an
assessment of AC Transit grant management practices and program implementation . Once the
review is completed, FTA produces a final report identifying areas of deficiency;
recommendations for improvement; and required District actions and timelines for
206
Report No. 15-013
Page 2 of 2
implementation. The District has taken the following actions to address findings made in the
report:
Technical- The Grants Department worked with FTA on a plan to close out the inactive grants
identified. Also, a recovery plan for delayed projects along with a procedure showing quarterly
progress was provided to FTA. These deficiencies are now closed.
Americans with Disabilities Act - A written response was sent to the FTA describing the
reason(s) for the current District no-show policy. It is under consideration for acceptance by
the regional office.
Procurement - Purchasing revised procedures so that all FTA-required third party clauses are
included in future procurements and contractor responsibility determinations are conducted
prior to contract award. These deficiencies are now closed.
Drug and Alcohol - The District policy was modified to include all current FTA required
elements and this deficiency has now been satisfactorily closed.
ADVANTAGES/DISADVANTAGES:
This report does not recommend a course of action with notable advantages
disadvantages.
ALTERNATIVE ACTIONS:
This report does not recommend an action.
PRIOR RELEVANT BOARD ACTIONS/POLICIES:
There are no prior relevant Board actions/policies associated with this report.
ATTACHMENTS:
1:
FTA Triennial 2014 Final Report
Department Head Approval:
Alan Parella, Manager of Internal Audit
Reviewed by:
James Pachan, Interim Chief Financial Officer
Prepared by:
Alan Parella, Manager of Internal Audit
207
or
SR 15-013
Attachment 1
U.S. Department
of Transportation
Federal Transit
Administration
REGION IX
Arizona, California,
Hawaii, Nevada, Guam
American Samoa,
Northern Mariana Islands
Honorable Greg Harper
President ofthe Board of Directors
Alameda-Contra Costa Transit District
1600 Franklin Street
Oakland, California 94612
201 Mission Street
Suile 1650
San Francisco, CA 94105·1839
415-744-3133
415-744-2726 (fax)
NOV 0 5 2014
Re: FY 2014 Final Triennial Review Report
Dear Mr. Harper:
The enclosed final report documents the Federal Transit Administration's (FTA) Triennial Review
of the Alameda-Contra Costa Transit District (AC Transit), in Oakland, CA. This review is
required by Chapter 53 ofTitle 49, United States Code, Section 5307. Although not an audit, the
Triellllial Review is the FTA's assessment of AC Transit's compliance with Federal requirements,
determined by examining a sample of gmnt management and program implementation practices.
As such, the Triennial Review is not intended as, nor does it constitute a comprehensive and final
review of compliance with grant requirements.
The Triellllial Review focused on AC Transit's compliance in 17 areas. No deficiencies were fuund
with the FTA requirements inl3 areas. Deficiencies were found in four areas: Technical Capacity,
Americans with Disabilities Act, Procurement, and Drug and Alcohol Testing Program. AC Transit
had no repeat deficiencies fi·om the 2011 Triellllial Review.
As part of this year's Trietmial Review of AC Transit, FTA incorporated an Enhanced Review
Module (ERM) in the Technical Capacity area. The pmpose of an ERMis to conduct a more
comprehensive review of underlying or contributing issues identified during the pre-assessment
stage of the Tl'ietmial Review. Deficiencies resulting from this ERM are contained within the
Technical Capacity section of the report that follows.
Subsequent to the site visit, AC Transit submitted sufficient documentation to address the
deficiencies in the Technical Capacity and Procurement areas. These deficiencies are now closed.
We greatly appreciate your continued commitment to making public transportation America's mode
of choice. Thank you for your personal contribution, cooperation, and assistance during this
Triennial Review since we realize that the review has involved effort, time and platming. If you
need any technical assistance or have any questions, please do not hesitate to contact Roxana
Hernandez at (415) 744-2658 or by email at roxana.hemandez@dot.gov.
Sincerely,
Enclosure
cc:
David Armijo, AC Transit
d!it[~
208
FINAL REPORT
FY2014 TRIENNIAL REVIEW
of the
Alameda-Contra Costa Transit District
(AC Transit)
Oakland, CA
Recipient ID: 1632
Performed for
U.S. DEPARTMENT OF TRANSPORTATION
FEDERAL TRANSIT ADMINISTRATION
REGION IX
Prepared by:
Milligan & Company, LLC
Scoping Meeting Date: May 14,2014
Site Visit Dates: September 15-16, 2014
Final Report Date: November 20, 2014
209
Table of Contents
I.
