NEVADA DEPARTMENT OF TRANSPORTATION
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NEVADA DEPARTMENT OF TRANSPORTATION
STATE MANAGEMENT PLAN
For Sections 5311, 5310 & 5339
Assistance to Small Urbanized & Rural Area Programs
Published December 2020
Contents
BACKGROUND AND INTRODUCTION............................................................................................................. 1
Authorizing Federal Legislation .................................................................................................................................. 1
State Program Responsibility ....................................................................................................................................... 1
A.
B.
PROGRAM GOALS AND OBJECTIVES...................................................................................................... 2
A.1
Section 5310 ............................................................................................................................................................ 2
A.2
Section 5311 ............................................................................................................................................................ 2
A.3
Section 5339 ............................................................................................................................................................ 3
ROLES AND RESPONSIBILITIES .............................................................................................................. 3
B.1
Section 5310 ............................................................................................................................................................ 3
B.2
Section 5311 ............................................................................................................................................................ 4
B.3
Section 5339 ............................................................................................................................................................ 5
C.
COORDINATION ........................................................................................................................................... 6
D.
ELIGIBLE SUBRECIPIENTS ........................................................................................................................ 7
E.
F.
D.1.A
Section 5310: Traditional 5310 Projects ................................................................................................. 7
D.1.B
Section 5310: Eligible Subrecipients for Other Section 5310 Projects........................................ 7
D.2
Section 5311............................................................................................................................................................ 7
D.3
Section 5339 ............................................................................................................................................................ 8
ELIGIBLE SERVICES AND SERVICE AREAS ........................................................................................... 8
E.1
Section 5310 ............................................................................................................................................................ 8
E.2
Section 5311 ............................................................................................................................................................ 8
E.3
Section 5339 ............................................................................................................................................................ 9
E.4
Meal Delivery for Homebound Individuals ................................................................................................. 9
E.5
Incidental Use ......................................................................................................................................................... 9
ELIGIBLE ASSISTANCE CATEGORIES ..................................................................................................... 9
F.1Section 5310.................................................................................................................................................................. 9
F.2Section 5311............................................................................................................................................................... 10
F.2.A
Section 5311 Administration Assistance......................................................................................... 10
F.2.B
Section 5311 Capital projects............................................................................................................... 11
F.2.C
Section 5311 Mobility Management.................................................................................................. 12
F.2.D
5311 Operating Assistance and Farebox Revenues/Fares ...................................................... 13
F.2.E
Section 5311 Preventive Maintenance............................................................................................. 14
F.3
G.
Section 5339 ......................................................................................................................................................... 14
LOCAL SHARE AND LOCAL FUNDING REQUIREMENTS ................................................................ 16
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G.1
Section 5310 ......................................................................................................................................................... 16
G.2
Section 5311 ......................................................................................................................................................... 16
G.2.A
Local Match Resources ........................................................................................................................... 16
G.2.B
In-Kind Contributions ............................................................................................................................. 17
G.2.C
Advertising Sales and Revenue ........................................................................................................... 18
G.3
H.
Section 5339 ......................................................................................................................................................... 18
PROJECT SELECTION CRITERIA AND METHOD OF DISTRIBUTING FUNDS ........................... 19
H.1
Project Selection and Funding Distribution ............................................................................................. 19
H.2
Statewide Transit Program Dispute/Resolution/Appeal Process .................................................. 20
I.
INTERCITY BUS TRANSPORTATION (SECTION 5311(f)) ............................................................ 21
J.
ANNUAL PROGRAM OF PROJECT DEVELOPMENT AND APPROVAL PROCESS ...................... 22
J.1 Project Solicitation, Notice of Availability ...................................................................................................... 22
J.1.A Application Submission by Subrecipients .................................................................................................. 22
J.2 One-Year Grant Funding Cycle ........................................................................................................................... 23
J.3 Period of Performance ........................................................................................................................................... 23
J.4 Data Universal Numbering System (DUNS)................................................................................................... 23
J.5 Annual Grant Submission and Program of Projects (POP) ...................................................................... 23
J.6 Revisions to Program of Projects/Subrecipient Budget Revisions ...................................................... 24
J.7 Annual Calendar of Events ................................................................................................................................... 24
J.8 Sections 5310, 5311 and 5339 Public Notice Requirements .................................................................. 25
J.9 Public Hearing Requirement, if Requested .................................................................................................... 26
K.
L.
J.10
Minimum Public Meeting Requirements for Any Action Requiring a Public Meeting ....... 26
J.11
The FTA Certifications and Assurances ................................................................................................ 27
J.12
Pre-Agreement Verification and Pre-Award Audits ........................................................................ 27
J.13
Written Code of Conduct ............................................................................................................................ 27
FUND TRANSFERS .................................................................................................................................... 27
K.1
Section 5310 ......................................................................................................................................................... 28
K.2
Section 5311 ......................................................................................................................................................... 28
K.3
Section 5339 ......................................................................................................................................................... 28
K.4
Section 5305(e) ................................................................................................................................................... 28
STATE ADMINISTRATION AND TECHNICAL ASSISTANCE ........................................................... 28
L.1State Administration and Technical Assistance ........................................................................................... 28
L.2Planning and the Statewide Transportation Planning Public Participation Process .................... 29
L.2.A
Planning Assistance ................................................................................................................................. 30
L.2.B
Statewide Transportation Plan............................................................................................................ 30
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L.2.C
L.4
Statewide Transportation Improvement Plan (STIP) ................................................................ 30
Management of the FTA Grants at the Local Level and Good Standing ........................................ 31
M. STATE RTAP ............................................................................................................................................... 31
M.1
Subrecipient Training Requirements .................................................................................................... 32
N.
PRIVATE SECTOR PARTICIPATION .................................................................................................... 34
O.
CIVIL RIGHTS ............................................................................................................................................. 34
O.1
O.1.A
P.
Title VI..................................................................................................................................................................... 34
Access to Services for Persons with Limited English Proficiency (LEP) ............................. 34
O.2
EEO Plans............................................................................................................................................................... 35
O.3
Nevada’s DBE Program .................................................................................................................................... 36
O.4
Nondiscrimination Based on Sex ................................................................................................................. 37
O.5
Nondiscrimination Based on Age ................................................................................................................. 37
O.6
Nondiscrimination Based on Disability ..................................................................................................... 38
O.7
Nondiscrimination Laws, Regulations, Requirements and Guidance ............................................ 38
MAINTENANCE .......................................................................................................................................... 38
P.1
Asset Oversight and Maintenance ............................................................................................................... 38
P.2
Ridership Reporting .......................................................................................................................................... 39
P.3
Facilities ................................................................................................................................................................. 39
Q.
CHARTER RULE ......................................................................................................................................... 40
R.
SECTION 504 AND ADA REPORTING ................................................................................................. 40
R.1
Section 504 ........................................................................................................................................................... 40
R.2
Americans with Disabilities Act (ADA) ..................................................................................................... 41
S.
NATIONAL TRANSIT DATABASE REPORTING ................................................................................ 42
T.
STATE PROGRAM MANAGEMENT....................................................................................................... 42
T.1
Procurement ........................................................................................................................................................ 43
T.1.A
Buy America ................................................................................................................................................ 44
T.1.B
Pre-award and Post-Delivery Reviews............................................................................................. 44
T.1.C
New Model Bus Testing .......................................................................................................................... 44
T.1.D
Vehicle Safety Performance Standards............................................................................................. 44
T.1.E
The NDOT Vehicle and Large Equipment Procurement ............................................................ 45
T.1.F
Sole Source Procurement ...................................................................................................................... 46
T.1.G
Small Purchases......................................................................................................................................... 46
T.1.H
Subrecipients Written Procurement Selection Procedures ..................................................... 47
T.1.I
Required Contract Clauses .................................................................................................................... 47
T.1.J
Remedies for Breach of Contract ........................................................................................................ 47
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T.1.K
Contract Termination.............................................................................................................................. 48
T.1.L
Construction ............................................................................................................................................... 48
T.1.M
Architectural and Engineering Services........................................................................................... 49
T.1.N
Major Capital Investment Projects..................................................................................................... 50
T.1.O
Cargo Preference....................................................................................................................................... 50
T.1.P
Clean Air and Clean Water Acts........................................................................................................... 50
T.2
Financial Management of Subrecipients .................................................................................................. 50
T.2.A
Subrecipient Financial Management System ................................................................................. 50
T.2.B
Allowable Costs ......................................................................................................................................... 52
T.2.C
Unallowable costs ..................................................................................................................................... 52
T.2.D
Accrual Accounting................................................................................................................................... 53
T.2.E
Reimbursement of Expenses to Subrecipients.............................................................................. 53
T.2.F
Invoice Payment ........................................................................................................................................ 54
T.2.G
Budget revisions........................................................................................................................................ 54
T.3
Property Management ..................................................................................................................................... 55
T.3.A
Title to Vehicles ......................................................................................................................................... 55
T.3.B
Insurance Limits........................................................................................................................................ 55
T.3.C
Satisfactory Continuing Control and Responsibility ................................................................... 55
T.4
Maintenance and Disposition........................................................................................................................ 55
T.4.A
Maintenance ............................................................................................................................................... 55
T.4.B
Vehicle Disposition................................................................................................................................... 56
T.4.C
Vehicle Disposition from Collision or Damage or End of Useful Life.................................... 56
T.4.D
Determination of Fair Market Value ................................................................................................. 56
T.4.E
Passenger Vehicle Classification and Useful Life Standards .................................................... 56
T.5
State of Nevada Accounting Systems.......................................................................................................... 57
T.6
Resolution of Audit Findings ......................................................................................................................... 57
T.6.A
Audit Requirements for Agencies Receiving $750,000 in federal funds (2 CFR part 200,
subpart F Audit Requirements) ................................................................................................................................ 57
T.6.B
Audit Findings ............................................................................................................................................ 58
T.7
Closeout of Projects/Grants........................................................................................................................... 58
T.8
Record Retention ............................................................................................................................................... 59
T.8.A
T.9
Record Keeping and Required Reports ............................................................................................ 59
Subrecipient Monitoring ................................................................................................................................. 60
T.9.A
Subrecipient Monitoring ........................................................................................................................ 60
T.9.B
General Compliance Monitoring ......................................................................................................... 61
T.9.C
Special Monitoring.................................................................................................................................... 61
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U.
OTHER PROVISIONS ................................................................................................................................ 61
U.1
Labor and Section 5333(b) Warranty........................................................................................................ 61
U.2
Buy America ......................................................................................................................................................... 62
U.3
Pre-Award and Post-Delivery Reviews ..................................................................................................... 62
U.4
Prohibition of Exclusive School Transportation ................................................................................... 63
U.5 Drug and Alcohol Testing Including State Procedures for Monitoring Subrecipient
Compliance ................................................................................................................................................................. 63
U.5.A The NDOT Drug and Alcohol On-Site Reviews ........................................................................................ 63
U.6
Safety and Security ............................................................................................................................................ 64
U.6.A
Security ......................................................................................................................................................... 64
U.6.B
Safety and Safety Management Systems (SMS)............................................................................. 65
U.7 Public Transportation Safety Certification Training Program for Federal and State
Personnel .................................................................................................................................................................... 66
U.8
Protection of the Environment/Environmental Justice ..................................................................... 66
U.8.A Native American Sacred Sites ....................................................................................................................... 66
U.8.B Environmental Justice ....................................................................................................................................... 67
U.8.C Additional Environmental Requirements ................................................................................................. 67
V.
U.9
Clean Air Act ......................................................................................................................................................... 67
U.10
Nevada CDL Requirements........................................................................................................................ 68
U.11
Debarment and Suspension ...................................................................................................................... 68
U.12
Davis-Bacon Act ............................................................................................................................................. 70
U.13
Restrictions on Lobbying ........................................................................................................................... 70
U.14
Trafficking in Persons ................................................................................................................................. 71
U.15
Federal “$1 Coin” Requirements ............................................................................................................. 71
U.16
Motor Carrier Safety and U.S. FMCSA Requirements ..................................................................... 71
U.17
Safe Operation of Motor Vehicles ........................................................................................................... 72
U.18
Protection of Sensitive Security and Other Sensitive Information ........................................... 72
U.19
Discovery and Invention/Patent Rights .............................................................................................. 73
TRANSIT ASSET MANAGEMENT (TAM) ............................................................................................ 73
W. STATE MANAGEMENT PLAN REVISIONS .......................................................................................... 73
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BACKGROUND AND INTRODUCTION
Authorizing Federal Legislation
The Federal Transit Act, as amended, includes formula grant programs for the Sections 5310,
5311 and 5339 programs. The Federal Transit Act has been reauthorized by Congress under the
Fixing America’s Surface Transportation Act (FAST Act), which was signed into law by President
Barack Obama on December 4, 2015. The effective date of the legislation was October 1, 2015 and
authorizes the federal transit programs for five years (federal fiscal years 2016-2020), through
September 30, 2020.
Title 49 U.S.C. 5310 authorizes the formula assistance program for the Enhanced Mobility of
Seniors and Individuals with Disabilities Program (Section 5310) and provides formula funding
to states and designated recipients to improve mobility for seniors and individuals with
disabilities. Program guidance can be found in the FTA Circular 9070.1G,
https://www.transit.dot.gov/regulations-and-guidance/fta-circulars/enhanced-mobilityseniors-and-individuals-disabilities), which was issued on July 7, 2014.
The Federal Transit Act, as amended, also includes a formula grant program for rural areas known
as Section 5311. The Section 5311 program (Title 49 U.S.C. 5311) provides financial assistance to
states for capital, administrative and operating expenses to rural areas for local public
transportation services. The FTA Section 5311 Program Guidance Circular (the FTA Circular
9040.1G, https://www.transit.dot.gov/regulations-and-guidance/fta-circulars/formula- grantsrural-areas-program-guidance-and-application) was issued by the FTA on November 24, 2014.
This grant program also includes the Rural Technical Assistance Program (RTAP) and the Intercity
Bus Program (5311(f)).
A formula grant program to assist eligible recipients in financing capital projects to replace,
rehabilitate and purchase buses and related equipment and to construct bus-related facilities is
included in the Federal Transit Act (USC Title 49, Chapter 53), as amended, known as Section 5339.
The FTA apportions Bus Program funds for urbanized areas to the states and designated
recipients, which are responsible for receiving and apportioning the FTA funds to eligible projects
and applying for funds on behalf of all eligible subrecipients within the applicable urbanized area
or rural areas. The FTA will apportion the funds to existing Section 5307 or new Section 5339
designated recipients for large urbanized areas and to the states for all areas under 200,000
population. It is codified at 49 U.S.C. 5339 and program guidance can be found in the FTA C 5100.1
Circular
(https://www.transit.dot.gov/sites/fta.dot.gov/files/docs/Final_FTA_C_5100_4-1615.pdf) which was issued on May 18, 2015.
