CY2015 Annual Management Plan Instructions

CY2015 Annual Management Plan Instructions

Greater Minnesota Public Transit Systems

The Annual Management Plan Application for Calendar Year 2015 marks a new beginning in using advanced technology in managing the Public Transit Participation Program for the State of Minnesota. Effective CY2015 we are using an enhanced database program to manage the annual grant process. We believe you will find that Black Cat Panther improves the functionality of the previous process and gives you some additional tools to manage your transit grant more efficiently.

Much of the content you are entering into the Black Cat database is the same as previous years and is based on Minnesota Rules Chapter 8835.0260. Forms that do not change much from year to year are handled through a “browse” and “upload” process so you no longer need to re-enter each year.

Please review the instructions carefully. While there is minimal change in content, there are now new procedures for entering the information into the grants database. Changes in content will be preceded by the note “change in content.”

Organization

Information that was formerly collected under Applicant Description in PTA (old database) is now resident in several different locations.

Change in Content:Organizational Details

The Organizational Details screen collects information related to various identifiers such as mailing address, legislative district, Federal Tax ID, DUNS number and governance type. Some of this information is used in the Annual Transit Report, while other pieces are used to identify your organization in the state’s financial system.

Service Levels

Your service levels from the current year’s management plan have been imported into Black Cat grants.

Change in Content: Separate screens for Weekly, Monthly and Episodic service are now combined into one.

On the Service Level Quick View select each route for review. You must check each of the route characteristics for accuracy:

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• Vehicle ID
• Service From
• Service To
• Route Type
• Service Type
• Status
• Counties Service
• Cities Served (by way of)
• Start Time
• End Time

You must manually enter:

• Service Days per Year
• Revenue Hours per Year
• Revenue Miles
• Passenger Trips
• Passenger Fare

Open the Service Level Report and review the Total Annual Revenue Hours and compare it to this year’s proposed service hours. While the numbers do not require a perfect match, they should be plus or minus 5% of each other. If the variation is greater than 5% review your Service Levels to verify that you have the correct number of hours per day and the correct number of service days.

When you are satisfied that you have arrived at the correct number of revenue hours, divide this number into your Total Requested operating budget. This will yield your Average Cost per Hour. Enter this number into the box provided on the upper left hand corner of the Service Level Report. The Operating Cost for each route will automatically calculate.

In order to arrive at the Passenger Revenue amount you must enter the Average Passenger Fare for the route. Click Save and the Passenger Revenue amount will appear.

Change in Content: Your proposal for Unmet Needs is to be entered in the same way as you would enter an existing service level segment. Make sure that the Comments section contains a few sentences about why you are applying for funding for an unmet need. Your District Transit Project Manager will want additional detail that may not necessarily be included in your annual application but which will be critical in the decision to award funding.

Coordination Activities

The purpose of the Coordination Activities screen is to inventory the quantity and type of transportation coordination that already exists in Minnesota. It is often used for reporting purposes to the legislature and other bodies.

Select each activity and verify that it is still relevant. Modify or delete as necessary.

Title VI Civil Rights

The Federal Transit Administration issued revised guidance on October 1, 2012. TheTitle VI Requirements and Guidelines for FTA Recipientsprovides detailed information for both Section 5307 direct recipients and Section 5311 rural recipients who receive their federal funding through the State. The purpose of a Title VI program is to ensure that no person is excluded from or denied the benefits of any activity receiving Federal financial assistance.

MnDOT submits a Title VI plan to the Federal Transit Administration that provides details on how we oversee subrecipients’ compliance. All subrecipients must be in compliance with the federal guidelines in order for the State to continue to pass through funding to any subrecipient.

The guidance document cited in the above hyperlink has helpfully provided templates for all the requested information. You may want to open the document, go to pages 77-82 to find the templates, copy them to your local drive and use them as a basis for making agency specific policies and forms.

The purpose of the Title VI Civil Rights section is to collect and verify the subrecipients’ programs so that they can be reviewed by the Federal Transit Administration during periodic state management reviews or upon request.

Notice to the Public

Upload a copy of the organization’s Title VI Notice to the Public that indicates the recipient complies with Title VI, and informs members of the public of the protections against discrimination afforded to them by Title VI. Include a list of locations where the notice is posted.

Change in Content: The notice must be specific to the transit system. A sample notice to the public can be found in Appendix B (page 77)of the Title VI Requirements and Guidelines for FTA Recipients.

You will want insert an additional section that states how to contact MnDOT to make a civil rights complaint. The contact information for MnDOT is:

Title VI Specialist

Minnesota Department of Transportation

Office of Civil Rights, Mail Stop 170

395 John Ireland Blvd.

St. Paul, Minnesota 55155-1899

Phone: (651) 366-3322

Fax:(651) 366-3129

Use

Complaint Procedure and Complaint Form

The Title VI complaint procedure, along with the actual complaint forms, is a vital document. A well written procedure describes how to file a complaint, how complaints are investigated and the time frame for closure. The complaint form is a separate document where the complainant describes what has taken place and why she or he believes it is a Title VI Civil Rights issue. That is, the complainant believes he or she has been discriminated against because of race, color, or national origin.

