Program Budget Request – Activity A: Required Questions Form

Agency: Department of Transportation (DOT01)

This form should be completed online at the Budget Portal.

Please refer to Page 17 of the Operating

Budget Guidance for instructions on completing this form.

Program Number (ex. 1234A)
& Program Name: / 4943B / Technical Assistance
FY2010
Actual / FY2011
Estimate / FY2012
Request / FY2013
Request
Total Program
Expenditures / $336,453 / $417,224 / $1,465,000 / $1,465,000
FTE
Expenditures / $0 / $0 / $0 / $0
Funded FTEs / 0 / 0 / 0 / 0
  1. What is the purpose of the program? What existing problem, interest, or need does this program address?

There is direct oversight by ODOT of the Ohio Public Transportation Grant Program, Ohio Coordination Program, Specialized Transportation Program, Job Access/Reverse Commute Program, New Freedom Program and the federally mandated Rail Fixed Guideway State Safety and Security State Oversight Program. The technical support provided by ODOT through the technical assistance program is intended to ensure recipients of federal and state funds are in compliance with federal regulations and state program requirements. Compliance is measured through Quality Assurance Reviews which are conducted on a regular schedule. Deficiencies are identified and recommendations made for areas that need improvement. An implementation schedule is developed and used to measure progress until all deficiencies are corrected. Follow-up site visits are conducted to monitor progress.
The technical assistance program also improves the quality of transportation services. Progress is measured through the Public Transit Index that measures Vehicles Beyond Useful Life, Road Calls, Accidents, and Fatalities. Our statewide Public Transit Index goals are Vehicles Beyond Useful Life <20%, Road Calls .5 per 100,000 miles, Accidents .5 per 100,000 miles, and Fatalities .488 per 100,000 passenger trips. Other performance outcomes are also being measured to determine the efficiency and effectiveness of the recipients programs.
  1. Who are the beneficiaries of this program?

Primary beneficiaries of this program arethe staff of the direct recipients of the technical assistance including, but not limited to, the 59 public transit systems, 21 Ohio Coordination Program and 207 private non-profit entities receiving vehicles and other equipment to support service provided to the elderly and people with disabilities.The other primary beneficiaries, and most important, are the individuals in the state of Ohio who receive services from the above mentioned entities. The technical assistance and sharing of best practices from around the country improves the quality and accessibility of passenger transportation services subsidized using FTA Federal funds through ODOT.
  1. Are expenditures of this program limited to specific geographic areas and/or population groups? If so, please discuss the specific areas and/or population groups served.

All sub-recipients of FTA funding are eligible to receive benefits from this FTA funding.
  1. If this is a regulatory program, describe the regulated community and how this program impacts the community.

While not regulatory, this is a program designed to assist FTA Funded agencies in maintaining compliance withfederal regulations and state program requirements. The affected community includes Public Transit Agencies, agencies receiving any Federal Transit Administration program funds through the ODOT Office of Transit, and the Public Transit System in Ohio operating Rail Fixed Guideway Systems. The only currently operating transit rail system is operated by the Greater Cleveland Regional Transit Authority.
  1. Describe the services or activities provided.
  2. Briefly describe the nature of the services provided.

ODOT provides oversight for the Ohio Public Transportation Grant Program, Ohio Coordination Program, Specialized Transportation Program, and federally mandated Rail Fixed Guideway State Safety and Security Oversight Program. ODOT also provides technical assistance to the transit systems and subrecipients of Federal Transit Administration funds through regular site visits, Quality Assurance Reviews and an ongoing training program. The training program includes both ODOT sponsored training events as well as offering partial scholarships to sub-recipient staff to attend regional, state and national training programs directly related to improving the quality of services they provide. Technical assistance programs are authorized under 49 U.S.C. Section 5311(b)(2) [the Rural Transit Assistance Program], 49 CFR Part 659, [Rail Fixed Guideway Systems; State Safety and Security Oversight], and 5304 [Statewide Planning Assistance].
  1. Provide estimates of the volume of services that will be provided at this funding level: number of people served, amount of assistance provided, number of awards that will be made, dollar amount of awards, etc.