State Program Responsibility
The Governor of Nevada has designated the Nevada Department of Transportation (the NDOT)
as the state’s administering agency for the FTA Sections 5310, 5311 and 5339 programs. The
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NDOT Multimodal Planning Division, Transit Office is responsible for the day-to-day program and
fiscal management and oversight.
This combined State Management Plan (SMP) documents the state’s objectives, policies, procedures
and administrative requirements for all three federal programs, including the distribution and
oversight of federal funds to assist public, Tribal, private for-profit and private nonprofit passenger
transportation systems operating throughout the state, in a form that is readily accessible to the
NDOT staff, the FTA, subrecipients, potential subrecipients and the public. It is reviewed on a
periodic basis to ensure that any new federal regulations are reflected in the plan. It is more
thoroughly revised with each federal transportation funding bill signed into law.
Note: In this document, the terms grantee, subgrantee, applicant and subrecipient are used
interchangeably depending upon the language and circumstances in the FTA Circulars or Master
Agreement and refer to the entities applying to the NDOT for funding under one or more of the FTA
programs.
A. PROGRAM GOALS AND OBJECTIVES
A.1 Section 5310
The NDOT’s goal for administering the Section 5310 program is to promote the availability of cost
effective, efficient and coordinated passenger transportation services that meet the special needs of
seniors and individuals with disabilities when public transportation is insufficient, inappropriate,
or unavailable. Projects selected for these funds are derived from locally developed, coordinated
public transit-human services transportation plans. The NDOT’s statewide plan identifies the
transportation needs of individuals with disabilities, seniors and people with low incomes and
provides strategies for meeting those needs.
With the implementation of MAP-21, the NDOT’s annual Section 5310 allocation was reduced
significantly since this legislation directed Section 5310 funds to large urbanized areas. The NDOT,
however, continues to receive and administer federal funds under the Section 5310 program in the
rural areas of the state and for the small urbanized areas with population between 50,000 and
200,000. With concurrence from the FTA and state’s only small urbanized area, the Carson Area
Metropolitan Planning Organization (CAMPO), the NDOT has relinquished control of the small
urbanized area annual apportionment to CAMPO, which is now a direct recipient of the funds.
The NDOT uses its Section 5310 allocation primarily to purchase handicapped accessible paratransit
vehicles classified as traditional Section 5310 projects as outlined in C 9070.1G.
A.2 Section 5311
The Section 5311 program’s purpose is to support public transportation for people living in any area
outside of an urbanized area, i.e., rural areas, as designated by the U.S. Bureau of the Census.
However, because the program’s goal is to enhance the overall mobility of people living in rural
areas, Section 5311 projects may also include transportation to or from rural areas. It is important
to note that areas not within an urbanized area as of the 2010 U.S. Census, but are included within
the metropolitan area planning boundary, which includes the surrounding area (expected to be
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urbanized within twenty years and/or the air quality nonattainment boundary), are also eligible for
Section 5311 funding.
The NDOT’s Section 5311 program goals are to:
Enhance the access of Nevada citizens located in nonurbanized areas to health care,
shopping, education, employment, public services and recreation;
Assist in the maintenance, development, improvement and the use of public transportation
systems in the rural;
Encourage and facilitate the most efficient use of all federal funds used to provide passenger
transportation in nonurbanized areas through the coordination of programs and services;
Assist the development and support of the intercity bus transportation;
Encourage employment-related transportation alternatives; and
Provide for the participation of private transportation providers in nonurbanized
transportation to the maximum extent feasible.
A.3 Section 5339
The Bus and Bus Facilities Program provides federal funding for capital bus and bus-related projects
to support the continuation and expansion of public transportation services in the United States.
States can, in turn, use these capital funds to supplement their Section 5307 (funding specifically for
use in urbanized areas) and Section 5311 Programs. The NDOT uses its annual FTA Section 5339
funding allocation for bus and facility projects. Specifically, the NDOT exercises its discretion to use
Section 5339 funds for eligible Section 5311 capital projects and to meet Transit Asset Management
(TAM) Requirements (Section V). The NDOT’s goal for this program is to maximize available funding
in a cost-effective manner to meet Section 5311 capital needs and maintain the statewide fleet in a
state of good repair so that it can be used to provide efficient, reliable and safe service. All capital
projects, regardless of funding source, are subject to the NDOT’s eligibility priorities. Additionally,
the NDOT uses only Section 5339 funds for transit facility and facility renovation projects. As with
the state’s small urbanized area annual apportionment of Section 5310 funds, the NDOT has
relinquished control of the Section 5339 small urbanized area apportionment to CAMPO.
B. ROLES AND RESPONSIBILITIES
B.1 Section 5310
The Governor of Nevada, in accordance with 49 USC 5310, has designated the NDOT as the agency
to receive and administer federal funds under the Section 5310 program for the rural areas of the
state and for the small urbanized areas with population between 50,000 and 200,000.
In Nevada, there is only one small urbanized area, the Carson Area Metropolitan Planning
Organization (CAMPO). While the NDOT is the designated recipient of the Section 5310 funds,
CAMPO receives and manages Section 5310 funds and conducts both the project application and
selection processes independent of the NDOT. Additional information is available on the Carson City
website at https://carson.org/.
In the urbanized areas of Washoe and Clark Counties (Regional Transportation Commission (RTC)
of Washoe County (https://www.rtcwashoe.com/) and Regional Transportation Commission (RTC)
of Southern Nevada (http://www.rtcsnv.com/), respectively), the Governor has designated the
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MPOs as the recipients of the Section 5310 funds for these areas. These agencies use their own
project selection and prioritization process. For projects in these two areas, please contact the MPOs
directly. For projects in the Tahoe Area, please contact the Tahoe Regional Planning Agency (TRPA)
(http://www.trpa.org/).
The NDOT’s role in the Section 5310 program is to:
Document the state’s procedures for utilizing the Section 5310 funds in the State
Management Plan (SMP);
Notify the public regarding program availability and solicitation of applications;
Develop the Transit element of the State Transportation Improvement Program (STIP);
Develop project selection and application review processes;
Ensure compliance with federal and state requirements by all subrecipients;
Monitor project activities, fiscal management, project audits and closeouts;
Plan for future transportation needs and coordination throughout the state;
Certify that all projects are derived from a locally developed, coordinated public transit/human
service transportation plan developed and approved through a process that includes
participation by seniors; individuals with disabilities; representatives of public, private and
nonprofit transportation and human service providers; and other members of the public;
Certify that, to the maximum extent feasible, services funded under Section 5310 are
coordinated with transportation services assisted by other federal departments and
agencies;
Ensure that at least 55 percent of the state’s apportionment is used for traditional Section 5310
projects carried out by the eligible subrecipients as described in the FTA Circular 9070.1G
(www.transit.dot.gov/sites/fta.dot.gov/files/docs/C9070_1G_FINAL_circular_42015%281%29.pdf); and
Oversee projects and close outs.
B.2 Section 5311
To the extent permitted by law, the FTA gives each state maximum discretion in designing and
managing the Section 5311 program to meet its rural public transportation needs. Where possible,
the FTA defers to Nevada’s development of program standards, criteria, procedures and policies to
provide the state with the flexibility it needs to standardize its management of the FTA funding and
related state programs to best meet the transportation needs of Nevada’s rural areas.
The Governor designated the NDOT as the agency responsible for the administration of the Section
5311 program. Specifically, the NDOT’s role is to:
Document the state’s procedures in a State Management Plan (SMP);
Notify eligible local entities of the availability of the program;
Solicit applications;
Develop the transit element of the State Transportation Improvement Program (STIP);
Develop project selection criteria;
Review and select projects for approval;
Develop and submit an annual program of projects and grant application to the FTA;
Certify eligibility of applicants and project activities;
Ensure compliance with federal and state requirements by all subrecipients;
Monitor local project activities;
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Oversee project audit and closeout and fiscal management;
Plan for future transportation needs and ensure integration and coordination among
diverse transportation modes and providers;
Ensure that at least 15 percent of the state’s apportionment is used for intercity bus
operations and that all other requirements of the FTA Circular 9040.1G
(https://www.transit.dot.gov/sites/fta.dot.gov/files/docs/FTA_Circular_9040_1Gwith_i
ndex_-_Final_Revised_-_vm_10-15-14%281%29.pdf) are carried out; and
File a National Transit Database (NTD) report each year for each subrecipient.
The NDOT will exercise adequate oversight to ensure that only eligible activities receive federal
assistance and that subrecipients meet federal requirements. In addition to other responsibilities
in administering the Section 5311 program, the NDOT will:
Provide appropriate technical assistance for rural areas;
Ensure that there is a fair and equitable distribution of program funds within the state,
including funds to Native American tribes;
Ensure a process whereby private transit operators are provided an opportunity to
participate, including private providers of public transportation services, through service
agreements with operators of public transportation services or as grantees;
Expend funds for the support of intercity bus transportation to the extent required by law; and
Provide for maximum feasible coordination of public transportation services assisted by the
FTA with transportation services assisted by other federal programs.
The NDOT Multimodal Planning Division’s Transit Office participates in corridor and long- range
planning studies to ensure that the needs of rural transit providers are represented and needed
projects are developed. In addition, the NDOT transit staff works with current subrecipients to
ensure that planning and long-range needs are met. Plan development is achieved with formal
participation from other state agencies, regional and local governments, local transportation entities
and the public.
B.3 Section 5339
The Governor of Nevada, in accordance with 49 USC 5339, has designated the NDOT as the agency
to receive and administer the rural statewide federal funds under this program for capital assistance.
The NDOT is also the designated recipient of Section 5339 funds for the small urbanized areas with
populations between 50,000 and 200,000. In Nevada, there is only one small urbanized area, the
Carson Area Metropolitan Planning Organization (CAMPO). The NDOT allows CAMPO to conduct a
project application and selection process for its Section 5339 funds and to act as the direct recipient
of these funds.
Some of the NDOT’s responsibilities as the designated Section 5339 recipient include but are not
limited to:
Documenting the state’s procedures in the State Management Plan (SMP);
Issuing a notice to the public regarding program availability and solicitation of applications;
Developing the Transit element of the State Transportation Improvement Program (STIP);
Developing project selection and application review processes;
Ensuring compliance with federal and state requirements by all subrecipients;
Monitoring project activities, fiscal management, project audits and closeouts;
Supplementing 5311 programs funds for capital projects;
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Ensuring that funds are maximized for the development and implementation of capital
projects;
Using funds to meet Transit Asset Management goals; and
Ensuring all requirements of the FTA Circular 5100.1
(https://www.transit.dot.gov/sites/fta.dot.gov/files/docs/Final_FTA_C_5100_4-16-15.pdf) are
carried out.
C. COORDINATION
This section is applicable to the Sections 5310, 5311 and 5339 programs.
Coordination is key to developing strong and effective transportation networks within local
communities. A comprehensive approach to planning and managing transit services will enable
communities to identify how coordination would assist them in making the best use of their
resources and strengthen their programs.
Title 49 U.S.C. 5310, as amended by MAP-21 and continuing under the FAST Act, requires a recipient
of the FTA Section 5310 funds to certify that projects selected for funding under this program are
included in a locally-developed, coordinated human services transportation plan that was
developed and approved through a process that included participation by seniors; individuals with
disabilities; representatives of public, private, nonprofit transportation and human service
providers; and other members of the public. This plan requires an extensive public participation
and stakeholder consultation. Plan updates should, at a minimum, coincide with update cycles of
statewide planning processes to ensure that selected projects are included in the STIP and that they
receive funds in a timely manner. The NDOT’s current update (2018) has been released in 2019,
with the next update projected within the next three to five years.
The Nevada Coordinated Human Services Transportation Plan has been developed to include each
Nevada region. Inclusion in a locally developed, coordinated public transit-human services
transportation plan is required for the FTA Section 5310 program and strongly encouraged for
Section 5311 program participants. The Nevada Coordinated Human Services Transportation Plan
focuses on the transportation needs of seniors, individuals with disabilities and low income
populations throughout rural Nevada. Complimentary plans are prepared by the Metropolitan
Planning Organizations for Clark and Washoe Counties, CAMPO and TRPA.
An important goal is to provide the opportunity for a diverse range of stakeholders with a common
interest in human services transportation to collaborate on how best to provide transportation
services for these targeted populations. Specifically, the stakeholders are called to identify service
needs, gaps, barriers and to identify potential solutions for meeting transportation needs.
Stakeholder outreach and participation is a key element to the development of this plan and its
updates. Input is solicited from all current transit providers. Public meetings are held across the state.
The NDOT expects public transit systems to participate in the local and regional planning processes
for the initial as well as in the updates to the coordinated human services transportation plans by
attending all local and regional meetings and providing input, expertise and support. These meetings
are intended to provide opportunities for coordination and to determine the transportation priorities
for the region. The NDOT requires Section 5311 and Section 5339 applicants to describe their ongoing coordination efforts in their respective applications for program funding. Failure to attend the
6
coordinated human services transportation plan meetings by these applicants may be taken into
consideration in the NDOT’s funding decisions.
D. ELIGIBLE SUBRECIPIENTS
D.1.A Section 5310: Traditional 5310 Projects
Section 5310(b) provides that, of the amounts apportioned to states and designated recipients, not
less than 55 percent shall be available for traditional Section 5310 projects—those public
transportation capital projects planned, designed and carried out to meet the special needs of
seniors and individuals with disabilities when public transportation is insufficient, unavailable, or
inappropriate. Further, the law provides that, for these projects, a recipient may allocate the funds
apportioned to it to:
1. A private nonprofit organization; or
2. A state or local governmental authority that:
a. Is approved by a state to coordinate services for seniors and individuals with
disabilities; or
b. Certifies that there are no nonprofit organizations readily available in the area to
provide the service.
These provisions, found at 49 U.S.C. 5310(b)(1) and (b)(2), essentially maintain the status quo for
traditional Section 5310 projects.
Governmental authorities eligible to apply for Section 5310 funds as “coordinators of services for
seniors and individuals with disabilities” are those designated by the state to coordinate human
service activities in an area. Examples of such eligible governmental authorities are a county agency
on aging or a public transit provider which the state has identified as the lead agency to coordinate
transportation services funded by multiple federal or state human service programs.
D.1.B Section 5310: Eligible Subrecipients for Other Section 5310 Projects
Eligible subrecipients for other eligible Section 5310 activities include a state or local governmental
authority, a private nonprofit organization, or an operator of public transportation that receives a
Section 5310 grant indirectly through a recipient.
D.2 Section 5311
Eligible recipients/subrecipients or grantees include states and local governmental authorities,
nonprofit organizations and public transportation or intercity bus service operators that receive the
FTA grant funds indirectly through a recipient. Eligible nonprofit organizations may also serve tribal
transportation needs. In the case of intercity bus projects, private for-profit operators of transit
services or intercity bus services may participate in the program as third- party contractors for
direct recipients, or as subrecipients. Specifically, the NDOT eligible subrecipients include:
State or local governmental authorities;
Nonprofit organizations;
Native American tribes; and
7
Private, for-profit operators of transit service may participate in the program, provided
there are no other public transportation operators.