The sample copy of a complaint procedure, shown below, is taken from Appendix C (page 79) of Title VI Requirements and Guidelines for FTA Recipients.

SAMPLE Title VI Complaint Procedure

Any person who believes she or he has been discriminated against on the basis of race, color, or national origin by the City of USA Transit Authority (hereinafter referred to as “the Authority”) may file a Title VI complaint by completing and submitting the agency’s Title VI Complaint Form. The City of USA Transit Authority investigates complaints received no more than 180 days after the alleged incident. The Authority will process complaints that are complete.

Once the complaint is received, the Authority will review it to determine if our office has jurisdiction. The complainant will receive an acknowledgement letter informing her/him whether the complaint will be investigated by our office.

The Authority has XX days to investigate the complaint. If more information is needed to resolve the case, the Authority may contact the complainant. The complainant has XX business days from the date of the letter to send requested information to the investigator assigned to the case. If the investigator is not contacted by the complainant or does not receive the additional information within XX business days, the Authority can administratively close the case. A case can be administratively closed also if the complainant no longer wishes to pursue their case.

After the investigator reviews the complaint, she/he will issue one of two letters to the complainant: a closure letter or a letter of finding (LOF). A closure letter summarizes the allegations and states that there was not a Title VI violation and that the case will be closed. An LOF summarizes the allegations and the interviews regarding the alleged incident, and explains whether any disciplinary action, additional training of the staff member, or other action will occur. If the complainant wishes to appeal the decision, she/he has XX days after the date of the letter or the LOF to do so.

A person may also file a complaint directly with the Federal Transit Administration, at FTA Office of Civil Rights, 1200 New Jersey Avenue SE, Washington, DC 20590.

If you are using a standard agency complaint form, be sure that it clearly delineates that it may be used to file a Title VI Civil Rights discrimination complaint. Simple customer service complaint forms may not be suitable to cover all the elements required for a Title VI Civil Rights discrimination complaint.

The sample form, shown below, is taken from Appendix D (page 81) of Title VI Requirements and Guidelines for FTA Recipients.

The sample below is provided for the purposes of guidance only.

Section I:
Name:
Address:
Telephone (Home): / Telephone (Work):
Electronic Mail Address:
Accessible Format Requirements? / Large Print / Audio Tape
TDD / Other
Section II:
Are you filing this complaint on your own behalf? / Yes* / No
*If you answered "yes" to this question, go to Section III.
If not, please supply the name and relationship of the person for whom you are complaining:
Please explain why you have filed for a third party:
Please confirm that you have obtained the permission of the aggrieved party if you are filing on behalf of a third party. / Yes / No
Section III:
I believe the discrimination I experienced was based on (check all that apply):
[ ] Race[ ] Color[ ] National Origin
Date of Alleged Discrimination (Month, Day, Year): ______
Explain as clearly as possible what happened and why you believe you were discriminated against. Describe all persons who were involved. Include the name and contact information of the person(s) who discriminated against you (if known) as well as names and contact information of any witnesses. If more space is needed, please use the back of this form.
Section IV
Have you previously filed a Title VI complaint with this agency? / Yes / No
Section V
Have you filed this complaint with any other Federal, State, or local agency, or with any Federal or State court?
[ ] Yes[ ] No
If yes, check all that apply:
[ ] Federal Agency:
[ ] Federal Court [ ] State Agency
[ ] State Court [ ] Local Agency
Please provide information about a contact person at the agency/court where the complaint was filed.
Name:
Title:
Agency:
Address:
Telephone:
Section VI
Name of agency complaint is against:
Contact person:
Title:
Telephone number:

You may attach any written materials or other information that you think is relevant to your complaint.

Signature and date required below

______

Signature Date

Please submit this form in person at the address below, or mail this form to:

City of USA Title VI Coordinator

1234 Center Street

City of USA, State 11111

MnDOT also has samples on its website:

Form can be found at

Procedure can be found at

List of Investigations, Complaints and Lawsuits

MnDOT periodically requests a list of any public transportation-related Title VI investigations, complaints or lawsuits filed with the organization since the time of the last submission. The list should contain only those investigations, complaints, or lawsuits that pertain to allegations of discrimination on the basis of race, color, and/or national origin in transit-related activities and programs that pertain to the organization submitting the report, not the larger agency or department of which the transit system is part.

Change in Content: The report should cover CY2012, CY2013 and CY2014 up until the time you submit your application. The purpose of the three year reporting period is to bridge gap between the old database (PTA) and the new database (Black Cat Grants).