Executive Summary ................................................................................................................. 1
II.
Review Background and Process .............................................................................: ............... 2
1.
Background ........................................................................................................................... 2
2.
Process ................................................................................................................................. 2
3.
Metrics ................................................................................................................................. 2
Ill.
Grantee Description ................................................................................................................ 4
IV.
Results of the Review ..............................................................................................:............... 7
1.
Financial Management and Financial Capacity ......................................................................... 7
2.
Tech nica I Capacity ................................................................................................................. 7
Enhanced Review Module ...................................................................................................... 7
3.
M ainte na nee ......................................................................................................................... 8
4.
Americans with Disabilities Act ...............................................................................:............... 9
5.
Title VI .................................................................................................................................. 9
6.
Procure men! ....................................................................................................................... 10
7.
Disadvantaged Business Enterprise ....................................................................................... 10
8.
Leg aI ................................................................................................................................... 10
9.
Satisfactory Continuing Control ..............................................................................:............. 11
10.
Planning/Program of Projects ............................................................................................... 11
11.
Public Comment on Fare Increases and Major Service Reductions .......................................... 11
12.
Half Fare ............................................................................................................................. 11
13.
Charter Bus ......................................................................................................................... 12
14.
School Bus .......................................................................................................................... 12
15.
Safety and Security .............................................................................................................. 12
16.
Drug Free Workplace and Drug and Alcohol Program ............................................................. 12
17.
Equal Employment Opportunity ........................................................................................... 13
V.
Summary of Findings ............................................................................................................. 14
I.
Attendees ................................................................................................................:............. 16
II.
Appendices ............................................................................................................................ 17
210
I.
Executive Summary
This report documents the Federal Transit Administration's (FTA) Triennial Review of
Alameda-Contra Costa Transit District (AC Transit) of Oakland, CA. The review was performed
by Milligan & Company, LLC. During the site visit, administrative and statutory requirements
were discussed and documents were reviewed. AC Transit's facilities were toured to provide an
overview of activities related to FTA-funded projects.
The Triennial Review focused on AC Transit's compliance in 17 areas. Deticiencies were found
in the areas listed below.
Review Area
Technical Capacity
Code
79
98
Deficiencies
Description
Inactive grants
Excessive delays in project implementation
Americans with Disabilities Act
(ADA)
316
Insufficient no-show policy
Procurement
129
344
Drug-Free Workplace/ Drug and
Alcohol Program
28
No FTA clauses
Responsibility Determination Deficiencies
Drug and alcohol policy lacking required
elements
As part of this year's Triennial Review of AC Transit, FTA incorporated an Enhanced Review
Module (ERM) in the Technical Capacity area. The purpose of an ERM is to conduct a more
comprehensive· review of underlying or contributing issues identified during the pre-assessment
stage of ,the Triennial Review. Deficiencies resulting from this ERM are contained within the
Technical Capacity section of the report that follows.
Subsequent to the site visit, AC Transit submitted sufficient documentation to address the
deficiencies in the Technical Capacity and Procurement areas. These deficiencies are now
closed.
2014 Triennial Review- AC Transit
liPage
211
II.
Review Background and Process
1.
Background
The United States Code, Chapter 53 of Title 49, requires the FTA of the United States
Department of Transportation (USDOT) to perform reviews and evaluations of Urbanized Area
Formula Grant activities at least every three years. This requirement is contained in 49 U.S.C.
5307(1)(2). This review was performed in accordance with FTA procedures (published in FTA
Order 9010.1B, April 5, 1993). At least once every three years, the Secretary shall review and
evaluate completely the performance of a grantee in carrying out its program, specifically
referring to compliance with statutory and administrative requirements.
The Triennial Review includes a review of the grantee's compliance in 17 areas. The basic
requirements for each of these areas are summarized in Section IV.
This report presents the findings from the Triennial Review of AC Transit. The review
concentrated on procedures and practices employed during the past three years; however,
coverage was extended to earlier periods as needed to assess the policies in place and the
management of grants. The specific documents reviewed are referenced in this report and are
available at FTA's Regional Office or at the grantee's office.