The NDOT may limit subrecipient eligibility requirements to comply with state laws or to further the
state’s program goals, at its discretion.
D.3 Section 5339
Eligible recipients under this section are designated recipients and states that allocate funds to fixed
route bus operators or state or local government agencies that operate fixed route bus service. A
designated recipient that receives a grant under this section may allocate amounts of the grant to
subrecipients that are public agencies or private nonprofit organizations engaged in public
transportation, including those providing services open to a segment of the general public, as defined
by age, disability, or low income. It is important to note that eligible projects are not limited to projects
that support fixed route only. The complete list of eligible capital projects is included in Section F.3.
The NDOT may at its discretion and in accordance with the FTA guidance limit subrecipient
eligibility requirements to comply with state laws or to further the state’s program goals.
E. ELIGIBLE SERVICES AND SERVICE AREAS
E.1 Section 5310
The NDOT adheres to the FTA Section 5310 program circular—the FTA C 9070.1G—and does not
impose any additional limitations to the program regarding eligible services and service areas.
However, the NDOT does prioritize the purchase of ADA-accessible vehicles as well as project
prioritization identified in the 2018 Coordinated Human Services Transportation Plan.
E.2 Section 5311
The NDOT adheres to the FTA Section 5311 program circular—the FTA C 9040.1G—and does not
impose any additional limitations to the program regarding eligible services and service areas.
Eligible Section 5311 services include any transportation service provided by bus, shared- ride taxi,
or other publicly or privately-owned conveyance that serves the public on a regular basis in
primarily nonurbanized areas. Eligible projects may constitute an entire public transit
system, a service or function within that service, or an individual route or route segment. Service may
include transportation to and from urbanized areas. However, such services should not include both
pick-up and discharge operations wholly within the urbanized area, particularly if the urbanized area
is served by public transit. If Section 5311 funds are used in a joint urbanized and nonurbanized
project, Section 5311 funds must be used primarily to assist the nonurbanized portion of the project.
Urbanized/Nonurbanized services should be coordinated whenever possible (i.e., dropoffs/transfers from demand response providers at the urbanized fixed route stops).
Services not eligible for assistance include any exclusive taxi service and service to individuals or
groups which exclude use by the public.
8
E.3 Section 5339
All nonurbanized areas of the state are eligible service areas for the FTA Section 5339 capital
assistance funds. The NDOT adheres to the FTA Section 5339 program circular—the FTA C 5100.1—
and does not impose any additional limitations to the program regarding eligible services and/or
service areas.
E.4 Meal Delivery for Homebound Individuals
Transit service providers receiving assistance under Section 5310 or Section 5311 may coordinate
and assist in providing meal delivery service for homebound individuals on a regular basis, if the
meal delivery services do not conflict with the provision of transit services or result in a reduction
of service to transit passengers. The FTA expects the nutrition program to pay the operating costs
attributable to meal delivery. Therefore, the FTA funding can neither be used to subsidize the costs
of meal delivery, nor to purchase special vehicles or specialized equipment such as racks or heating
or refrigeration units used solely for meal delivery. Meal delivery reimbursement rates should be
reviewed periodically to ensure the nutrition program is paying all costs attributable to meal
delivery.
E.5 Incidental Use
A rural transit provider may use a Section 5311 vehicle for non-passenger transportation on an
occasional, incidental basis, such as package delivery, if this incidental use does not result in a
reduction of service quality or availability of public transportation service. The incidental use policy,
however, does not preclude the subrecipient’s use of Section 5311 assistance to support the
transportation of passengers by a private provider that is not primarily engaged in passenger
transportation. For example, a subrecipient may use Section 5311 funds to support a contract mail
carrier that incidentally provides intercity passenger transportation, if the carrier has appropriate
regulatory authority to carry passengers. In this example, Section 5311 funds may only be used to
subsidize the passenger transportation services of the mail carrier.
A rural transit provider may design its Section 5311-funded services to maximize use by the public
who are transportation disadvantaged, which include seniors and individuals with disabilities.
Coordinated human service transportation that primarily serves seniors and
individuals with disabilities, but that is not restricted from carrying other members of the public, is
considered to be open to the public if it is advertised as public transportation service.
F. ELIGIBLE ASSISTANCE CATEGORIES
F.1 Section 5310
The Section 5310 program requires that not less than 55 percent of the Section 5310 funding
apportioned to states and designated recipients is used for “traditional” Section 5310 projects—
those public transportation capital projects planned, designed and carried out to meet the specific
needs of seniors and individuals with disabilities when public transportation is insufficient,
unavailable, or inappropriate. Notably, this 55 percent is a floor, not a ceiling— recipients may use
more than 55 percent of their apportionment for this type of project.
9
The NDOT is committed to meeting the 55% traditional Section 5310 project requirement as
specified in the Section 5310 program circular. For these traditional projects, NDOT requires
subrecipients to submit annual program measures:
1) Gaps in Service Filled: Provision of transportation options that would not otherwise be
available for seniors and individuals with disabilities measured in numbers of seniors
and people with disabilities afforded mobility they would not have without program
support as a result of traditional Section 5310 projects implemented in the current
reporting year.
2) Ridership: Actual or estimated number of rides (as measured by one-way trips) provided
annually for individuals with disabilities and seniors on Section 5310–supported vehicles
and services as a result of traditional Section 5310 projects implemented in the current
reporting year.
Further, up to 45 percent of an area’s apportionment may be used for additional public
transportation projects that are considered “other” Section 5310 projects and:
a. Exceed the ADA minimum requirements;
b. Improve access to fixed-route service and decrease reliance by individuals with
disabilities on ADA-complementary paratransit service; or
c. Provide alternatives to public transportation that assist seniors and individuals with
disabilities with transportation.
For these “other” projects, NDOT requires subrecipients to submit annual program measures:
1) Increases or enhancements related to geographic coverage, service quality, and/or
service times that impact availability of transportation services for seniors and
individuals with disabilities as a result of other Section 5310 projects implemented in the
current reporting year.
2) Additions or changes to physical infrastructure (e.g., transportation facilities, sidewalks,
etc.), technology, and vehicles that impact availability of transportation services for
seniors and individuals with disabilities as a result of other Section 5310 projects
implemented in the current reporting year.
3) Actual or estimated number of rides (as measured by one-way trips) provided for seniors
and individuals with disabilities as a result of other Section 5310 projects implemented
in the current reporting year.
The NDOT has determined that Section 5310 funds will be used for the purchase of ADA accessible
vehicles. Only after these needs have been met will the NDOT, at its discretion, consider additional
eligible projects as listed above and described in the 5310 program circular.
F.2 Section 5311
F.2.A Section 5311 Administration Assistance
Project administrative expenses are funded at 80% federal and 20% local. Eligible project
administrative costs may include, but are not limited to:
10
General administrative expenses (e.g., salaries of the project director, secretary and
bookkeeper including fringe benefits);
Marketing expenses;
Insurance premiums or payments to a self-insurance reserve;
Office supplies;
Facilities and equipment rental;
Standard overhead rates; and
The cost of administering drug and alcohol testing.
Interest on short-term loans for operating assistance is eligible as project administration if it
receives the NDOT’s prior approval in writing. Additionally, administrative costs for promoting and
coordinating ridesharing are eligible project administration expenses, if the activity is part of a
coordinated public transportation program (see Section C).
Under the Section 5311 program, the NDOT may treat project administrative expenses incurred by a
local provider as a separate cost category from either capital or operating expenses. This allows the
NDOT to consider administrative expenses as “non-operating” expenses.
F.2.B Section 5311 Capital projects
Capital projects are funded at a ninety-five percent (95%) federal funding percentage according to
the NDOT’s established sliding scale. The local share for capital assistance is five percent (5%) of the
net expense. Capital expenses include the acquisition and improvement of public transit equipment
and facilities needed to operate an efficient public transit system. By the FTA definition, all capital
expenses include facilities or equipment with a useful life of at least one year. Eligible capital
expenses may include, but are not limited to:
Buses;
Vans and other paratransit vehicles;
Radios and communications equipment;
Passenger shelters, bus stop signs, park and ride lots and similar passenger amenities;
Wheelchair lifts and restraints;
Vehicle rehabilitation, re-manufacture, or overhaul;
Preventive maintenance, defined as all maintenance costs;
Extended warranties which do not exceed industry standards;
The public transportation portion of ferry boats and terminals;
Operational support such as computer hardware or software;
Installation costs, vehicle procurement, testing, inspection and acceptance costs;
Construction or rehabilitation of transit facilities including design, engineering and land
acquisition;
Facilities to provide access for bicycles to transit facilities or equipment for transporting
bicycles on transit vehicles;
Lease of equipment or facilities when lease is more cost effective than purchase. The NDOT
does permit leasing of buildings under the Section 5311 program; it is considered an
Administrative Expense. (Note: When leasing of equipment or facilities is treated as a capital
expense, the NDOT must establish criteria for determining cost effectiveness, in accordance
with the FTA Regulations, “Capital Leases,” 49 CFR Part 639);
Capital portion of costs for service-provided-under-contract. The capital cost of contracting
includes depreciation and interest on facilities and equipment, as well as allowable capital
costs such as preventive maintenance. (Under the capital cost of contracting, only privately-
11
owned assets are eligible. The subrecipient may not capitalize under the contract any capital
assets (e.g., vehicle, equipment, or facility) that have any remaining federal interest in them, or
items purchased with state or local government assistance. Similarly, subrecipients may not
capitalize under the contract any costs incurred delivering services ineligible for the FTA
assistance (e.g., charter or school bus service). Subrecipients may compute capital costs as a
fixed percentage of the contract without further justification (Appendix G of the FTA C 9040.1G
provides additional information on the capital cost of contracting);
Joint development improvements which expressly include the following: (1) commercial and
residential development; (2) pedestrian and bicycle access to a public transportation facility;
(3) construction, renovation and improvement of intercity bus and intercity rail stations and
terminals; and (4) renovation and improvement of historic transportation facilities. (49 U.S.C.
5302(a)(1)(G). These and other joint development improvements will be eligible for the FTA
funding if they satisfy the eligibility criteria set forth at 49 U.S.C. 5302(a)(1)(G) and do not fall
within the exclusion detailed at 49 U.S.C. 5302(a)(1)(G)(ii), which excludes the construction of
a commercial revenue-producing facility (other than an intercity bus station or terminal) or a
part of a public facility not related to public transportation. Final guidance for joint
development projects was published in the federal Register on February 7, 2007 (72 FR
5788).);
Introduction of new technology, through innovative and improved products, into public
transportation;
Mobility management, which consists of short-range planning, management activities and
projects for improving coordination among public transportation and other transportation
service providers, carried out by a recipient or subrecipient through an agreement entered
with a person, including a governmental authority, but excludes operating expenses;
Crime prevention and security (including projects to refine and develop security and
emergency response plans; projects aimed at detecting chemical and biological agents in public
transportation; the conduct of emergency response drills with public transportation agencies
and local first response agencies; and security training for public transportation employees;
but excluding all expenses related to operations, other than such expenses incurred in
conducting activities described above);
Transit-related Intelligent Transportation Systems (ITS);
Americans with Disabilities Act of 1990 (ADA) Paratransit service operating costs (as a capital
expense, may not exceed 10 percent of the state’s annual apportionment of Section 5311 funds
and subrecipients may only use Section 5311 funds for this purpose when they comply with
ADA requirements for both fixed route and demand-responsive service, when provided); and
Replacement/spare vehicle components for program vehicles that have one or more years of
useful life remaining and demonstrate a good maintenance record.
F.2.C Section 5311 Mobility Management
Mobility Management is an eligible capital expense under the Section 5311 Program. The FTA
provides funding assistance to these projects at up to 95% of the project cost with minimum
required local match percentage of 5%. Mobility Management projects consist of short-range
planning and management activities and projects for improving coordination and cooperation
amongst human service agencies, advocacy groups and public transportation providers. The
primary goal of the program is to enhance transportation access for populations beyond those
served by any one agency or organization. It is also intended to build coordination among existing
public transportation providers and other transportation service providers with the result of
expanding the availability of service. Mobility Management does not include operating public
transportation services.
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Typically, mobility management expenses would include salary, fringe benefits, computer(s) and
software. Other expenses such as travel, office supplies, or agency overhead should be discussed
with and receive prior written approval from, the NDOT. Timesheets for any salary are required as
part of the reimbursement request with dedicated line items or project codes for time spent on
mobility management activities.
F.2.D 5311 Operating Assistance and Farebox Revenues/Fares
The NDOT funds operating assistance at 59.38% federal and 40.62% local. Farebox and other
operating revenue must be used to reduce the overall project operating costs eligible for federal
funding.
Local match must be derived from sources other than federal funds, except where permitted by
specific federal program language. Local match may come from:
State or local appropriations
Dedicated tax revenues
Private donations
Net income generated from advertising and concessions
Unrestricted federal funds such as Title III-B of the Older Americans Act
Service agreements with a state, local or a private human service agency
Operating expenses are those costs directly related to transit system operations. At a minimum, the
following items are considered operating expenses:
Fuel;
Oil;
Drivers’ salaries and fringe benefits;
Dispatcher salaries and fringe benefits; and
Licenses.
Maintenance costs, including preventive maintenance, may be included as part of operating costs or
may be capitalized (see Section F.2.E).
Only net operating expenses are eligible for assistance. Net operating expenses are those expenses
that remain after the total operating revenues are subtracted from total eligible operating expenses.
Operating revenues must, at a minimum, include farebox revenues.
Farebox revenues are fares paid by riders (cash fares, tickets, passes, etc.), including those fares that
are reimbursed by a human service agency or other subsidy arrangement. Fares, as indicated
previously, are operating revenue and, therefore, cannot be used as local match or as non-federal
share for any of the FTA’s grant programs. Farebox revenue is used to determine “net project cost”
for operating assistance grants only and is not considered program income for capital assistance
grants (refer to the FTA Circular 5010.1E (https://www.transit.dot.gov/regulations- andguidance/fta-circulars/award-management-requirements-circular5010-1e-word-version).
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F.2.E Section 5311 Preventive Maintenance
The local share for capital assistance, including Preventive Maintenance, is five percent (5%) of the
net expense. Eligible preventive maintenance costs may include:
Oil
Replacement parts;
Contracted maintenance; and
Cost of tires and tubes.
Warranty recovery should be deducted from these expenses.
