FY 15, URBAN 5310 FUNDING
This site visit/check list is a guide into what the
VIA Metropolitan Representative will be
looking for when they perform periodic site
SITE VISIT AND COMPLIANCE REVIEW
visits throughout the grant term of life. Please
use this as a guide in order to prepare for the
visit prior to our arrival.
DATE:
Section I - General Information
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Agency Name:
Representative Name:
Title:
Email:
Phone Number:
Section II - Mission and Transportation Service Profile
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General description of agency mission and transportation service:
Total vehicles used for transportation:
Number of which are ADA Accessible:
Total of those vehicles funded by federal dollars:
Number of which are ADA Accessible:
Section III - Project Management and Performance
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Do you have a plan in place in the event 5310 funds are no longer available to continue the service? Explain:
If No, Are you planning on applying for more 5310 federal funding in the near future? (Urban-VIA/ Rural-TxDOT)
Please provide a list of all grants (federal and state) that your agency is receiving:
Section IV - Federal Requirements
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If required, were annual audits (such as A-133) computed in accordance with OMB circular A-133 and were copies of audits
provided to the VIA representative?
a) If no, describe reason and agency’s plan to complete audit by the deadline (due nine months after end of agency’s fiscal
year):
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Is there participation in the Regionally Coordinated Planning Process? Y or N/ Explain: Click here to enter text.
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Is your transportation service promoted?
Y or N/Explain:
Click here to enter text.
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Are you aware that local, rural, urban and other Section 5310 providers are available to assist in your transportation needs?
Y or N
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How often are your reports being submitted?Click here to enter text.
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Are federally funded vehicles in good working order and used for their intended purpose? Y or N
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Are section 5310 funded vehicles leased to other public entities, nonprofit organizations or private-for profit operators? Y or N
a) If yes, was VIA/and or TxDOT made aware prior to the lease?
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Are vehicles insured and is the policy current? Y or N
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Is the written maintenance plan current?
Y or N
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Are inspections of vehicles up-to-date and current? Compare when a service was due VS when the service was performed.
A VIA representative will be inspecting the vehicle maintenance log in order to determine that your service schedule and inspections are current
and up-to-date. Please have them readily available at the time of the site-visit.
Section V - Civil Rights, Title VI , EEO and ADA
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Do you have a procedure for riders/clients to file a complaint? Explain. Click here to enter text.
Are or were there any civil rights related lawsuits/complaints filed within the past year? If yes, provide the following
information:
a) Date lawsuit/complaint that was filled:
Click here to enter text.
b) Name of Complainant:
Click here to enter text.
c) Complainant Address:
Click here to enter text.
d) Summary of the Allegation(s): Click here to enter text.
Do you have a Title VI program consisting of the following elements:
a) A statement that the agency operates programs without regard to race, color, or national origin;
b) A description of the procedures that members of the public should follow in order to request additional information on the
recipients Title VI obligations;
c) A description of the procedures that members of the public should follow in order to file a Title VI discrimination
complaint against the recipient.
Are personnel trained proficiently so that they operate vehicles and equipment safely and properly by assisting and treating
individuals with disabilities who use the service with respect, courtesy and sensitivity? Y or N.
Are facilities accessible including public and common use areas?
Y or N
Is there an approved EEO plan and policy?
Y or N
FY 15, URBAN 5310 FUNDING
SITE VISIT AND COMPLIANCE REVIEW
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Are the appropriate EEO information made available to employees and clients?
Y or N
Are written materials and public notices provided in languages other than English? Y or N
Do written policies and procedures address the following ADA criteria:
a) Service animals
Y or N
b) Use of accessibility features
Y or N
c) Public Information and Communication
Y or N
d) Lift deployment and Securement of devices Y or N
e) Service to individuals using respirators or portable oxygen
Y or N
f)
Adequate time for boarding and disembarking
Y or N
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Are personal care attendants charged a fare?
Y or N
Section VI - Budget/CAP, Equipment, etc.
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If charging indirect costs to one or more FTA grants, do you have an up to date Cost Allocation Plan? Y or N
Provide proof that this CAP has been submitted to the cognizant agency for approval.
Do you maintain back up documentation for invoices submitted to VIA that charge indirect costs in which should have a Cost
Allocation Plan? Y or N
Have you used FTA capital assistance to finance the lease of any transit facilities or equipment? If yes, provide documentation of
FTA review of the cost-effectiveness determination.
Does the subrecipient use any FTA funded real property for non-transit purposes (incidental use)? If yes, provide documentation
that FTA approval was obtained.
Has the subrecipient disposed of any FTA funded equipment or supplies during the past three years? If yes, when did the FTA
provide prior concurrence in the method of disposition of equipment removed from service before the end of the service life?
a) Was the FTA reimbursed for its share of proceeds, if required?
Section VII - Drug Testing Policy
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Does the subrecipeint have a drug and alcohol use policy? Please provide documentation.
What is the drug and alcohol testing policy? Please provide documentation.
How is this information dispersed to employees?Click here to enter text.
Is the workplace drug free/ alcohol free?Click here to enter text.