2.
Process
The Triennial Review process includes a pre-review assessment, a review scoping meeting with
the FTA regional office, and an on-site visit to the grantee's location. The review scoping
meeting was conducted with the Region IX Office on May 14, 2014. Necessary files retained by
the regional office were sent to the reviewer electronically. A review package was sent to AC
Transit advising it of the site visit and indicating information that would be needed and issues
that would be discussed. The site visit to AC Transit occurred on September 15-16,2014.
The onsite portion of the review began with an entrance conference, at which the purpose of the
Triennial Review and the review process were discussed. The remaining time was spent
discussing administrative and statutory requirements and reviewing documents. A tour of AC
Transit's facilities was conducted to provide an overview of activities related to FTA-funded
projects. A sample of maintenance records for FTA-funded vehicles and equipment was also
examined during the site visit. Upon completion of the review, a summary of preliminary
findings was provided to AC Transit at an exit conference. The individuals participating in the
review are listed in Section VI of this report.
3.
Metrics
The metrics used to evaluate whether a grantee is meeting the requirements for each of the areas
reviewed are:
•
Not Deficient: An area is considered not deficient if, during the review, no findings
were noted with the grantee's implementation of the requirements.
2014 Triennial Review- AC Transit
2IPage
212
•
Deficient: An area is considered deficient if any of the requirements within the area
reviewed were not met.
•
Not Avolicable: An area can be deemed not applicable if, after an initial assessment,
the grantee does not conduct activities for which the requirements of the respective
area would be applicable.
2014 Triennial Review- AC Transit
3IPage
213
III.
Grantee Description
Organization
Transit service in Oakland, California and the western portions of Alameda and Contra Costa
Counties is provided by AC Transit, a special purpose district created by the California State
Legislature. AC Transit directly operates and maintains portions of its fixed-route service and
contracts with MY Transportation to provide Dumbarton Express service. ADA complementary
paratransit service is provided cooperatively with the Bay Area Rapid Transit District (BART)
under a Joint Powers Agreement through East Bay Paratransit (EBP), which contracts for service
with area providers.
AC Transit serves most of the East Bay west of East Bay hills and offers service to the Transbay
Terminal in San Francisco, Foster City, San Mateo, Menlo Park, Palo Alto, and Milpitas. The
service area encompasses two districts: District I includes portions of western Contra Costa and
Alameda counties, including the cities of Alameda, Albany, Berkeley, El Cerrito, Emeryville,
Hayward, Oakland, Piedmont, Richmond, San Leandro, San Pablo and the other major
unincorporated areas of Ashland, Castro Valley, El Sobrante, Kensington, North Richmond and
San Lorenzo. District 2 includes the cities of Fremont and Newark. The population of AC
Transit's service area is approximately I ,425,000 persons.
Services
AC Transit operates two main types of service: East Bay service and Transbay/Express service.
East Bay service is provided with 79 local routes including several commuter routes and
destination-based community routes. Transbay service consists of 30 routes that connect various
points in the East Bay to San Francisco and the San Mateo peninsula. Service is provided seven
days per week. Six local routes operate 24 hours per day. East Bay ADA complementary
paratransit is available in the same service area and with the same operating hours as AC Transit
and BART.
Effective July I, 2014, the basic adult fare for bus service is $2.10 for local service and $4.20 for
Transbay service. A reduced fare of$1.05 (local) and $2.10 (Transbay) is offered at all times to
elderly (65 years or older), persons with disabilities, and persons with a Medicare card.
AC Transit's bus fleet consists of 576 vehicles, including 354 standard 40-foot models, 86 60foot articulated models, 46 45-foot commuter coaches and 90 30-foot feeder buses.
AC Transit operates from three divisions: Emeryville, East Oakland, and Hayward; as well as its
central maintenance facility in East Oakland. AC Transit's administrative offices are at 1600
Franklin Street in downtown Oakland. Other facilities include the Training and Education Center
in Hayward and five Transit Centers at Richmond Parkway, Eastmont Mall, Uptown, Contra
Costa College and Ardenwood.
2014 Triennial Review- AC Transit
4JPage
214
Grant Activity
Below is a list of AC Transit's open grants at the time of the review.