F.3 Section 5339
In accordance with the 5339 program circular, the NDOT considers eligible capital projects to include
those to replace, rehabilitate and purchase buses and related equipment and projects to construct
bus-related facilities. This includes, but is not limited to:
The acquisition of buses for fleet and service expansion;
Bus maintenance and administrative facilities;
The acquisition of vans for fleet and service expansion, including specialized vans and
related facilities used to provide ADA complementary paratransit service:
Transfer facilities;
Bus malls;
Transportation centers;
Intermodal terminals;
Intercity facilities which are part of a joint development project;
Park-and-ride stations;
Acquisition of replacement vehicles;
Bus rebuilds;
Bus overhauls;
Passenger amenities such as passenger shelters and bus stop signs;
Accessory and miscellaneous equipment such as:
o Mobile radio units;
o Supervisory vehicles;
o Fare boxes;
o Computers; and
o Shop and garage equipment.
Clean Fuels Projects. Purchases under this category are passenger vehicles used to provide
public transportation and powered by compressed natural gas (CNG), liquefied natural gas
(LNG), biodiesel fuels, batteries, alcohol-based fuels, hybrid electric, fuel cell, clean diesel (ultralow sulfur content), or other low or zero emissions technology. Eligible activities also include
constructing or leasing clean fuel buses, constructing electrical recharging facilities for such
buses and constructing new or improving existing public transportation facilities to
accommodate clean fuel buses.
Introduction of New Technology. Section 5339 funds may be used for transit-related
technology, such as innovative and improved products that provide benefits to transit,
including Intelligent Transportation Systems (ITS). ITS refers to the use of electronics,
communications, or information processing used as a single component or in combination to
improve efficiency or safety of a transit or highway system. Examples of transit-related ITS
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projects include:
o Real-time bus arrival information available to passengers through electronic
displays at bus stops;
o Automatic vehicle locators;
o Automated passenger counters;
o Vehicle component monitoring (diagnostics);
o Advanced fare payment methods
o Computer-aided dispatching and real-time ridesharing; and
o Automated information for travelers using more than one mode of transportation.
Costs associated with environmental compliance including engineering and design activities are
eligible capital expenses. This includes the preparation of environmental documents. NOTE:
Planning activities, preventive maintenance activities (other than bus overhauls) and mobility
management activities are not eligible under the Section 5339 Bus Program.
Design and Art in Transit. Federal transit funds to support public art in transit facilities were
discontinued with MAP-21. However, art can be incorporated into facility design, landscaping
and historic preservation, for example, using floor or wall tiles that contain artistic designs or
patterns, use of color, use of materials, lighting and the overall design of a facility. In addition,
eligible capital projects include incidental expenses related to acquisition or construction,
including design costs. Therefore, the incidental costs of incorporating art into facilities and
including an artist on a design team continue to be eligible expenses.
Leasing of Capital Assets. When a recipient/subrecipient leases capital assets from another party,
leasing costs are eligible for capital assistance, provided leasing is more cost effective than
purchase or construction. Leasing costs eligible for capital assistance include finance charges and
ancillary costs such as delivery and installation charges. Leasing of capital assets requires
compliance with 49 CFR part 639, “Capital Leases,” and Office of Management and Budget (OMB)
Circular A–94 which prescribes the discount rates.
Capital Cost of Contracting. Some of the FTA recipients/subrecipients turn to an outside source
to obtain public transportation service, maintenance service, or vehicles that the
recipient/subrecipient will use in public transportation service. When a recipient/subrecipient
enters into a contract for such service, the FTA will provide assistance for the capital consumed
during the contract. In the case of a contractor providing vehicles for public transportation
service, the capital consumed is equivalent to the depreciation of the vehicles in use in the public
transportation service during the contract period. In the case of a maintenance contract, the
capital consumed may be, for example, depreciation of the maintenance garage, or depreciation
of the machine that lifts the vehicle. Capital consumed may also include a proportionate share of
the interest the contractor might pay out as the contractor purchases and makes available to the
recipient/subrecipient these capital assets. The FTA refers to the concept of assisting with capital
consumed as the “capital cost of contracting.” Only the costs attributable to the privately-owned
assets are eligible under this policy. The FTA does not provide assistance for any preventive
maintenance activities under the Section 5339 Bus Program. With one exception (a public
transportation vehicle privately owned in which the recipient has invested the FTA funds from the
Over-the-Road Bus Accessibility Program to finance incremental capital costs of complying with the
Americans with Disabilities Act (ADA)), items purchased with federal, state, or local government
assistance are not eligible.
Currently, the NDOT uses only Section 5339 funds for facilities and facility renovation projects.
Applicants are encouraged to discuss with the NDOT at the earliest point in the project to determine
funding needs and potential funding sources. Subrecipients are encouraged to consult the FTA’s
website to review the “Project and Construction Management Guidelines” and the “Construction
Project Management Handbook” for guidance on the development and management of construction
Awards. These two resources can be found at (https://www.transit.dot.gov/funding/grants/bus15
bus-facilities-infrastructure-investment-program).
G. LOCAL SHARE AND LOCAL FUNDING REQUIREMENTS
G.1 Section 5310
The local share of eligible capital costs is typically 20 percent of the net cost of the activity and the
local share for eligible operating costs shall not be less than 50 percent of the net operating cost. The
local share may be provided from an undistributed cash surplus, a replacement or depreciation cash
fund or reserve, a service agreement with a state or local service agency or private social service
organization, or new capital. Some examples of these sources of local match include: State or local
appropriations; dedicated tax revenues; private donations; revenue from service contracts;
transportation development credits; and net income generated from advertising and concessions.
Noncash share such as donations, volunteered services, or in-kind contributions is eligible to be
counted toward the local match if the value of each is documented and supported, represents a cost
which would otherwise be eligible under the program and is included in the net project costs in the
project budget. Income from contracts to provide human service transportation may be used either to
reduce the net project cost (treated as revenue) or to provide local match for Section 5310 operating
assistance. In either case, the cost of providing the contract service is included in the total project cost.
No FTA program funds can be used as a source of local match for other FTA programs, even when used
to contract for service. However, the local share may be derived from federal programs that are
eligible to be expended for transportation, other than DOT programs, or from DOT’s Federal Lands
Highway program. Examples of potential sources of local match include: employment, training, aging,
medical, community services and rehabilitation services. The federal share may exceed 80 percent
for certain projects related to ADA and Clean Air Act (CAA) compliance. For example, for vehicles, the
federal share may be increased to 85 percent for the acquisition of vehicles for purposes of complying
with or maintaining compliance with ADA (42 U.S.C. 12101 et seq.). A revenue vehicle that complies
with 49 CFR part 38 may be funded at 85 percent federal share. The NDOT only funds ADA-accessible
vehicles under this program.
G.2 Section 5311
Following are the matching requirements for the different Section 5311 program elements:
Capital
Operating
Preventive Maintenance
Project Administration
Intercity Operating
Mobility Management
Maximum
Federal Share
Local Share
Requirement
95%
59.38%
95%
80%
59.38%
95%
5%
40.62%
5%
20%
40.62%
5%
G.2.A Local Match Resources
Typically, local match must be provided from non-federal sources. Federal funds—including other
16
DOT program funds, e.g., Section 5310—cannot be used as local match. Some federal funds can,
however, be used as local match, including:
Older Americans Act, Title III
Temporary Assistance to Needy Families (TANF)
Tribal Transportation Program (replaced the Indian Reservation Road program)
Federal Lands Transportation Program (FLTP)
Community Services Block Grant Funds (CSBG)
Community Development Block Grants (CDBG)
Medicaid Transportation Funds
Non‐federal local match can be in the form of contract revenue, derived as part of purchase‐of‐
service agreements with human service agencies, only if the funding source is local or state. If the
source is federal, the revenue will only be considered as local match if allowed by the federal funding
source. It should be noted though, that funds derived from purchase‐of‐service agreements pursuant
to service agreements with a state, local human service agency, or a private human service
organization may be treated as local rather than federal funds, even though the original source of
such funds may have been another federal program. Examples of non‐federal local match sources
include:
State or Local Appropriations
Dedicated Tax Revenues
Private and Non-Profit Donations
Net Income Generated from Advertising and Concessions
University/School Contributions
Note that any of the above sources can be used as local match; however, local government financial
support is a key element in developing and sustaining an effective transit program.
G.2.B In-Kind Contributions
In‐kind contributions are also allowable as part of an applicant’s local match, but must be:
1. Documented in the application and the applicant’s accounting system.
2. Approved in advance of use by the NDOT.
3. Included in the NDOT agreement.
In‐kind contributions may be used toward the local match only if 1) the subrecipient formally
documents the value and its rationale for determining the value of each non‐cash share, and 2) this
value represents a cost that would otherwise be eligible under the project. Certain forms of in‐kind
match (e.g., a volunteer driver) might be acceptable in lieu of cash but must be supported by the
same method that the subrecipient uses to support the allocability of regular personnel costs (i.e.,
hours must be documented, an hourly rate assigned, etc.). The net project cost must include the value
of any in‐kind contributions included to the extent it is used as local match. The NDOT may seek FTA
approval prior to the use of in-kind share prior to using it in any program of projects (POP).
In-kind match is reimbursable as a paid expense. However, the “expense” amount reported must be
utilized within the transit program and not taken as profit. As an illustration, consider an agency
whose out of pocket expenses for fuel, dispatch, and insurance total $2,000 and donated volunteer
driver time is valued at $1,400. Total cash outlays = $2,000 and total project cost = $3,400. Assuming
a 50% match, the amount eligible for reimbursement would be $1,700, so the actual cash required
17
to pay the expenses would be $300. See table below.
Totals
Cash
Outlays
A
In-Kind
Contributions
B
Total
Project
Cost
C
=A+B
% FTA
Share
D
Eligible
Amount
E
=DxC
$2,000
$1,400
$3,400
50%
$1,700
Reimbursable
Amount
F
Limited
to
the lesser of
eligible
amount (E) or
the
cash
outlays (A)
$1,700
Local
Match
Required
G
=C–F
$1,700
Out of
Cash
Match
Needed
H
Local
match
required
minus inkind (G-B)
$300
It is important to note that the entire local match for most capital projects must be in cash.
In‐kind can be used, however, towards the match for construction projects with the NDOT’s prior
written approval.
G.2.C Advertising Sales and Revenue
Transit systems can earn revenue for use as local match from the sale of advertising space. The net
income (revenue received minus expenses) generated from advertising can be used for any or all of
the local share. Advertising space on transit vehicles has the advantage of an on-board captive
audience, consistent visibility in the community and is typically a low-cost advertising option that
results in long term contracts. Advertising spaces can include:
On vehicles (interior and exterior);
At permanent passenger waiting areas;
On printed fare media; and
On marketing materials (schedules, brochures, promotional items).
Depending upon the nature of the business purchasing advertising, advertising space can be
negotiated, sold or leased for cash revenue, or exchanged for “in-kind” services, materials and even
capital, including:
Cash revenue;
In-kind services (radio advertising time; newspaper advertising space; vehicle or sign painting;
passenger shelter building; printing; design work; uniforms; maintenance; driver training);
Materials (parts; supplies; fuel; oil; uniforms); and/or
Capital (vehicles; office furniture; computer equipment).
Bus “wraps” or having a business or community group “adopt” a vehicle are other methods that can
generate transit system revenue. Advertising revenues and income generated from concessions may
be included as local match or applied to the gross operations with farebox.
G.3 Section 5339
The federal share for eligible capital under the Section 5339 program is eighty percent. The remaining
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20 percent local match can be provided from a variety of sources, including but not limited to funds
from local communities or counties, the State of Nevada, or other eligible resources. The federal share
may exceed 80 percent for certain projects related to ADA and Clean Air Act (CAA) compliance. For
example, the federal share may be increased up to 85 percent for the acquisition of vehicles for
purposes of complying with or maintaining compliance with ADA (42 U.S.C. 12101 et seq.). The NDOT
only funds ADA-accessible vehicles under this program.
Local matching funds are primarily cash contributions from local or state sources. The local share
may include state or local appropriations, dedicated tax revenues, private donations, or net income
generated from advertising and concessions.
Noncash shares such as donations, volunteered services, or in‐kind contributions can be counted
toward the local match only if the recipient formally documents the value of each noncash share and
if this value represents a cost that would otherwise be eligible under the project. The net project cost
must include the value of any in-kind contributions included in net project cost to the extent it is used
as local match. States should reference Federal Administrative Rules for Grant and Cooperative
Agreements, 49 CFR parts 18 and 19, for more information.
H. PROJECT SELECTION CRITERIA AND METHOD OF DISTRIBUTING FUNDS
H.1 Project Selection and Funding Distribution
The NDOT uses the same project selection process for all grants (Sections 5303, 5304, 5310, 5311
and 5339). The applications are accepted mid-February (when annual apportionments are
announced) to mid-April each year. The applicant must also demonstrate that it has the requisite
legal, financial and technical capacity to carry out the program and to implement and manage the
project.
The NDOT Transit Office reviews the applications for eligibility and completeness, with further
evaluation resulting in a scoring and ranking of applications based on the following criteria for each
funding type. While final scoring will correlate to the allocation of funding, statewide priorities and
funding availability may result in adjustments to actual awards. The top priority is to fully fund all
eligible application projects.
Project Need – projects will be evaluated upon the need for services, how the need was
determined, and assessing the current services in the area. Applicants should consider whether
the project meets the needs of the individuals it serves and how the need was determined. For
capital assets, the applicant should demonstrate how the need for the project was determined
according to the NDOT’s Transit Asset Management (TAM) Plan, funding availability,
maintenance records, etc. It should also be noted how the asset will be utilized and how it will
affect or improve the services provided. The NDOT will prioritize current recipients and projects.
It is recommended that a needs assessment include the following elements, particularly for new
applicants or existing applicants proposing an expansion of service:
• Transportation needs for human services clients as well as the public;
• Frequency and times of transportation needs (e.g., service gaps such as early morning
service, evening, weekend, etc.;
• Revenue sources to provide an adequate level of service to meet these needs;
• Existing transportation services, both public and private as well as existing vehicles in the
service area, including their type, age, condition, seating capacity and whether for sale,
lease or shared use;
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• New vehicle and other capital needs;
• Local government support of rural transit; and
• Multi-year (4–5 year) financial plan.
Financial & Technical Capacity – financial and technical capacity will be evaluated upon assessing
the financial and technical capacity of the applicant to carry out the proposed services. The NDOT
will consider whether project expenses reasonable and fiscally constrained, and how the budget
compares with project budgets from prior years and/or the proposed budgets of similar grant
applicants/projects. The NDOT will also consider whether proper staffing exists to carry out the
program.
Coordination and Cooperation – coordination and cooperation efforts will be evaluated upon data
provided in the application regarding the level and quality of coordination efforts described and
evidenced by the applicant and/or other providers of transportation in the surrounding area. The
applicant should demonstrate how well it has coordinated services with other operators or
participated in cooperative efforts with mobility managers, human services agencies, etc.
Additionally, any improvements that have been made to enhance rider access, the service area
and/or overall mobility should be highlighted.
Compliance Risk – compliance risk will be evaluated based upon application responses,
compliance monitoring results, and biannual risk assessments conducted by the Transit Office.