In 2012-2013, ODOT will perform 48 Quality Assurance Reviews (QARs) of grant recipients, and will attend 8 Rail Fixed Guideway State Safety and Security Oversight Program meetings with Greater Cleveland RTA. ODOT will conduct 60 site visits to various grant recipients and provide 24 training workshops. ODOT estimates it will provide20 scholarships for a total of $10,000 to grant sub-recipients who are providing services directly to the public. These scholarships provide our grant recipients with additional training opportunities with nationally known trainers and experts in the transit field.
  1. Are there any service benchmarks established by the state, federal government or private industry?

Our statewide Public Transit Index goals are Vehicles Beyond Useful Life <20%, Road Calls .5 per 100,000 miles, Accidents .5 per 100,000 miles, and Fatalities .488 per 100,000 passenger trips. Other performance outcomes are also being measured to determine the efficiency and effectiveness of the recipients programs.
Statewide Performance for Transit agencies is measured using the Public Transit Index:
Infrastructure
Vehicles Beyond Useful Life: / <20%
Safety
Fatalities per one hundred million passengers: / 0.49
Accidents per 100,000 miles: / 0.50
Reliability
Road Calls per 100,000 miles: / <5
Service Effectiveness
Trips Per Hour: / Fixed Route: / 15
Demand Response: / 3
Cost Effectiveness
Cost Per Trip: / Fixed Route: / $6.00
Demand Response: / $20.00
Operating Recovery:
Fixed Route: / 15.00%
Demand Response: / 20.00%
Cost Efficiency
Cost Per Mile: / Fixed Route: / $ 4.00
Demand Response: / $ 1.75

3.If applicable, describe activities or services that cannot be maintained or will be eliminated at this funding level. Please address service volume impacts, potential waiting lists, etc, as compared to FY2011.

ODOTwill have to reduce the amount of technical assistance provided to the transit systems. Training activities will have to be limited to only the most essential topics. Reducing the amount of technical assistance provided to public transit agencies could impact the level at which those agencies are able to comply with Federal Transit Administration requirements and potentially jeopardize funding.

4. Discuss any variances in funded FTEs from FY 2011 through FY 2013 and what has necessitated these changes.

  1. Describe how variances affect currently provided services and activities.

Not applicable.
  1. Describe how variances affect planned services and activities.

Not applicable.

5. Are there any other state programs or projects that duplicate or overlap with the work of this program? Identify them and describe how efficiencies and service delivery could be improved by the creation of multiagency service agreements, insourcing, back office sharing, or consolidation of the activity into a single agency.

There are no other state programs or agencies which provide similar services.

6.In the last several years, what internal or external factors have contributed to the cost of this program? Describe any demographic trends, caseload trends, technology trends, changes in federal funding or regulations, customer requirements that are impacting the cost of this program.

ODOT has seen increased federal regulations in the Rail Fixed Guideway State Safety and Security Oversight Program and Drug and Alcohol Testing Program requirements. There has been increased transit system staff turnover and the addition of two new programs, Job Access/Reverse Commute and New Freedom, in SAFETEA-LU that require additional oversight and compliance monitoring for new grant recipients.
Additionally, pending Federal legislation has been introduced to revise the Rail Fixed Guideway State Safety and Security Oversight Program to include direct regulatory oversight and authority. The impact of this legislation could significantly impact the costs associated with administering the program. Ohio Revised Code would need to be amended and Ohio Administrative Code would also need to be established, along with other rulemaking, to support the Federal Public Transportation Safety Act requirements if it is passed.
Future expansion of the Rail Fixed Guideway State Safety and Security Oversight Program would extend to the Cincinnati Streetcar Project and the Columbus Streetcar Project if these projects are successfully funded for design and engineering.

7. Please identify ORC, temp law, OBM policies, logistical or operational challenges that have limited or challenged this program’s effectiveness and/or efficiency. Indicate whether any budget language is necessary to help implement this program.