Grant Number
Grant
Amount
Year
Executed
Description
CA-03-0684-02
$970,874
2011
Bus & Bus-Related Equipment
CA-03-0798-03
$22,410,000
20Jl
Bus Rapid Transit (BRT) Corridor Project
CA-04-0023-03
$1,442,100
2010
BRT & Emeryville Transit Center
CA-04-0 189-0 I
$6,677,074
2012
Fiscal Year (FY) 2010/1 I State of Good Repair
(SGR)
CA-04-0263-00
$7,500,000
2014
SGR Farebox Replacement
CA-37-XJ87-00
$8,361
2014
Lifeline Job Access Reverse Commute (JAR)
Funds- FY12
CA-57-0079-00
$200,000
2012
Intra-Vehicle Text Message Signs
CA-57-0111-00
$240,000
2014
Mobility Management Marketing
CA-58-0005-00
$4,000,000
2010
Demonstration- Hydrogen Refueling Stat.ion
CA-77-0003-00
$6,400,000
2010
Photovoltaic Installation
CA-88-000 1-00
$6,000,000
2011
FY2010 Transit Investments in Greenhouse Gas
and Energy Reduction (TJGGER) Grant
CA-90-Y410-00
$20,378,168
2006
FY2006 Formula Grant Application
CA-90-Y526-00
$39,023,504
2007
FY2007 Formula Grant Application
CA-90-Y613-00
$19,913,211
2008
FY2008 Formula Grant Application
CA-90-Y690-00
$34,141,647
2009
FY2009 Formula Grant Application
CA-90-2058-00
$16,863,872
2014
FY20 13 Formula Grant Application
CA-90-2153-00
$55,290,594
2014
FY20 14 Formula Grant Application
CA-95-X021-00
$10,515,624
2014
Line 51 Corridor Project
CA-95-X253-00
$1,802,676
2014
Spectrum Ridership
CA-95-X335-00
$1,225,539
2014
San Leandro BART Transit Center & East Bay
BRT
Completed Projects
Since the last Triennial Review, AC Transit has completed the following projects:
o
Replacement of the General Office Building heating ventilation and air conditioning
system;
o
Construction of the Emeryville hydrogen fuel cell bus fueling station;
o
A computer aided dispatch/automated vehicle location (CAD/AVL) system replacement
study;
o Replacement of the Division 2 fire alarm panel; and
o Installation ofthe Phase I solar panel at the Central Maintenance Facility.
51 Page
2014 Triennial Review- AC Transit
215
Projects Underway
The following projects are underway:
• East Bay Bus Rapid Transit;
• Seminary Division hydrogen fuel cell bus fueling station construction;
• Phase II solar panel installation at Division 2;
• State of good repair farebox system replacement;
• State of good repair elevator rehabilitation district-wide;
• State of good repair general office building fayade rehab;
• State of good repair Asset Management System;
• Line 51 Corridor Delay Reduction Project;
• CADI AVL!Radio system replacement; and
• Purchase of l 06 buses.
Future Projects
AC Transit is planning to implement ihe following projects:
• Bus purchases (up to 223 buses);
• Reopening and rehabilitation of Division 3 facility; and
• Various smaller facility rehabilitation projects.
2014 Triennial Review- AC Transit
6JPage
216
IV.
Results ofthe Review
1.
Financial Management and Financial Capacity
Basic Requirement: The grantee must demonstrate the ability to match and manage FTA grant
funds, cover cost increases and operating deficits, cover maintenance and operational costs for
FTA funded facilities and equipment, as well as conduct and respond to applicable audits.
Finding: During this Triennial Review of AC Transit, no deficiencies were found with the FTA
requirements for Financial Management and Financial Capacity.
2.
Technical Capacity
Basic Requirement: The grantee must be able to implement FTA funded projects in accordance
with the grant application, Master Agreement, and all applicable laws and regulations, using
sound management practices.
Finding: During this Triennial Review of AC Transit, deficiencies resulting from the ERM conducted
were found with the FTA requirements for Technical Capacity.
Enhanced Review Module
Inactive grants/untimely closeouts (79)
During the initial assessment of AC Transit's FTA-funded grants, five grants had been inactive
for one year or longer. At the time of the site visit, two grants remained inactive.