The likelihood that the applicant will present, or continue to present, a risk to the NDOT in
complying with federal regulations will factor in greatly. If the NDOT would be required to
expend an above average amount of time and resources in getting the applicant into or
maintaining its compliance, it leaves less availability for other projects and administrative duties.
Previous Project Performance – previous performance will be evaluated upon data provided and
available to the Transit Office. Criteria will be evaluated to assess the ability of the applicant to
successfully and efficiently perform the proposed services with the funding requested and/or
available. Performance measures and other data such as cost per revenue mile, cost per revenue
hour, total unlinked passenger trips, farebox recovery ratio, etc relative to applicant agency
trends and outside agency trends will be considered.
Fiscal Performance and Budget – Budgets will be evaluated for project expenses, projected
revenues, and local match commitments. Of note will be the application of cash match versus inkind, and percentage of project revenue relative to operating expenses. Fiscal performance will
be reviewed based upon previous awards, reimbursement requests, and funding usage. These
criteria will be evaluated to assess the ability of the applicant to perform the proposed services
with the funding requested and/or available.
It should be noted that not all the above criteria will be relevant to capital requests. Once final project
selections and funding allocations have been made by Transit staff, recommendations will be sent to
the NDOT’s Front Office and then to the FTA as a Program of Projects (POP) for review and approval.
H.2 Statewide Transit Program Dispute/Resolution/Appeal Process
Should an applicant wish to appeal the NDOT funding decision, the following process must be used
for the appeal to be recognized as valid:
1. Letters of appeal must clearly identify the applicant, contact person, address, phone
number, project description and grounds for appeal.
2. Letters of appeal must be hand carried or sent by certified mail and be received by the
Department within thirty (30) calendar days of the notification of selection.
3. All letters of appeal must be addressed and/or delivered to the Nevada Department of
Transportation; Assistant Director of Planning, Attn: Transit Manager; Multimodal
Planning Division; 1263 S. Stewart St.; Carson City, NV 89712.
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The NDOT Transit Manager will review the appeal with the NDOT Assistant Director of Planning and
notify the applicant of the review and any decision within fifteen (15) business days of receipt.
If the applicant is not satisfied with the Program Administrator’s response, an appeal may be made
to the NDOT Director’s Office, care of the Assistant Director of Planning (see above address). This
second appeal must be sent by certified mail and be received within ten (10) business days of the
response from the Program Administrator. The Assistant Director of Planning will provide a written
response to the applicant within fifteen (15) business days of the
receipt of the appeal to the Director’s office. Any decision made by the Assistant Director of Planning
will be final.
I. INTERCITY BUS TRANSPORTATION (SECTION 5311(f))
The NDOT is required by the FTA to spend at least fifteen percent (15%) of its total Section 5311
apportionment “to carry out a program for the development and support of intercity bus
transportation.” The purpose of the Intercity Bus Program is to establish, preserve and enhance rural
and small urban intercity transportation.
Program goals are to support connectivity between rural and urbanized areas, operating services
to meet the intercity travel needs of residents in small urban and rural areas, the establishment,
enhancement and preservation of essential intercity bus services on deficient corridors and to
establish a network of intercity bus services and connectivity within a national system.
The NDOT awards at least 15% of its formula funds to both intercity and intercity feeder routes
under the Intercity Program. Per FTA requirements, the NDOT will not fund intercity routes that do
not demonstrate a significant benefit to rural communities. Operating assistance is funded at
59.38% federal and 40.62% local. Currently, the NDOT is not funding any capital projects under this
program.
Intercity routes are characterized as routes between two urbanized areas that make a meaningful
connection with a rural area. Intercity feeder routes are those which connect a rural area to an
urban area or a rural area to an intercity route. These routes must connect to a larger intercity
network to be considered for intercity funding. The marketing materials and websites must indicate
that the service is either an intercity route or an intercity feeder route. All routes have limited stops
in the communities served and must allow passengers to carry baggage.
As with all Section 5311 operating programs, the NDOT funds a portion of the operating deficit after
fare revenues have been deducted. Capital assistance may be used to purchase vehicles or vehiclerelated equipment such as wheelchair lifts for use in intercity service. Charter and tour services are
not eligible for the FTA assistance.
The NDOT annually publishes a notice in newspapers statewide and on the NDOT website soliciting
intercity bus projects. The NDOT sends copies of the notice to Greyhound, American Bus Association
(ABA) and United Motorcoach Association (UMA), as required.
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J. ANNUAL PROGRAM OF PROJECT DEVELOPMENT AND APPROVAL PROCESS
J.1 Project Solicitation, Notice of Availability
The NDOT solicits the FTA grant funding applications annually for Sections 5310, 5311 and 5339 by
advertising in over twenty (20) newspapers throughout the state including cultural and statewide
publications. The advertisements include the contact information for obtaining applications and the
link to the NDOT website where applications can be downloaded electronically. All documents must
be signed by individuals with signature authority for the applicant as well as the applicant’s legal
counsel.
In addition to advertisements in statewide newspapers, all agencies interested in applying for the
FTA funding throughout the year are encouraged to review the NDOT grant application and
instructions available on the NDOT website. Applications can also be requested by mail. Every
effort is made to ensure that all eligible organizations are notified. Eligibility is based only on
federal guidelines for program compliance, without regard to race, color, or national origin.
Current applicants, MPOs and regional planning organizations are also notified of application
availability.
J.1.A Application Submission by Subrecipients
The NDOT requires a separate application addendum for each funding type (operating or capital).
The operating assistance addendum is submitted for operating, program administration, capitalized
maintenance and mobility management program assistance. The addendum must include
information about the project, a justification, coordination efforts, as well as budget and match
sources for the project. If the same applicant is also applying for capital assistance funding, a separate
addendum must be submitted.
Federal law recognizes the special concerns of private transportation providers that compete with
public mass transit authorities. By law, existing private transportation providers are afforded certain
safeguards from competition. Specifically, FTA is prohibited from providing federal assistance to a
governmental body that provides service in competition with, or supplementary to, service currently
provided by a private transportation company, unless FTA finds that the local transportation
program developed in the planning process provides for participation by private transportation
companies to the maximum extent feasible. While FTA supports the participation of private transit
providers in local mass transportation programs, FTA no longer imposes prescriptive requirements
for determining whether a grant applicant has made adequate efforts to integrate private enterprise
in its transit program, as explained in the FTA Federal Register Notice "Private Enterprise
Participation," of April 26, 1994.
Applicants must ensure that private-for-profit and private non-profit transit operators are given the
opportunity to participate in the planning and implementation of the project to the maximum extent
feasible. This includes soliciting private companies’ participation in their planning process and
encouraging private companies to actively participate in the planning process. Applicants must
provide reasonable notice to all transportation providers in the proposed service area to inform
them of the project and ascertain whether the private providers could participate in the project.
This is accomplished by publishing a public notice in a newspaper of general circulation and/or on
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the applicant’s website, by sending a letter of intent directly to private providers, or by conducting
a public participation process.
J.2 One-Year Grant Funding Cycle
For Sections 5310, 5311 and 5339 projects, the NDOT funds projects on a one-year funding cycle.
Applicants are required to submit a complete application on or before the application deadline
to be considered for funding. Agencies must be in good standing to receive funding.
Funding agreements will be issued for a one-year period of performance (see Section J.3).
J.3 Period of Performance
The period of performance for subrecipient operating assistance agreements is October 1 to
September 30 of each year. It is the NDOT’s intention that operating assistance agreements will be
for a period of one year with no extensions. If an agreement extension is requested due to
extenuating circumstances, it must be submitted to the NDOT for prior approval.
The NDOT may establish different periods of performance for projects that are programmed for
funding but have not yet met all the statutory or administrative requirements of the programs
pursuant to the applicable FTA Circulars. Additionally, some projects for capital acquisitions, such as
vehicles or construction projects may extend beyond one year. This is necessary to cover the period
of review in compliance with useful life regulations.
J.4 Data Universal Numbering System (DUNS)
Subrecipients are required to provide their DUNS number to the NDOT prior to the issuance of any
grant agreements, contracts and/or awards.
J.5 Annual Grant Submission and Program of Projects (POP)
The NDOT’s review and approval process is approximately six (6) months. Applications for the
Sections 5310, 5311 and 5339 programs recommended for funding are then incorporated into a
Program of Projects (POP) (identified by applicant and project, including a project budget) by the
NDOT for each program and submitted to the FTA regional office for review and approval.
POP projects are identified as either Category A or B projects, depending on their level of readiness
(all information has been provided (Category A) or information is still pending (Category B). The
FTA awards grants and obligates funds for the total amount the NDOT requests for both categories.
The FTA grant award constitutes the FTA approval of the NDOT’s annual POP and constitutes the
FTA approval of Category A projects. For those projects, the NDOT may draw down federal funds to
reimburse expenses incurred for Category A projects immediately upon execution of the grant
agreement between the NDOT and the FTA.
The FTA’s grant award constitutes only conditional approval of Category B projects. Once the
subrecipients have met all applicable federal requirements, the NDOT may advance those projects
to Category A and then draw down funds. The FTA’s prior approval is not required for advancing a
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project from Category B to A.
Once the NDOT receives the FTA approval, applicants are notified in writing of their award.
J.6 Revisions to Program of Projects/Subrecipient Budget Revisions
Any revisions to the FTA approved Program of Projects are normally requested by subrecipients in
consultation with the NDOT Transit Office in accordance with the provisions outlined in the
applicable FTA circulars. Transit Office staff review and approve or deny all budget revisions. Written
agreement amendments developed for funding increases above those approved in the annual
Program of Projects are signed and executed by the NDOT Director and subrecipient designee.
The FTA’s approval is not required to reallocate funds among projects included in the approved
POP, so long as any single change does not exceed 20 percent of the affected project. Section 5310
projects must be consistent with the locally developed, coordinated human services transportation
plan from which the projects were selected. The NDOT’s Section 5310 request for approval includes
documentation that the proposed changes in the POP are projects that are included in a locally
developed coordinated plan.
In accordance with the FTA Circulars, the NDOT may make revisions in the POP without prior
notification to the FTA for such things as deleting a project from the POP, if the project cost is less than
20 percent of the total of the affected POP, or advancing projects from Category B to A, provided the
prospective subrecipient is following all applicable federal requirements. Other changes as outlined
in the applicable program circular require either the FTA notification or approval prior to taking any
POP action. See the applicable FTA circulars for additional guidance.
J.7 Annual Calendar of Events
The NDOT Transit Office performs regular program administration duties throughout the year, many
of which are included in day-to-day duties. Others are done annually or less frequently, as required.
Below is a list of aspects of program administration that are performed annually; tasks performed less
frequently are discussed later in this document. Tasks such as data collection from grantees,
participation in internal and external meetings (i.e., the Transportation Planning Advisory
Committee), grantee training and monitoring, and grant reconciliation and drawdown are performed
throughout the year or as needed.
October
Receive final grantee billings and ridership reporting from previous federal fiscal
year (fourth quarter)
Attend SPR meeting with FHWA regarding transit program
Submit MPR/FFR reports to the FTA
Complete semi-annual risk assessments (first quarter – October)
November Transfer vehicle ownership, if applicable, to grantees
December Review and finalize vehicle procurement order with Equipment Division (first
quarter)
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January
Perform updates to application packet to reflect new guidelines or requirements
February
Solicit grant applications via newspaper and/or letters (second quarter)
March
Submit annual Management Information System report to the FTA (collection of
data applicable only to Section 5311 subrecipients)
April
Begin application review (third quarter)
Complete semi-annual risk assessment (third quarter – April)
Complete the annual FTA Certifications and Assurances (third quarter)
May
Select projects for the next federal fiscal year (third quarter)
Provide selected projects and funding amounts for review and inclusion in the annual
STIP update (third quarter)
June
Provide grantees notice of award letters (third quarter)
July
Complete and submit new federal fiscal year grants to the FTA via TrAMS (fourth
quarter)
August
Send the NDOT agreements to grantees for signature (fourth quarter)
Prepare grantee agreements for vehicles, operating funds, and project administration
(fourth quarter)
Conduct annual program training for grantees
September
Execute grantee agreements (fourth quarter)
ALL YEAR
Grantee liaison/public relations
Data collection from grantees, i.e. monthly ridership, vehicle maintenance
reports, etc.
Transportation Planning Advisory Committee (TPAC) meetings as scheduled
Grantee training and monitoring
J.8 Sections 5310, 5311 and 5339 Public Notice Requirements
To ensure that meaningful and timely public input is provided in the development and
implementation of the Sections 5310, 5311 and 5339 Grant Programs, each applicant will be
required to publish a public notice briefly explaining its grant application and the services intended
to be offered and the impact upon the citizens within the established service area, if the application
is funded. The notice must also offer an opportunity for requesting a public hearing by public and
private providers of transit and paratransit services; regional, county and local governments;
citizen and consumer groups or individuals, including minorities, the economically disadvantaged,
individuals with disabilities; and labor organizations.
To provide a fair and timely opportunity to participate to the maximum extent feasible in the
development of the program by each of these groups, the public notice must be published in
newspapers of general circulation in the area to be affected by the proposed project, including any
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newspapers oriented to the minority community as follows:
1. The NDOT requires that the notice is advertised at least twice in each newspaper within a
fifteen (15) day period, with at least seven (7) days between each of the two (2)
advertisements.
2. Comments must be accepted for at least fifteen (15) days from the date of the last notice.
The Public Notice must also be sent to each transportation provider within the service area. This step
will ensure that all operators have been notified of the potential Section 5311 project, to foster
coordination activities. A copy of the public notice, certificates of publication and all correspondence
mailed to each operator in the system's service area must accompany the Section 5311 application
submitted to the Transit Office.
J.9 Public Hearing Requirement, if Requested
If a public hearing is requested as part of the grant application process, applicants should schedule
the hearing date at least fourteen (14) days after the second notice is published. The notice of the
public meeting must include the name of the applicant, the time, date and place of the hearing, an
adequate description of the project, including the area to be served by the proposed undertaking,
items to be purchased, constructed, etc. The notice of the public hearing must also include a
statement which allows individuals with Limited English Proficiency (LEP), in accordance with Title
VI requirements, and individuals with disabilities who may require accessibility under the
Americans With Disabilities Act (ADA) the ability to request appropriate accommodations (see
Section J.10). The NDOT Transit Office must be notified if a public hearing is requested, comments
received during the hearing and the outcome of the hearing.
J.10 Minimum Public Meeting Requirements for Any Action Requiring a Public Meeting
Any public meetings should be held at a place and time generally convenient for persons affected by
the proposed undertaking. To encourage attendance, the location should be easily accessible by local
transit service. The notice of the public meeting must include the name of the applicant, the time,
date and place and advertised in such places as transit facilities, local businesses in the affected areas,
newspapers, minority or limited English proficiency venues, community centers, etc. The site must
be accessible to older adults and individuals with disabilities and if possible, accessible by local
transit service. Provisions should be made for submission of written statements, exhibits and oral
statements. Interpreters must be provided for non-English speaking persons, if requested. A written
summary of the oral proceedings must be prepared.