Are drug and alcohol tests dispersed at random?Click here to enter text.
How often are drivers screened for alcohol and drug use?Click here to enter text.
Please provide documented records on the drug and alcohol tests for each driver and administrative employee.
Section VIII - Service
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Please explain subrecipients policy for making stop announcements on fixed route vehicles.Click here to enter text.
Please explain how the sub recipient ensures that operators are following the policy.Click here to enter text.
What are the procedures and policies, including those prescribed in bus operator training manuals, governing the following ADA
requirements:
a) Requesting that persons sitting in priority seats and any fold-down seats over the securement area vacate those seats when a
person with a disability needs to use them.
b) Transport of all wheelchairs regardless of size or weight, as long as the lift and vehicle can physically accommodate them.
c) Lift/ramp deployment at any stop.
d) Service to persons using respirators, concentrators or portable oxygen.
e) Time allowed for persons with disabilities to board/disembark a vehicle.
Explain: Click here to enter text.
How does the entity ensure that vehicles with inoperative lifts or ramps are not placed into service?Click here to enter text.
What is the policy with regard to lift and ramp failures on in-service vehicles?Click here to enter text.
Are operators required to report failures promptly?Click here to enter text.
Is alternative service provided to persons stranded for more than 30 minutes due to failures?Click here to enter text.
Are lifts and ramps repaired within the timeframes required by DOT ADA regulations prior to returning the vehicle to service?
Click here to enter text.
Are sufficient accessible spares available to enable the subrecipient to meet the time frame?Click here to enter text.
Section IX - Results, Improvement, Action Plans and Assistance
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If changes need to be made, explain: Click here to enter text.
What is the plan of action for improvement?
Click here to enter text.
FY 15, URBAN 5310 FUNDING
SITE VISIT AND COMPLIANCE REVIEW
Additional Information:
Signatures:
VIA Metropolitan Representative/Date
Agency/ Agency Representative/Date
FY 15, URBAN 5310 FUNDING
SITE VISIT AND COMPLIANCE REVIEW
DOCUMENTS TO BE REVIEWED
Below are the documents that a representative from VIA Metropolitan Transit will need to review prior and/or
during each site-visit. Please email to Katelyn.francis@viainfo.net and/or attach to site-visit check list.
Review Area/Document
BACKGROUND:
Agency Organization Chart
Pre-Review
Pre-Site Visit
Site Visit
X
LEGAL:
Annual List of Certifications and
Assurances
X
FINANCIAL:
Capital and operating budget for the past
three fiscal years
Three to five year capital and operating
financial plan
A-1333 Single Audit Reports, SF-SACs and
Management Letter comments for the
past three years
X
X
X
X
SATISFACTORY CONTINUING CONTROL:
Correspondence regarding notification to
FTA and FTA concurrence on property
removal
Listing of real property and/or equipment
removed from transit service
Excess real property inventory/utilization
plan
Real property oversight procedures
Property records of federally funded
equipment
Proof of physical inventory of equipment
Evidence of inventory reconciliation
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MAINTENANCE:
Preventive maintenance management
reports for all FTA-funded assets
Annual Maintenance budgets for vehicles
and facilities for past three years
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Maintenance plan(s) or checklists
1. Vehicles
2. Facilities
3. Equipment
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Manufacturer’s recommended preventive
maintenance schedule
X
PM inspection records- grantee and
contractors
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5.
Directly operated vehicles
Contractor-operated
Facilities
Equipment
ADA accessibility features
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X
FY 15, URBAN 5310 FUNDING
SITE VISIT AND COMPLIANCE REVIEW
List of vehicles and equipment under
warranty
PROCUREMENT:
Procurement System Review
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Written procurement policies and
procedures, city ordinance,
municipal/county code
Standards of Conduct
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Process to analyze potential
organizational conflicts
Listing of procurement protests
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Rolling Stock Pre Award Audits
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Rolling Stock Post-Delivery Audits
Pre-Award and Post-Delivery Audit
Certifications for compliance with Buy
America, Purchaser’s Requirements and
Federal Motor Vehicle Safety Standards
X
DISADVANTAGED BUSINESS ENTERPRISE:
DBE Compliance Review report and
response
DBE Program and submissions
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X
DBELO job description
Organizational Chart Showing Reporting
Relationship of DBELO
DBE Goals (methodology) for current fiscal
year
FTA goal approval letter
Uniform Report of DBE Awards and
Commitments or Payments
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TITLE VI:
Title VI Compliance Review Report
and Response
Title VI Program
X
ADA:
ADA Compliance Review Report(s)
and Response(s)
SAFETY AND SECURITY:
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System Safety Program Plan
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Safety postings, minutes of safety
committee meetings, etc.
X
DRUG-FREE WORKPLACE DRUG AND ALCOHOL PROGRAM:
Drug-Free Workplace Policy
Correspondence/notification to
employees
Employee handbooks, brochures, posters
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EQUAL EMPLOYMENT OPPORTUNITY:
EEO Compliance Review and Response
EEO Program
X
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X
X