No funds had been drawn on grant CA-03-0684 since August 2012. The funds in this grant were
to be used for construction-related activities for AC Transit's BRT project. The BRT project is
ongoing and funds drawn from more recent grants have been used to support it. It is
recommended that AC Transit spend the balance of funds remaining in this grant before
spending funds from newer grants.
No funds had been drawn on grant CA-90-Y526 since September 2011. The funds in this grant
were to be used for roof replacement on one of AC Transit's facilities. The roof replacement has
been completed, but nearly $300,000 remains unspent. It is recommended that AC Transit submit
a budget revision to the FTA, which will allow it to spend the balance of funds and close the
grant.
Excessive delays in project implementation (98)
During the site visit, four grants (CA-57-0079, CA-77-0003, CA-90-Y613, and CA-90-Y690)
were identified as having milestone dates that had slipped, but had not been updated. Each of
these grants had milestone dates that indicated that the grant would be closed prior to the site
visit. However, each grant remained open at the time of the site visit and not all funds had been
expended.
?I Page
2014 Triennial Review- AC Transit
217
Grant CA-57-0079 funded New Freedom projects. According to AC Transit staff, the grant
budget was larger than the scope of the project warranted. The unspent funds will be deobligated
and the grant will be closed by December 31, 2014.
Grant CA-77-0003 funded the installation of solar panels at two AC Transit facilities. One
facility is complete; the second site will be completed within the next month. It is estimated that
$150,000 originally designated for force account work will not be spent. These funds will be
deobligated and the grant will be closed.
Grant CA-90-Y613 funds a hydrogen fueling facility, which is nearly complete. Punch list items
are being completed by the contractor and testing of the fueling facility is underway. The balance
of funds in this grant will cover retention payments to the contractor during the various stages of
testing and acceptance of the facility by AC Transit. The grant will be closed by December 31,
2014.
Grant CA-90-Y690 funds the installation of mobile data terminal units on AC Transit buses and
the construction of the hydrogen fueling facility also funded by CA-90-Y613. The balance of
funds in this grant will cover retention payments to the contractor during the various stages of
testing and acceptance of the facility by AC Transit. The grant will be closed by December 31,
2014.
Subsequent to the site visit and in response to the deficiency inactive grants/untimely closeouts
(79), AC Transit worked with the FTA regional oftice to revise grant budgets so that funds can
be expended and drawn down or deobligated and the grants closed.
In response to the deficiency excessive delays in project implementation (98), AC Transit also
submitted to the FTA regional office a recovery plan for the delayed projects, along with
procedures for reporting on progress against the schedule quarterly in the MPRs. The recovery
plan provided the FTA with such information as: the current status of each activity line item
(ALI) within the grant; a narrative description of problems encountered in project
implementation; a detailed discussion of budget and schedule changes; revised estimated
completion dates for original estimated completion dates not met; and a detailed explanation of
why scheduled milestones or completion dates were not met.
Based upon the submitted corrective actions, these deficiencies are now closed.
3.
Maintenance
Basic Requirement: Grantees and subrecipients must keep federally funded vehicles, equipment
and facilities in good operating condition. Grantees and subrecipients must keep ADA accessibility
features on all vehicles, equipment and facilities in good operating order.
Finding: During this Triennial Review of AC Transit, no deficiencies were found with the FTA
requirements for Maintenance.
2014 Triennial Review- AC Transit
BIPage
218
4.
Americans with Disabilities Act
Basic Requirement: Titles II and III of the Americans with Disabilities Act of 1990 (ADA)
provide that no entity shall discriminate against an individual with a disability in connection with
the provision of transportation service. The law sets forth specific requirements for vehicle and
facility accessibility and the provision of service, including complementary paratransit service.
Finding: During this Triennial Review of AC Transit, a deficiency was found with the USDOT
requirements for ADA.
Insufficient no-show policy (3 I 6)
AC Transit's written no-show policy does not take into account frequency of travel prior to
suspension. Further, the policy has a basic penalty for no-shows and late cancellations of a 30day suspension of service after six no-shows or late cancellations in a calendar quarter. The
policy goes on to state that a continued pattern of no-shows or late cancellations after an original
suspension has ended could result in suspension for longer periods. This policy does not meet the
reasonableness requirement of 49 CFR 37.125(h).