The Title VI notice must be included in the public notice and visible at any public hearing or meeting.
The notice of the public meeting must also include a statement which allows individuals with limited
English proficiency per Title VI requirements and those requiring assistance under the ADA the
ability to request an accommodation.
Additional information on Nevada’s open meeting requirements can be found at
http://ag.nv.gov/About/Governmental_Affairs/OML/. A compliance checklist can be found at
http://ag.nv.gov/uploadedFiles/agnvgov/Content/About/Governmental_Affairs/OML_Portal/2
016-01-25_OML_12TH_AGOMANUAL.pdf.
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J.11 The FTA Certifications and Assurances
All Sections 5310, 5311 and 5339 applicants must sign and submit as part of their application the
required Federal Certifications and Assurances. The NDOT also requires these Federal Certifications
and Assurances to be signed and re-submitted annually. The NDOT provides information to
subrecipients regarding the requirements and obligations under these requirements as part of the
application process.
The signed application, with all attachments included, becomes part of the NDOT agreement.
Applications without the proper Certifications and Assurances will be rejected. Compliance with the
signed Certifications and Assurances may be reviewed during the NDOT on-site monitoring visits.
Subrecipients that are determined to be out of compliance with any provision will be subject to
corrective action up to and including termination of agreement. All subrecipients will be monitored
for general Agreement compliance at a minimum of every three years. Subrecipients with major
management and oversight responsibilities may be subject to an administrative/management review
and a general compliance on-site review more frequently (see Section T.9).
J.12 Pre-Agreement Verification and Pre-Award Audits
Each subrecipient’s application must document the source of local match funds and include an annual
budget, signed Certifications and Assurances and other pertinent information for federal compliance.
The NDOT may conduct an on-site visit to ensure the subrecipient’s ability to manage the program
successfully. Prior to the offer of an Agreement to the subrecipient, financial systems may be
reviewed for compliance with the NDOT and federal requirements.
Once all assurances are met, the NDOT will proceed with the agreement process. This procedure
applies to applicants for the FTA Sections 5310, 5311 and 5339 program funds.
Any subrecipient approved to receive the FTA funds through the NDOT is subject to a financial
system pre-audit to be conducted by the NDOT Internal Audit Division. The pre-audit may include,
but is not limited to, a review of the Internal Controls, Accounting System and the Payroll System.
J.13 Written Code of Conduct
The NDOT subrecipients are required to maintain a written code or standard of conduct that governs
the performance of its officers, employees, board members, or agents engaged in the award and
administration of contracts supported by federal funds. This standard must ensure that no
employee, officer, board member, or agent of the subrecipient will be directly involved in the
selection, award, or administration of a contract supported by the NDOT/FTA funds if a conflict of
interest, real or apparent, would be involved. The code must ensure the subrecipient's officers,
employees, board members, or agents will not solicit or accept gratuities, favors or anything of
monetary value from contractors, potential contractors, or parties to a subagreement.
K. FUND TRANSFERS
While federal requirements do not mandate the FTA approval prior to transfer of an apportionment,
Nevada’s Governor through the NDOT does provide notification to the FTA of a transfer for each
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transaction so that the FTA can accurately reflect this transfer decision in overall program budget
levels and apportionment records. In addition, the grant application project budget shows the
amount of transferred funds.
K.1 Section 5310
Section 5310 funding transfers to other programs are not permitted per the FTA Circular 9070.1G.
K.2 Section 5311
The NDOT may transfer Section 5307 (urbanized area) funds, or flexible funds to Section 5311 to
supplement the NDOT’s FTA-apportioned funds, as specified in the FTA guidance. The Nevada
Governor may also transfer Section 5311 funds to supplement Section 5307 funds apportioned to the
state for urbanized areas with populations less than 200,000. The Governor may transfer these funds
without consultation within the last ninety days in which the funds are available for obligation, for
use anywhere in the state. The period of availability of the transferred funds is that of the Section
5311 apportionment (three years). To date no transfers as previously described have been
requested. The NDOT will notify the FTA Regional Administrator of its intent to transfer funds should
this situation arise.
K.3 Section 5339
Consistent with 49 U.S.C. 5339(e)(1), Nevada’s Governor may transfer any part of the state’s
apportionment, specifically the National Distribution allocation, to supplement amounts
apportioned to Nevada under Section 5311(c) or amounts apportioned to Nevada for areas under
200,000 in population under Section 5307. Transferred funds are used for eligible Bus Program
activities, even if combined in a grant with other Section 5307 or 5311 funding. Nevada uses this
transfer for administrative purposes only and allows Section 5307 direct recipients to apply directly
to the FTA for their Section 5339 allocation.
K.4 Section 5305(e)
L. STATE ADMINISTRATION AND TECHNICAL ASSISTANCE
L.1 State Administration and Technical Assistance
In the administration of the Sections 5310, 5311 and 5339 programs, the NDOT takes steps to
ensure that federal funds are properly spent and that it follows all federal requirements as outlined
in the FTA Circulars. Program administration for these grants encompasses, among other things,
administration, planning and technical assistance. The NDOT does this through ensuring that the
NDOT follows program requirements including the development of any required plans and/or data
submissions, though oversight activities and the provision of technical assistance to assist
subrecipients in meeting program requirements.
The NDOT is available to provide a wide range of technical assistance to local areas upon request.
Additionally, the NDOT may draw upon other Department resources (i.e. Legal, Purchasing,
Accounting, Auditing, Information Technology, Civil Rights and Engineering), as well as contracted
professional services to provide technical and management assistance to the Sections 5310, 5311
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and 5339 Programs.
The NDOT technical and management assistance will be available to existing, new and future
applicants including but not limited to the following areas:
Assistance with preparation of project grant applications;
Assistance with coordination of transportation development plans;
Assistance with transportation coordination issues;
Guidance on implementation strategies regarding the FTA regulations;
Assistance with grants management functions including invoicing, record keeping and
accounting issues;
Assistance with procurement and third-party contracting;
Assistance with provisions of contracted professional services to deliver technical and
management assistance to the Sections 5310, 5311 and 5339 programs;
Assistance with provisions of driver training and preventive maintenance programs;
Assistance with development and review of vehicle specifications;
Participation in local planning issues;
Participation with development of local financing strategies;
Assistance with coordinating the establishment of programs for providing service to older
adults and individuals with disabilities;
Oversight and guidance of programs to comply with civil rights requirements;
Oversight and guidance on facility construction or renovation projects; and
Other issues/requests and needs, which may arise from time to time.
The NDOT uses no more than 10% of its Section 5310 and Section 5311 apportionments for
administrative expenses. Additionally, under the Section 5311 program, the NDOT undertakes a
separate Rural Transit Assistance Program (RTAP) to provide training and technical assistance to
Section 5311 recipients; however, Sections 5310 and 5339 subrecipients may also benefit from
these projects so long as the activities are primarily designed and delivered to benefit rural transit
providers. The NDOT accounts separately for Section 5311 administrative funds and RTAP funds.
Additionally, the NDOT may, at its discretion, use Section 5311 administrative funds to augment
RTAP activities and/or undertake research projects.
The NDOT periodically holds workshops, webinars, conferences and meetings to disseminate
information to assist subrecipients in meeting grant requirements. Additionally, the NDOT has
developed, among other documents, invoice and ridership workbooks to assist subrecipients.
L.2 Planning and the Statewide Transportation Planning Public Participation Process
Sections 5310 and 5311 applicants as well as Section 5339 projects have been involved in the multi‐
modal transportation planning processes. Obtaining and sustaining community support is an
important part of developing and growing an effective rural public transit system. The Sections 5310
and 5311 program applicants/subrecipients are responsible for garnering support from a broad
number of stakeholders – local governments, local businesses, the medical community, agencies
serving seniors and people with disabilities, as well as others. This includes ensuring that the service
responds to changing local needs.
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L.2.A Planning Assistance
Prospective Sections 5310, 5311 and 5339 applicants and those already participating in the Section
5311 program may obtain planning assistance, demographics information and information about
other providers through the NDOT or Metropolitan Planning Organization(s) in their region(s).
L.2.B Statewide Transportation Plan
The NDOT has developed a statewide transportation plan in accordance with CFR Title 23 part 450. It
considers and provides for, as applicable, connections among and between rail, commercial motor
vehicles and aviation facilities, particularly with respect to intercity travel. The plan is statewide in
scope to facilitate the efficient movement of people and goods. It is set for a planning horizon of twenty
years and contains an element for bicycle transportation, pedestrian walkways and trails
appropriately connected to other modes. The plan references or contains applicable short-range
planning studies, strategic planning studies, transportation needs studies and statements of policies,
goals, objectives and performance measures regarding issues such as transportation, demographics,
economic development, social and environmental effects, preservation of future right-of-way and
energy related issues. It reflects or references any metropolitan area plan developed pursuant to 23
USC 134 and section 8 of the Federal Transit Act, 49 USC app. 1607. The plan reflects or references
methods to expand and enhance appropriate transit services and to increase the use of such services,
and includes innovative financing methods and investment strategies.
L.2.C Statewide Transportation Improvement Plan (STIP)
The NDOT administers and implements programs for the planning, development, construction and
operation of the state's transportation systems. The NDOT's mission is to “Provide a better
transportation system for Nevada through our unified and dedicated efforts.”
Annually, the NDOT develops a Statewide Transportation Improvement Program (STIP). The STIP
includes a five-year list of federally-funded and regionally significant non-federally funded
transportation projects and programs consistent with the goals and strategies of the Statewide
Transportation Plan.
Development of the STIP is completed in cooperation with the state's Metropolitan Planning
Organizations (MPOs) and local governmental agencies. An MPO is designated for each urbanized
area with a population of more than 50,000. At present, there are four MPOs in the State of Nevada.
Three of the MPOs were designated by the Bureau of the Census (the Regional Transportation
Commission (RTC) of Southern Nevada, the RTC of Washoe County and the Carson Area MPO). The
fourth MPO (Lake Tahoe) was designated as an MPO through legislation passed by the U.S. Congress.
Each MPO is required to develop a Regional Transportation Improvement Program (RTIP) that is
consistent with each MPO’s Regional Transportation Plan (RTP), a 20-year plan. The RTIP must be
updated at least every four (4) years and the plans/programs contained in the RTIP must be
multimodal and fiscally constrained. In addition, the MPOs are required to develop plans and
programs for adoption, develop long-range capital plans, coordinate transit services and projects and
carry out other activities pursuant to state laws. The NDOT, the RTC of Southern Nevada, the RTC of
Washoe County, the Tahoe MPO, the Carson Area MPO and regional and local governments follow
their locally-adopted public participation processes in the development of each of their RTIPS.
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The MPOs, in cooperation with the state and public transit operators, develop transportation plans
and programs for the urbanized areas of Nevada. These plans provide for the development,
integration, management and operation of transportation systems and facilities (including pedestrian
walkways and bicycle transportation facilities) that function as intermodal transportation for the
metropolitan areas and as an integral part of a statewide intermodal transportation system.
Upon approval by the Governor of the State of Nevada or his designee (the Director of the NDOT),
each MPO’s RTIP is incorporated without change into the STIP. The STIP is reviewed by the Federal
Highway Administration (FHWA) and the FTA for consistency with federal regulations and if
acceptable, jointly approved.
The NDOT’s Statewide Transportation Plan is available on the NDOT website, www.nevadadot.com
or from the NDOT Multimodal Planning Division.
L.4 Management of the FTA Grants at the Local Level and Good Standing
The NDOT assists program subrecipients wherever possible; however, Sections 5310, 5311 and 5339
subrecipients have the primary responsibility for managing their projects. In the Section 5311
program, this includes ensuring the transit service meets local needs, is operated safely, effectively
and efficiently, meets performance standards, is coordinated with other agencies and is marketed to
the public and to human service agencies. In addition, all services must be operated in compliance
with federal and state regulations. Subrecipients are also responsible for identifying areas where
technical assistance may be needed to fulfill these requirements and contacting the NDOT to request
this assistance.
Section 5311 subrecipients are expected to maintain a “good standing” status to continue to receive
grant funds.
The following is required to remain in good standing:
1. Compliance with all grant agreement requirements;
2. Responsiveness to communications and request for information from the NDOT;
3. Maintenance of adequate financial records that document and support all grant
expenditures;
4. Submission of invoices that are accurate and timely;
5. Full participation in site visits with timely responses to any deficiencies;
6. Submission of reports or required documentation to the NDOT including audit
documents, vehicle insurance certificates, etc.;
7. Satisfactory progress of the grant funded project; and
8. Timely reporting of accidents, as required by the NDOT.
Funds may be withheld from subrecipients if they fail to maintain a “good standing” status.
M. STATE RTAP
Funding for the Rural Transit Assistance Program (RTAP) is only provided under the Section 5311
program. RTAP is intended to be a broad and flexible program of training, technical assistance,
research and other support services for nonurbanized transit operators. It provides a source of
federal funding to assist in the design and implementation of training and technical assistance
31
programs tailored to meet the specific needs of the rural operators. Assistance under this program
is 100% federally funded. The NDOT administers the RTAP funding directly, using three primary
categories of assistance: training, technical assistance and related support services. The NDOT does
not impose a local match for these funds but does require subrecipients to get preapproval prior to
charging any activity to these funds.
Providers of specialized transportation in urbanized areas, such as Section 5310-funded agencies,
as well as public transit operators in small urbanized areas, have many of the same training and
technical assistance needs as transit providers in rural areas. The NDOT permits participation by
these providers in RTAP-sponsored activities, so long as the activities are primarily designed and
delivered to benefit rural transit providers. When urbanized area providers are more than
incidental beneficiaries of an RTAP-supported activity, the NDOT allocates the costs of the project
fairly between RTAP and other sources.
RTAP funds can be used to promote the safe and effective delivery of transportation through the
Statewide Rural Transit Training Program that includes Defensive Driving, First Aid/CPR, Passenger
Assistance Training, Customer Service and Substance Abuse Program Management. It is used to
reimburse public, rural and specialized transportation providers for travel and per- diem costs; for
attendance at program compliance-related training workshops, conferences, meetings; for peer-topeer technical assistance; to support state transit events and/or conferences designed to promote
networking and coordination among rural transit providers; and to support the cost of production
and publication of any newsletters to distribute information relevant to transit providers in
nonurbanized areas.
M.1 Subrecipient Training Requirements
Safe and nondiscriminatory transportation is the responsibility of the transportation operator, per
Section 37.173 of the DOT ADA regulations. It requires operators to train their personnel to properly
assist and treat individuals with disabilities with sensitivity, and to operate vehicles and equipment
safely. This includes training personnel to use the accessibility equipment and to accommodate the
different types of wheelchairs. To comply with this regulation, the NDOT has established minimum
requirements for subrecipient training, which is provided in the table below.