The sample form, shown below, is taken from Appendix E (page 82) of Title VI Requirements and Guidelines for FTA Recipients.

The sample below is provided for the purposes of guidance only.

Sample List of Investigations, Lawsuits and Complaints

Date
(Month, Day, Year) / Summary
(include basis of complaint: race, color, or national origin) / Status / Action(s) Taken
Investigations
1.
2.
Lawsuits
1.
2.
Complaints
1.
2.

Non-Elected Decision-Makers

The Federal Transit Administration monitors state oversight of transit system efforts to include the participation of minority persons on non-elected boards and committees:

MINORITY REPRESENTATION ON PLANNING AND ADVISORY BODIES. Title 49 CFR Section 21.5(b)(1)(vii) states that a recipient may not, on the grounds of race, color, or national origin, “deny a person the opportunity to participate as a member of a planning, advisory, or similar body which is an integral part of the program.” Recipients that have transit-related, non-elected planning boards, advisory councils or committees, or similar committees, the membership of which is selected by the recipient, must provide a table depicting the racial breakdown of the membership of those committees, and a description of efforts made to encourage the participation of minorities on such committees.

This applies to all transit subrecipients who are non-governmental organizations, both their boards of directors and any transit-related advisory committees that are chosen by the transit subrecipient.

This applies to governmental agencies that have appointed membership in transit related advisory committees, but not to the governing body.

Title VI Requirements and Guidelines for FTA Recipients, Appendix F (page 85) is the source of the sample shown below.

The sample below is provided for the purposes of guidance only.

Sample Table Depicting Membership of Committees, Councils, Broken Down by Race

Body / Caucasian / Latino / African American / Asian American / Native American
Population / 46% / 28% / 14% / 8% / 4%
Access Committee / 60% / 23% / 10% / 7% / 0%
Citizens Advisory Council / 40% / 25% / 20% / 10% / 5%
Bicycle Pedestrian Committee / 45% / 30% / 15% / 5% / 5%

Public Involvement Program

Your Public Involvement Program plan should include an outreach plan to engage minority and limited English proficiency populations which you are aware of through your preparation of the Language Assistance Plan (see below). The organization’s targeted public participation plan for minority populations may be part of efforts that extend more broadly to include other constituencies that are traditionally underserved, such as people with disabilities, low-income populations, and others.

Guidance on the Public Involvement Process, found in Exhibit II, summarizes some of the key points made in the current FTA circular and provides some additional information on the value of Transit Advisory Committees.

Language Assistance Plan

Organizations are required to take reasonable steps to ensure meaningful access to benefits, services, information and other important portions of their programs and activities for individuals who are limited English proficient. Updated Language Assistance Plans were submitted in 2014.

Transit systems should commit to reviewing the plans annually and submitting updates to MnDOT. Further information on developing a communications plan for persons with limited English proficiency can be found on the FTA website at and clicking on Implementing the DOT LEP Guidance.

Board Approval of the Title VI Program

Your Title VI Program consists of all of the above elements. When all of the elements have been reviewed by MnDOT and are deemed satisfactory you should obtain a resolution from your governing board approving the entire program. Upload the resolution to your application once all elements are complete.

Vehicles

The vehicles section contains the Fleet Inventory whose purpose is to track the public transit fleet in order to ensure an orderly progression in replacement.

Change in Content: Contract Management

The Contract Management screen collects some of the information formerly in the Application Description section of PTA (old database). It is critical that the titles of the persons listed to execute the contract or who are authorized to submit Requests for Funds are referenced the same way as they are in the governing body resolution.

Certification

All applicants are required to submit this information.

Application Budget

Change in Content: The CY2015 Application Budget will require working with both PTA (old database) and Black Cat (new database). You will want to examine your CY2013 year-end data and CY2014 year to date and projected year end as you put together your CY2015 budget.

Federal Grants, Capital Purchases and Operating Statistics have been eliminated from the CY2015 Application Budget. Capital Purchases will appear in the Projects section under specific project identifiers. Operating Statistics are in transition during the changeover from one database to another and will require manual comparisons between years for the current year.

The purpose of the Application Budget is to develop a financial plan for the upcoming year. Budget categories are developed in Compliance with Minnesota Rule Chapter 8835.

A detailed description of each Line Item is found in Exhibit I. Use this document to determine the correct placement of each expense and revenue item.

In order to get the CY2013 year-end information along with CY2014 projected year-endyou will need to open PTA and pretend that you are setting up the grant application for CY2015.

-Grant Tab

-Copy Grant Tabs from Last Year

-Copy Grant Tabs for Year 2015

-Select Transit System Name

-Search or Create

-Select Module-Budget Request

-Continue

-Choose Year and Transit System