Corrective Actions and Schedules:
• For the deficiency, insufficient no-show policy (3I6) perform the following:
o By December 19, 2014, submit to the FTA Region IX Civil Rights Officer
documentation that AC Transit has immediately ceased all suspensions of
paratransit service under the current no-show and late cancellation suspension
policy and reinstated service to persons for whom service have been suspended
under this policy.
o
5.
By January 23, 2015, submit to the FTA Region IX Civil Rights Officer revised
policies and public information materials for no-shows and suspensions, including
templates for no-show notification, suspension and appeal letters relating to noshows, late cancellations, and suspensions.
Title VI
Basic Requirement: The grantee must ensure that no person shall, on the grounds of race, color,
or national origin, be excluded from participating in, or be denied the benefits of, or be subject to
discrimination under any program or activity receiving federal financial assistance without
regard to whether specific projects or services are federally funded. The grantee must ensure that
federally supported transit services and related benefits are distributed in an equitable manner.
Note: The 2014 Triennial Review covers a three-year period in which the FTA issued a revised
circular for Title VI, which provided more information on how to comply and changed
requirements for some grantees with populations over 200,000 persons. As of October I, 2012,
grantees must comply with the requirements ofFTA C 4702.1B. The Triennial Review will look
at compliance with the requirement ofFTA C 4702.1A for the period prior to October I, 2012,
and compliance with the revised circular for activities after this date.
2014 Triennial Review- AC Transit
91Page
219
Finding: During this Triennial Review of AC Transit, no deficiencies were found with the FTA
requirements for Title VI.
6.
Procurement
Basic Requirement: Grantees use their own procurement procedures that reflect applicable state
and local laws and regulations, provided that the process ensures competitive procurement and
the procedures conform to applicable federal law, including 49 CFR Part 18 (specifically Section
18.36) and FTA Circular 4220.1F, "Third Party Contracting Guidance."
Finding: During this Triennial Review of AC Transit, deficiencies were found with the FTA
requirements for Procurement.
No FTA clauses (129)
AC Transit's procurement contract for the purchase of bus fareboxes did not include all required
FTA clauses.
Responsibility determination deficiencies (344)
AC Transit contract files did not contain documentation of a responsibility determination.
Subsequent to the site visit, AC Transit submitted to the FTA regional office revised
procurement procedures that address the inclusion of all FTA required third party contract
clauses and a detailed procedure for conducting and documenting contractor responsibility
determinations prior to award of a contract. These deficiencies are now closed.
7.
Disadvantaged Business Enterprise
Basic Requirement: The grantee must comply with 49 CFR Part 26 to ensure nondiscrimination
in the award and administration of DOT-assisted contracts. Grantees also must create a level
playing field on which DBEs can compete fairly for DOT-assisted contracts.
Finding: During this Triennial Review of AC Transit, no deficiencies were found with the
USDOT requirements for DBE.
8.
Legal
Basic Requirement: The grantee must be eligible and authorized under state and local law to
request, receive, and dispense FTA funds and to execute and administer FTA funded projects.
The authority to take actions and responsibility on behalf of the grantee must be properly
delegated and executed. Grantees must comply with Restrictions on Lobbying requirements.
Finding: During this Triennial Review of AC Transit, no deficiencies were found with the FTA
requirements for Legal.
10 I Page
2014 Triennial Review- AC Transit
220
9.
Satisfactory Continuing Control
Basic Requirement: The grantee must ensure that FTA-funded property will remain available to
be used for its originally authorized purpose throughout its useful life until disposition.
Finding: During this Triennial Review of AC Transit, no deficiencies were found with the FTA
requirements for Satisfactory Continuing Control.
10.
Planning/Program of Projects
Basic Requirement: The grantee must participate in the transportation planning process in
accordance with FTA requirements, MAP-21, and the metropolitan and statewide planning
regulations. Grantees must participate in a coordinated public transit-human services
transportation planning process that identifies the transportation needs of individuals with
disabilities, older adults, and people with low incomes; provides strategies for meeting those
local needs; and prioritizes transportation services for funding and implementation. Each
recipient of a Section 5307 grant shall develop, publish, afford an opportunity for a public
hearing on, and submit for approval, a POP.
Finding: During this Triennial Review of AC Transit, no deficiencies were found with the FTA
requirements for Planning/POP.
11.
Public Comment on Fare Increases ami. Major Service Reductions
Basic Requirement: Section 5307 grantees are expected to have a written, locally developed
process for soliciting and considering public comment before raising a fare or carrying out a
major transportation service reduction.