An effective training program includes driver training to ensure passenger safety, staff training to
ensure that clients are handled in an efficient, firm, yet sensitive manner, and client travel training
to safely use the system. Driver training is the single most important tool that transit management
has available to improve a system’s operational efficiency, image, and risk management. Vehicle
operators are the first and often the only personal contact that passengers have with a transit
system. Drivers should be familiar with the vehicles they operate, knowledgeable of the system’s
fare structure, transfer procedures, fare collection, how to complete required forms, safety and
security, emergency and accident procedures, how to interact with the elderly and persons with
disabilities, CPR, first aid, and Passenger Assistance Service and Safety (PASS) training.
Agencies are encouraged to participate in all available trainings; the above chart shall be used as
minimum training requirements. The NDOT will also keep subrecipients informed of additional
available training and resources, such as relevant workshops and conferences offered through the
National Transit Institute (NTI) and National RTAP.
32
TRAINING
Passenger Assistance and Safety
Training (PASS)
Defensive Driving
Drug and Alcohol
All supervisors and/or other
company officers authorized by
the employer to make reasonable
suspicion determinations shall
receive at least 60 minutes of
training
on
the
physical,
behavioral and performance
indicators of probable drug use
and at least 60 minutes of the
same training on probable alcohol
misuse.
Within 6 months from date of hire
First Aid
Cardio-Pulmonary
(CPR)
INITIAL
Within 6 months from date of
hire.
Within 6 months from date of
hire.
All safety-sensitive employees
are required to have 60 minutes of
training on the effects and
consequences of prohibited drug
use on personal health, safety and
the work environment and on the
signs and symptoms that may
indicate prohibited drug use.
A best practice would be for
safety-sensitive employees to
receive the training before
performing
safety-sensitive
functions, but this is not a
requirement. Alcohol awareness
training is recommended but not
required.
Resuscitation Initial training included in First
Aid.
Bloodborne Pathogens
Within 6 months from date of
hire.
RECERTIFICATION
Every three (3) years, 4 – 8-hour
class
Every three years
Annual review recommended, but
not required
Typically, every two (2) years
Annual Recertification
Annual
33
N.
PRIVATE SECTOR PARTICIPATION
Sections 5310, 5311 and 5339 applicants are required "to the maximum extent feasible" to
provide for "the participation of private mass transportation companies." While the FTA no longer
prescribes a private sector participation process, Sections 5310, 5311 and 5339 subrecipients still
have obligations under this requirement. The NDOT’s statewide and metropolitan planning
process is assumed to adequately address private sector concerns. Private sector operators are
also encouraged to participate in the public transit-human service transportation plan process.
O.
CIVIL RIGHTS
The NDOT and Sections 5310, 5311 and 5339 subrecipients must comply with applicable
provisions of 49 U.S.C. 5332. These provisions prohibit discrimination based on race, color,
religion, national origin, sex, age and disability and prohibit discrimination in employment or
business opportunity
O.1 Title VI
The NDOT requires all the FTA grantees to keep a complaint log. Complaints which may be
related to Title VI must be documented, including all responses and follow‐up. The program must
follow their agency’s complaint process as outlined in their Title VI Plan. The program must
follow the policies for all other complaints as outlined in the program policy or driver handbook.
Title 49 CFR Section 21.9(b) requires recipients (the NDOT) to “keep such records and submit to
the USDOT Secretary timely, complete and accurate compliance reports at such times and in such
form and containing such information, as the USDOT Secretary may determine to be necessary to
enable her to ascertain whether the recipient (the NDOT) has complied or is complying with this
[rule].” The FTA requires recipients to document their compliance with DOT’s Title VI regulations
by submitting a Title VI Program to their FTA regional civil rights officer once every three years or
as otherwise directed by the FTA.
The NDOT does this on behalf of its subrecipients. Subrecipients are required to submit to the
NDOT their plans and plan updates and an annual report of any Title VI activities. The NDOT must
submit a Title VI Civil Rights Act of 1964 Annual Report that includes information on any
lawsuits/complaints of discrimination against the subrecipient/operator of service and a
summary of civil rights compliance review activities conducted that year. The NDOT determines
the plan update schedules and will contact their grantees when this is required.
O.1.A Access to Services for Persons with Limited English Proficiency (LEP)
The NDOT and its subrecipients agree to promote accessibility of public transportation services to
persons with limited understanding of English by following:
1. Executive Order No. 13166, “Improving Access to Services for Persons with Limited
English Proficiency,” August 11, 2000, 42 U.S.C. § 2000d-1 note and
2. U.S. DOT Notice, “DOT Policy Guidance Concerning Recipients’ Responsibilities to Limited
English Proficiency (LEP) Persons,” 70 Fed. Reg. 74087, December 14, 2005.
34
To meet the FTA requirements, subrecipients must submit an LEP plan with their Title VI Program.
The FTA guidance requires that subrecipients complete a Four-Factor Analysis to determine
appropriate language assistance measures. The four factors include:
Factor 1:
Number/proportion of LEP persons eligible to be served or likely to be encountered
by the program or recipient.
Factor 2:
Frequency with which LEP persons encounter the transit program.
Factor 3:
Nature and importance of the program, activity, or service provided by your
program to LEP persons’ lives.
Factor 4:
costs.
Local resources available to respond to LEP outreach and identify needs as well as
Once the Four-Factor analysis is completed, the subrecipient must develop a language assistance
plan outlining the agency’s current procedures and steps it plans to take in the future to ensure
meaningful access to transit programs by persons with limited English proficiency. The NDOT is
available to provide technical assistance as needed.
O.2 EEO Plans
In accordance with the FTA’s Equal Employment Opportunities (EEO) Circular 4704.1A, all
applicants, recipients, subrecipients and contractors that meet both thresholds listed below
must implement all EEO Program elements and submit an EEO Program every four years. The
thresholds subject to this requirement are:
1. Employment of 100 or more transit-related employees; AND
2. Requesting or receiving capital or operating assistance more than $1 million in the
previous federal fiscal year, or requests or receives planning assistance more than
$250,000 in the previous federal fiscal year.
Applicants, recipients, subrecipients and contractors who meet the thresholds listed below must
submit an abbreviated EEO Plan:
1. Employment of between 50-99 transit-related employees, AND
2. Requesting or receiving capital or operating assistance more than $1 million in the
previous federal fiscal year, or requests or receives planning assistance more than
$250,000 in the previous federal fiscal year.
The NDOT’s Transit Office will be assisted by the NDOT Civil Rights Division to review and approve
EEO plans for subrecipients meeting the stated thresholds. This will be completed during the grant
application process before the subrecipient is approved to receive their requested the FTA funds. In
addition, all subrecipient EEO plans are reviewed to ensure that they meet FTA requirements during
on-site monitoring. Contact the NDOT Transit Office at 775-888-7312 for further guidance if your
organization meets the threshold for developing an EEO plan.
35
O.3 Nevada’s DBE Program
The NDOT has established a Disadvantaged Business Enterprise (DBE) program in accordance with
regulations of the USDOT, 49 CFR Part 26. The NDOT receives USDOT federal financial assistance
and as a condition of receiving this assistance, the NDOT has signed an assurance that it will comply
with 49 CFR Part 26.
A DBE is a small business concern which is at least 51 percent owned by one or more socially and
economically-disadvantaged individuals, or in the case of any publicly-owned business, at least
51 percent of the stock is owned by one or more socially and economically-disadvantaged
individuals and whose management and daily business operations are controlled by one or more
of the socially and economically-disadvantaged individuals who own it. Socially and economicallydisadvantaged means any individual who is a citizen (or lawfully admitted permanent resident)
of the United States and who is any individual who a subrecipient finds to be socially and
economically disadvantaged individual on a case-by-case basis and any individual in the following
groups, members of which are rebuttably presumed to be socially and economically
disadvantaged: African Americans, Hispanic Americans, Native Americans, Asian- Pacific
Americans, Subcontinent Asian Americans and Women and other individuals found to be socially
and economically-disadvantaged by the Small Business Administration pursuant to Section 8(a)
of the Small Business Act.
A subrecipient shall not discriminate based on race, color, national origin, or gender in the award
and performance of any DOT-assisted contract or in the administration of its DBE program or the
requirements of 49 CFR Part 26. The subrecipient shall take all necessary and reasonable steps
under 49 CFR Part 26 to ensure nondiscrimination in the award and administration of
DOT-assisted contracts.
It is the policy of the NDOT to ensure DBE firms, as defined in part 26, have an equal opportunity
to receive and participate in USDOT-assisted contracts, including:
To ensure nondiscrimination in the award and administration of DOT-assisted contracts in
the Department's highway, transit and airport financial assistance programs;
To create a level playing field on which DBEs can compete fairly for DOT-assisted contracts;
To ensure that the Department's DBE program is narrowly tailored in accordance with
applicable law;
To ensure that only firms that fully meet this part's eligibility standards are permitted to
participate as DBEs;
To help remove barriers to the participation of DBEs in DOT-assisted contracts;
To promote the use of DBEs in all types of federally assisted contracts and procurement
activities conducted by recipients.
To assist the development of firms that can compete successfully in the marketplace outside
the DBE program; and
To provide appropriate flexibility to recipients of federal financial assistance in establishing
and providing opportunities for DBEs.
The NDOT Transit Office has reviewed, adopted and assured compliance with the conditions of the
NDOT DBE Plan. The NDOT, through its External Civil Rights Office, takes the necessary steps to
36
ensure that DBE firms have the maximum opportunity to compete for and perform contracts. The
Office, in cooperation with the Transit Office, informs subrecipients of their responsibility to make
a reasonable effort to use DBE firms; provides information to the subrecipients about the
availability of such firms; monitors the subrecipient's contracting activity for DBE compliance; and
reports to the FTA on contracting activities.
Each contract a subrecipient signs must include the following assurance:
The contractor, subrecipient, or subcontractor shall not discriminate based on race, color,
national origin, or sex in the performance of this contract. The contractor shall carry out
applicable requirement s of 49 CFR Part 26 in the award and administration of DOT-assisted
contracts. Failure by the contractor to carry out these requirements is a material breach of this
contract, which may result in the termination of this contract or such other remedy as the
subrecipient deems appropriate.
Subrecipients who receive U.S. DOT Federal Transit Administration (FTA) funds through the NDOT
as noted above and award more than $250,000 in prime contracts in a fiscal year are required to
comply with the provisions of 49 CFR Part 26 and develop their own DBE Program Plan, or adopt
and utilize the NDOT DBE Program Plan. In setting a DBE transit goal, the NDOT and the
subrecipient need only include contracting opportunities.
In accordance with 49 CFR 26.49, transit vehicle manufacturers, as a condition of being authorized
to bid on the FTA-assisted transit vehicle procurements, will also be required to establish and
submit for the FTA's approval an overall DBE percentage goal.
Additionally, agreements between the NDOT and all subrecipients will contain assurances that
subrecipients will not discriminate based on race, color, national origin, sex, age,
disability/handicap and income status in the performance of this contract as well as language that
obligates subrecipients to develop and implement, their own DBE Plan or to adopt and implement,
the provisions of the NDOT DBE Program.
Nevada’s DBE program can be found at: (http://www.nevadadbe.com/website/index.php).
A link to the Certified DBE Vendors List is provided on this website. Only vendors on this list can be
counted as a certified DBE firm.
O.4 Nondiscrimination Based on Sex
The NDOT and its subrecipients agree to comply with federal prohibitions against discrimination
based on sex, including: (1) Title IX of the Education Amendments of 1972, as amended, 20 U.S.C.
§ 1681 et seq., (2) U.S. DOT regulations, “Nondiscrimination on the Basis of Sex in Education
Programs or Activities Receiving Federal Financial Assistance,” 49 C.F.R. part 25 and (3) federal
transit law, specifically 49 U.S.C. § 5332.
O.5 Nondiscrimination Based on Age
The NDOT and its subrecipients will comply with federal prohibitions against discrimination
based on age, including: (1) The Age Discrimination in Employment Act, 29 U.S.C. §§ 621 – 634,
which prohibits discrimination based on age, (2) U.S. Equal Employment Opportunity Commission
37
(U.S. EEOC) regulations, “Age Discrimination in Employment Act,” 29 C.F.R. part 1625, (3) The Age
Discrimination Act of 1975, as amended, 42 U.S.C. § 6101 et seq., which prohibits discrimination
against individuals based on age in the administration of Programs, Projects and related activities
receiving federal assistance, (4) U.S. Health and Human Services regulations, “Nondiscrimination
on the Basis of Age in Programs or Activities Receiving Federal Financial Assistance,” 45 C.F.R.
part 90 and (5) federal transit law, specifically 49 U.S.C. § 5332.
O.6 Nondiscrimination Based on Disability
The NDOT and its recipients agree to comply with the following federal prohibitions against
discrimination based on disability: (1) federal laws, including: (a) Section 504 of the Rehabilitation
Act of 1973, as amended, 29 U.S.C. § 794, which prohibits discrimination based on disability in the
administration of federally assisted Programs, Projects, or activities, (b) The Americans with
Disabilities Act of 1990 (ADA), as amended, 42 U.S.C. § 12101 et seq., which requires that accessible
facilities and services be made available to individuals with disabilities: 1) For FTA Recipients
generally, Titles I, II and III of the ADA apply, but 40 FTA Master Agreement MA(23), 10-1-2016; 2)
For Indian Tribes, Titles II and III of the ADA apply, but Title I of the ADA does not apply because it
exempts Indian Tribes from the definition of “employer,” (c) The Architectural Barriers Act of 1968,
as amended, 42 U.S.C. § 4151 et seq., which requires that buildings and public accommodations be
accessible to individuals with disabilities, (d) federal transit law, specifically 49 U.S.C. § 5332, which
now includes disability as a prohibited basis for discrimination and (e) Other applicable federal
laws, regulations and requirements pertaining to access for seniors or individuals with disabilities.
O.7 Nondiscrimination Laws, Regulations, Requirements and Guidance
The NDOT and its subrecipients will comply with any applicable federal nondiscrimination laws,
regulations and requirements and follow federal guidance prohibiting discrimination.
P.
MAINTENANCE
Subrecipients must comply with all the NDOT and the FTA requirements for maintenance of
federally funded equipment and facilities.
P.1 Asset Oversight and Maintenance
Grantees must ensure proper oversight and maintenance of all transit program assets up to and
including disposition. Proper oversight of assets includes, at a minimum, the following:
1. Property records must be maintained that include a description of the property, a serial
number or other identification number, the source of property, entity holding title, the
acquisition date, cost of the property, percentage of federal participation in the cost of the
property, the location, use and condition of the property and any ultimate disposition data
including the date of disposal and sale price of the property.
2. The NDOT requires that subrecipients maintain an updated asset inventory with the Transit
Office and conduct an annual physical inventory. The NDOT staff will conduct a physical asset
inventory every three years in conjunction with the compliance monitoring on-site visits.
3. Safeguards to prevent loss, damage, or theft of assets must be in place. Any loss, damage,
or theft shall be investigated and reported to the NDOT.
38
4. For asset disposition, subrecipients must follow the NDOT’s disposition procedures in
addition to any established internal procedures.
Appropriate maintenance procedures and programs must be developed to keep vehicles and
equipment in good working condition. The NDOT requires a Preventive Maintenance (PM)
program and written PM plan for all transit program assets. This maintenance plan shall ensure that
the manufacturer’s maintenance recommendations are met, maximum efficiency in performance
and operation is obtained and maximum equipment life and condition are maintained. The plan
must specify the roles and required training for management, trainers, drivers, fuelers and
mechanics. The plan must also include a pre-trip inspection program that addresses vehicle
condition, appearance and cleanliness, safety, and ADA accessibility equipment. Deficiencies noted
in a pre-trip inspection must be repaired in a timely manner and properly reviewed by
management. Good preventive maintenance results from all staff working together as a team.
It is important to note that grantees must repair accessibility features promptly and take
reasonable steps to continue service to persons with disabilities while repairs are being made.
Grantees must also maintain a file on each piece of equipment that contains daily logs, inspection
checklists and repair records.
If a grantee does not conform to the FTA and the NDOT maintenance requirements, the NDOT will
consider the grantee deficient in its assurance of “Satisfactory Continuing Control.” Failure to
properly maintain federally funded equipment may result in grant funds being withheld or future
funding requests denied. Keeping the state’s public transportation fleet in a state of good repair is
one of the NDOT’s primary objectives.
The NDOT recommends that grantees utilize a maintenance software program that provides a
comprehensive framework of maintenance management responsibilities and includes preventive
maintenance, periodic inspections and record keeping. A subrecipient may use its own
maintenance software program if it meets the minimum reporting requirements of the NDOT
Sections 5310, 5311 and 5339 Agreements.
P.2 Ridership Reporting
The NDOT’s FTA grantees are required to submit monthly revenue and service vehicle reports that
are provided by the NDOT in the Invoice or Ridership Workbook. The reports must be submitted
monthly by subrecipients with active agreements with the NDOT. The workbooks include quarterly
reports that must be submitted at the indicated intervals.
P.3 Facilities
A written facility maintenance plan and periodic written building inspections for all the FTAfunded facilities are required and must be submitted to the NDOT. The written facility
maintenance plan should identify designated staff position responsible for performing the
inspections and ensuring that any required repairs are completed. Funding for major repair items
such as repaving of parking lots or replacement of HVAC systems should be included in capital
budgets, when appropriate.
39
The NDOT will conduct a visual inspection of the facility during on-site reviews. It is expected that
the grantee will maintain all buildings and grounds in a good or excellent condition. Routine
maintenance should be undertaken for all facilities and equipment to extend useful life.
Agencies failing to maintain buildings in accordance with their facility maintenance plans shall be
subject to corrective actions up to and including the suspension of funding. The NDOT will review
facilities and facility maintenance activities during onsite compliance monitoring visits. Condition
assessments are required to be updated regularly as part of Transit Asset Management
requirements.
Q. CHARTER RULE
The NDOT does not permit Sections 5310, 5311 and 5339 subrecipients to provide charter service.
Title 49 U.S.C. 5323(d) limits charter service provided by federally assisted public transportation
operators. The FTA regulations specify these limitations in 49 CFR part 604—Charter Service,
amended effective April 30, 2008 (73 FR 2326, Jan.14, 2008). Subrecipients are prohibited from
using federally funded equipment and facilities to provide charter service except in accordance
with allowable exceptions.
R.
SECTION 504 AND ADA REPORTING
R.1 Section 504
Section 504 of the Rehabilitation Act of 1973, as amended, 29 USC 794, prohibits discrimination
based on disability by recipients/subrecipients of federal financial assistance. The NDOT’s FTA
subrecipients sign an "Assurance of Non-Discrimination based on Disability" that states they will
not discriminate against individuals with disabilities while providing transportation service. The
transportation service must meet a significant portion of the actual transportation needs of
individuals with disabilities within a reasonable time. The State of Nevada also defines individuals
with disabilities as those whose impairment prevents or restricts normal mobility, which includes
vision, hearing, mental and physical impairments and who because of such impairment may need
special assistance.
The NDOT subrecipients are required to provide services as stated in their application to
individuals with disabilities along with the following:
1. Each subrecipient's service must have at least one accessible vehicle that can
accommodate persons with disabilities (please note some systems will require more
than one accessible vehicle to meet the needs of their service area;
2. All accessible vehicles and accompanying equipment must be maintained in proper
operating condition;
3. A back-up accessible vehicle(s) must be available that can accommodate individuals
with disabilities when an accessible vehicle is out of service;
4. If no back-up accessible vehicle is available, other arrangements must be made to
ensure accessible service continues;
5. When a subrecipient replaces an accessible vehicle, another accessible vehicle must
40
be available in the service area until delivery of the new accessible vehicle;
6. Personnel must be trained and supervised so that they operate accessible vehicles and
equipment safely and properly;
7. Adequate assistance and information in accessible formats concerning accessible
transportation services must be available to all persons with disabilities; and
8. Service must be provided in a timely manner and no individual with a disability can
be denied access to public transportation if that individual can use the system, even
if the subrecipient also provides special service to persons with disabilities.
R.2 Americans with Disabilities Act (ADA)
New facilities, vehicles and additions and/or alterations to existing facilities and vehicles are
required to comply with regulations issued by USDOT implementing the transportation provisions
of ADA (49 CFR parts 27, 37, 38 and 39). Compliance is a condition of eligibility for federal assistance
required by 49 CFR part 27 and is required whether the facility or alteration is federally assisted.
Depending upon the nature of the facility, compliance with implementing regulations issued by
other federal agencies with ADA responsibilities may also be required. The NDOT and its
subrecipients are responsible for ensuring that new facilities, vehicles and additions/alterations to
existing facilities and vehicles are designed in accordance with USDOT and ADA regulations and
related guidance in effect as of the date construction begins and for verifying compliance prior to
accepting delivery. See the FTA Circular 5010.1E (https://www.transit.dot.gov/regulations-andguidance/fta-circulars/award-management-requirements-circular5010-1e-word-version).
Titles II and III of the Americans with Disabilities Act of 1990 (ADA) states, in part, that no entity
shall discriminate against an individual with a disability relating to the provision of transportation
service. The law sets forth specific requirements for vehicle and facility accessibility. Systems
providing fixed-route service must also develop a Complementary Paratransit Plan that describes
their provision of complementary paratransit service that is comparable to the level of service
provided to individuals without disabilities who use the fixed- route system.
Providers of demand responsive service must utilize accessible vehicles, as defined at 49 CFR 37.7
or meet the applicable equivalent service standard. For private and public entities, the service must
be equivalent regarding schedules, response times, geographic areas of service, hours and days of
service, availability of information, reservations capability, constraints on capacity or service
availability and restrictions based on trip purpose.
Providers of fixed-route service must generally utilize accessible vehicles. Private entities may
utilize nonaccessible vehicles if they can provide equivalent service in terms of schedules and
headways, in addition to the equivalent service requirements described above for demand
responsive service. Public entities must also provide complementary paratransit service to fixed
route service as defined in 49 CFR 37.121.
Additionally, the NDOT requires its subrecipients to:
Track trip denials and indicate which trips are denied to individuals with disabilities;
Purchase or lease accessible vehicles unless it can be demonstrated that the system, when
viewed in its entirety including back-up or spare vehicles, provides equivalent service to
persons with disabilities; and
41
Have access to a telecommunications device for the deaf (TDD) or teletype (TTY) or know
how to use Relay Nevada, the state’s relay service for those individuals with speech and
hearing disabilities.
The
FTA
Americans
with
Disabilities
Act
Circular
4710.1
(https://www.transit.dot.gov/sites/fta.dot.gov/files/docs/Final_FTA_ADA_Circular_C_4710.1.pdf
) provides official guidance regarding ADA requirements. The NDOT and its subrecipients shall be
in compliance with all statutory requirements imposed by or pursuant to Section 504 of the
Rehabilitation Act of 1973, as amended and the Americans with Disabilities Act of 1990 at 49 CFR
Parts 27, 37, 38 and 39. The NDOT provides additional and specific information regarding the ADA
requirements to its subrecipients to ensure that they are implementing the requirements of the
FTA Circular C4710.01.
S. NATIONAL TRANSIT DATABASE REPORTING
The National Transit Database (NTD) is the system through which the FTA collects uniform data
needed by the Secretary of Transportation to administer the FTA programs. NTD is FTA’s
primary national database for transit industry statistics.
Pursuant to 49 USC 5335(a) and (b), the FTA requires the NDOT as a condition of its Section 5311
funding award to collect data from and submit an annual report on behalf of each of its Section
5311 funded subrecipients and/or transit systems. Reports must include information on total
annual revenue, sources of revenue, total annual operating costs, total annual capital costs, fleet
size and type and related facilities, revenue vehicle miles and ridership. The annual reporting
period is July 1 through June 30.
Transit Asset Management (TAM) data is also required to be submitted to NTD. It is anticipated
that there may also be NTD reporting requirements when final safety management system (SMS)
regulations are issued. The NDOT will ensure that all required reports are submitted by the
subrecipients.
The NDOT will ensure that Sections 5310, 5311 and 5339 subrecipients, where required, submit
NTD reports. In some cases, the NDOT may choose to submit data on behalf of these subrecipients.
While entities may also report to NTD directly when they are direct recipients or Tribes, the NTD
data for Section 5311-funded service must also be provided to the NDOT.
The NDOT will provide technical assistance to Sections 5310, 5311 and 5339 subrecipients to
assure accuracy, completeness and timeliness in required NTD data reporting as well as making
them aware of their obligations regarding this FTA requirement.
T.
STATE PROGRAM MANAGEMENT
The NDOT undertakes a variety of administrative activities in the administration of the FTA
state-managed programs. It is the NDOT’s policy to administer state and federal grants in
compliance with all applicable state and federal regulations and use best practices in the
management of the FTA funds and programs.
42
T.1 Procurement
The NDOT is responsible for ensuring that it and its subrecipients comply with all the FTA and
State of Nevada procurement requirements. These requirements can be found in the various
program circulars, particularly in 4220.1F, Third Party Contracting Guidance
(https://www.transit.dot.gov/sites/fta.dot.gov/files/docs/Third%20Party%20Contracting%20
Guidance%20%28Circular%204220.1F%29.pdf)
and
5010.1E,
Award
Management
Requirements
(https://www.transit.dot.gov/sites/fta.dot.gov/files/docs/Grant%20Management%20Require
ments%20Circular_5010-1E.pdf).
As well as following the FTA procurement requirements, the NDOT must also follow the State of
Nevada’s purchasing regulations which can be found at (http://purchasing.nv.gov).
When procuring property, supplies, equipment or services under the FTA grant, the NDOT
follows and requires its subrecipients to follow, the procedures listed below:
1. Use a written procurement procedure that reflects applicable state and local laws and
regulations and conforms to applicable federal law.
2. Maintain a contract administration system that ensures that contractors perform in
accordance with the terms, conditions and specifications of their contracts or purchase
orders.
3. Assure to the FTA/NDOT that ethical conduct is maintained by adhering to the following
requirements:
a. Maintain a written code of standards of conduct governing the performance of
employees engaged in the award and administration of contracts;
b. The officers, employees, or agents will neither solicit nor accept gratuities, favors, or
anything of monetary value from contractors, potential contractors, or parties to
subagreements;
c. A written policy exists that includes procedures for identifying and preventing real
and apparent organizational conflicts of interests;
d. Provide for a review of proposed procurement to avoid purchase of unnecessary or
duplicate equipment;
e. Make awards only to responsible contractors possessing the ability to perform
successfully under the terms and conditions of the proposed procurement;
Considerations should include contractor integrity, compliance with public policy,
past performance and financial and technical resources;
f. Maintain records sufficient to detail the completed procurement including the
method of procurement, contract type, contractor selection or rejection and the
basis for the contract price; and
g. Conduct procurements in a manner that prohibits the use of statutorily or
administratively imposed in-state or local geographical preferences in the evaluation
of bids or proposals (the use of federal funds in procurements does not allow for instate preferences).
The NDOT maintains written procedures to handle and resolve protests relating to state transit
procurements and shall, in all instances upon the FTA request, disclose information regarding a
43
protest to the FTA. The subrecipient is also required to maintain written procedures for handling
and resolving protests relating to procurement and to notify the NDOT of any such protests.
The NDOT also inserts value-engineering clauses in contracts for construction projects of
sufficient size to offer reasonable opportunities for cost reductions.
Any of the NDOT’s procurements for itself and its subrecipients that go through the State of
Nevada Purchasing Division, (http://purchasing.nv.gov), follow applicable appeal processes.
All procurement transactions are conducted in a manner providing full and open competition
when procuring goods or services. Neither the NDOT nor its subrecipients will:
Place unreasonable requirements on firms for them to qualify to do business;
Require unnecessary experience and excessive bonding;
Use noncompetitive pricing practices between firms or between affiliated companies;
Give noncompetitive awards to professionals and other consultants that are on retainer
contracts; or
Specify "brand name" products instead of allowing "an equal" product to be offered.
T.1.A Buy America
Please see Section U.
T.1.B Pre-award and Post-Delivery Reviews
Please see Section U.
T.1.C New Model Bus Testing
Any new bus models must be tested at the FTA-sponsored test facility in Altoona, PA, before the
FTA funds can be expended to purchase them (49 CFR Part 665,
https://www.gpo.gov/fdsys/pkg/CFR-2012-title49-vol7/pdf/CFR-2012-title49-vol7part665.pdf).
This requirement applies to all buses and modified vans, but not to unmodified vans, including
vans with raised roofs or lifts installed in strict conformance with the original equipment
manufacturer modification guidelines.
If a bidder proposes a vehicle requiring New Model Bus Testing, the bidder must ensure that the
manufacturer has complied with the testing requirement by enclosing a copy of the bus testing
report from the Altoona Bus Testing Center with the bid proposal. Before the NDOT can expend
any FTA funds for a new model bus, the State Purchasing Division must certify that it has obtained
the New Model Bus Testing report from the bidder.
T.1.D Vehicle Safety Performance Standards
On August 1, 2016 (and effective October 31, 2016), the FTA issued the Final Rule titled “Bus
44
Testing: Establishment of Performance Standards, a Bus Model Scoring System, a Pass/Fail
Standard and Other Program Updates.” The FTA issued a new pass/fail standard and new
aggregated scoring system for buses and modified vans that are subject to the FTA’s bus testing
program, as mandated by Sectio
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