·
Finding: During this Triennial Review of AC Transit, no deficiencies were found with the FTA
requirements for Public Comment on Fare Increases and Major Service Reductions.
12.
Half Fare
Basic Requirement: For service supported with Section 5307 assistance, fares charged elderly
persons, persons with disabilities or an individual presenting a Medicare card during off peak
hours will not be more than one half the peak hour fares.
Finding: During this Triennial Review of AC Transit, no deficiencies were found with the FTA
requirements for Half Fare.
2014 Triennial Review- AC Transit
111Page
221
13.
Charter Bus
Basic Requirement: Grantees are prohibited from using federally funded equipment and facilities
to provide charter service if a registered private chatter operator expresses interest in providing
the service. Grantees are allowed to operate community based charter services excepted under
the regulations.
Finding: During this Triennial Review of AC Transit, no deficiencies were found with the FTA
requirements for Charter Bus.
14.
School Bus
Basic Requirement: Grantees are prohibited from providing exclusive school bus service unless
the service qualifies and is approved by the FTA Administrator under an allowable exemption.
Federally funded equipment or facilities cannot be used to provide exclusive school bus service.
School tripper service that operates and looks like all other regular service is allowed.
Finding: During this Triennial Review of AC Transit, no deficiencies were found with the FTA
requirements for School Bus.
15.
Safety and Security
Basic Requirement: As recipients of Section 5307 funds, grantees must annually certify that they
are spending at least one percent of such funds for transit security projects or that such
expenditures for security systems are not necessary.
Finding: During this Trien_nial Review of AC Transit, no deficiencies were found with the FTA
requirements for Safety and Security.
16.
Drug Free Workplace and Drug and Alcohol Program
Basic Requirement: All grantees are required to maintain a drug-free workplace for all
employees and to have an ongoing drug-free awareness program. Grantees receiving Section
5307, 5309 or 5311 funds that have safety-sensitive employees must have a drug and alcohol
testing program in place for such employees.
Finding: During this Triennial Review of AC Transit, a deficiency was found with the FTA
requirements for Drug-Free Workplace and Drug and Alcohol Program.
Drug and alcohol policy lacking required elements (28)
AC Transit's Drug and Alcohol policy has not been updated since 2005 and does not contain all
required elements.
2014 Triennial Review- AC Transit
121 Page
222
Corrective Action and Schedule:
• For the deficiency, drug and alcohol policy lacking required elements (28) perform the
following:
o By January 23, 2015, submit to the FTA regional office an amended policy that
has been adopted by the governing board and re-communicated to all affected
employees.
17.
Equal Employment Opportunity
Basic Requirement: The grantee must ensure that no person in the United States shall on the
grounds of race, color, religion, national origin, sex, age, or disability be excluded from
participating in, or denied the benefits of, or be subject to discrimination in employment under
any project, program, or activity receiving federal financial assistance under the federal transit
laws. (Note: EEOC's regulation only identifies/recognizes religion and not creed as one of the
protected groups.)
Finding: During this Triennial Review of AC Transit, no deficiencies were found with the FTA
requirements for Equal Employment Opportunity (EEO).
2014 Triennial Review- AC Transit
13IPage
223
V.
Summary of Findings
Review Area
1.
Financial Management
and Financial Capacity
2.
Technical Capacity
Deficiency
Finding
Corrective Action
Response
Date
Date
Closed
ND
D
79: Inactive
grants/untimely
closeouts
Work with the FTA regional office
to revise grant budgets so that funds
can be expended and drawn down
or deobligated and the grants
January
23, 2015
October
10,2014
January
23,2015
October
10, 2014
closed.
98: Excessive
delay in project
implementation
Submit to the FTA regional office a
recovery plan for the delayed
projects and report on progress
against the schedule quarterly in the
MPRs. The recovery plan shall
provide the FTA with such
information as the current status of
each activity line item (ALI) within
the grant, a narrative description of
problems encountered in project
implementation, a detailed
discussion of budget and schedule
changes, revised estimated
completion dates when original
estimated completion dates are not
met, and a detailed explanation of
why scheduled milestones or
completion dates were not met.
3.
Maintenance
4.
ADA
ND
D
316: Insufficient
no-show policy
.
5.
Tit1eV1
6.
Procurement
Submit to the FfA Region IX Civil
Rights Officer documentation that
AC Transit has immediately ceased
all suspensions ofparatransit
service under the current no-show
and late cancellation suspension
policy and reinstated service to
persons for whom service have
been suspended under this policy.
December
19,2014
Submit to the FTA Region IX Civil
Rights Officer revised policies and
public information materials for noshows and suspensions, including
templates for no-show notification,
suspension and appeal letters
relating to no-shows, late
cancellations, and suspensions .
January
23, 2015
Submit to the FTA regional office
revised procurement procedures
that address the inclusion of all
FTA required third party contract
clauses.
January
23, 2015
ND
D
129: No FTA
clauses
2014 Triennial Review- AC Transit
September
29,2014
141 Page
224
Review Area
Deficiency
Finding
7.
DBE
ND
8.
Legal
ND
9.
Satisfactory Continuing
Control
ND
10. Planning! POP
ND
II. Public Comment on
ND
Corrective Action
Respons.e
Date
Date
Closed
September
29,2014
344:
Responsibility
determination
deficiencies
Submit to the FTA regional office a
detailed procedure for conducting
and documenting contractor
responsibility determinations prior
to award of a contract.
January
23,2015
28: Drug and
alcohol policy
lacking required
elements
Submit to the FTA regional office
an amended policy that has been
adopted by the governing board and
re-communicated to all affected
employees.
January
23, 2015
Fare Increase and Major
Service Reductions
12. Half Fare
ND
13. Charter Bus
ND
14. School Bus
ND
15. Safety and Security
ND
16. Drug-Free Workplace/
Drug and Alcohol
Program
17. EEO
D
ND
2014 Triennial Review- AC Transit
lSI Page
225
I.
Attendees
Name
Phone
Number
Title/Organization
E-mail Address
ACTransit
Alan Parella
Chio Saechao
Ralph Martini
Chris Andrichak
Jon Medwin
Ben Stupka
Claudia White
James Pachan
Fred Walls
Kerry Jackson
Salvador Llamas
Dave Miller
Rick Wrzesinski
Lita Jamerson
Sherri A. Stokes
Internal Audit Manager
Internal Auditor
Controller
Grants Management
Procurement & Materials
Grants Management
Grants
Interim CFO I AC Transit
Interim Materials
Superintendent
Protective Services Manager
Director of Maintenance
Maintenance Superintendent
Facilities Maintenance
Manager
Substance Abuse Program
Administrator
GM- EEO Compliance
Office
510-891-7203
SI0-891-7136
510-891-7144
510-891-4855
SI0-891-5474
5I0-89I-5471
SI0-891-4836
510-891-72I5
510-577-8835
aparello@actransit.org
csaechao@actransit.org
nnartini@actransit.org
candrichak@actransit.org
jmedwin@actransit.org
bstupka@actransit.org
cwhite@actransit.org
jpachan@actransit.org
fwalls@actransit.org
SI0-891-4797
SI0-577-8803
510-577-8887
SI0-577-8810
kjackson@actransit.org
sllamas@actransit.org
dmiller@actransit.org
rwrzesin@actransit.org
5 I 0-89I -4808
Lljamerso@actransit.org
5I0-89I-4848
Sstokes@actransit.org
4I5-744-31I3
bernardo.bustamante@dot.gov
4I5-744-0I 19
Matthew.Butner@dot.dov
415-744-2658
Roxana.hernandez@dot.gov
4 I 5-744-2740
Phiioki.baros@dot.gov
4 I0-404-7443
215-496-9100
585-738-I912
jbuckley@milligancpa.com
kszwajkowski@milligancpa.com
cwalker@milligancpa.com
FTA Region IX
Bernardo Bustamante
Matthew Butner
~-------------
Roxana Hernandez
Philoki Baros
Reviewers
Jim Buckley
Kristen Szwajkowski
Charles Walker
Director, Office of Program
Management and Oversight
Transportation Program
~~~ialist
Transportation Program
Specialist
Transportation Program
Specialist
Milligan & Company, LLC
Milligan & Company, LLC
Milligan & Company, LLC
2014 Triennial Review- AC Transit
----
161 Page
226
II.
Appendices
No appendices included in this report.
17[Page
2014 Triennial Review- AC Transit
227