The Rail Fixed Guideway State Safety and Security Oversight Program is supported by ORC 5501.55 and ORC 5501.56 which would require modification if there is successful passage of the Federal Public Transportation Safety Act.

8. Please describe how the effectiveness and efficiency of this program is gauged? In your response, please include how often evaluations take place, if and how data are published, and if this budget request reflects the outcome of those evaluations.

Maintaining adequate oversight of subrecipients is an ongoing process. Compliance is measured through Quality Assurance Reviews which are conducted on a regular schedule. Annually, 24 reviews of subrecipients are conducted. Deficiencies are identified and recommendations made for areas that need improvement. An implementation schedule is developed and issued to the agency under review, and used to measure progress until all deficiencies are corrected. Follow-up site visits are conducted to monitor progress.
Quality Assurance Reviews are completed on all Rural Transit agencies every three years for compliance with the Rural Transit Program and the Drug and Alcohol Testing Program. Other funding recipients are reviewed on a three to four year cycle.
The Rail Fixed Guideway State Safety and Security Oversight Program requires a three year review of all Rail Fixed Guideway Public Transit Systems (currently Greater Cleveland RTA), quarterly site visits, and regular monitoring of activities to implement corrective action plans associated with the mitigation of safety and security hazard management.
This program is critical during two types of oversight reviews conducted by the Federal Transit Administration. First, a State Management Review is conducted every three years and includes site visits to selected ODOT sub-recipients to determine the level of compliance with federal requirements. Second, every three years, the Federal Transit Administration conducts an on site review of ODOT’s Rail Fixed Guideway State Safety and Security Oversight Program. Any findings from these reviews must be addressed within an agreed upon time frame in order for ODOT to continue to receive funds from the Federal Transit Administration. Failure to adequately inform, train and advise our sub-recipients can directly impact our ability to provide funding for public transit in Ohio.

9.Describe cost-saving measures and operational efficiencies that have been implemented to contain or reduce program costs in the current biennium and further measures that will be undertaken in the 2012-2013 biennium.

  1. Describe the savings that have been realized as a result of those changes.

To minimize travel costs for the state-wide program, teleconferencing and videoconferencing have been utilized and multiple meetings, site visits, etc. are combined into one trip when possible. ODOT uses in house staff to conduct training as appropriate reducing the cost of using outside trainers. ODOT ismore frequently pursuing online training courses and webcast technology to provide trainings in the future that will reduce the need for our sub-recipients and ODOT staff to travel.
  1. Describe the cost-saving measures and operational efficiencies that will be undertaken in the 2012-2013 biennium to contain or reduce program costs and the savings that are expected as a result of those changes.

To minimize travel costs for the state-wide program, teleconferencing and videoconferencing will continue to be utilized and multiple meetings, site visits, etc. are combined into one trip when possible.
ODOT uses in house staff to conduct training as appropriate reducing the cost of using outside trainers. ODOT is pursuing online training courses and webcast technology to provide trainings in the future that will reduce the need to travel.
The Rail Fixed Guideway State Safety and Security Oversight Program has undergone a transition to reduce the dependency on professional consulting services to support this program through certification of the Program Manager with the US Department of Transportation Transit Safety and Security Program Certificate.

10. Fully describe the various sources of funds that will support this program and the method used for distribution.

There are three sources of funds for technical assistance.
The State-wide Planning Assistance Program and Rail Fixed Guideway State Safety and Security Oversight Programare funded with 80% FTA federal fundsand uses a 20% GRF match.
Rural Transit Assistance Program is funded with 100% federal funds.
Funding is in ALI 775-452.

Include the following as appropriate:

  1. If this program is supported by a fund(s) that supports more than one program, what impact will there be on the other programs?

General Revenue Funds are required to provide the 20% Non-Federal cost of providing technical assistance in urban areas. Reductions in General Revenue Funds may reduce the amount of technical assistance that is able to be provided to public transit agencies in urban areas.
  1. If this program passes funds to other state or local entities, please describe the distribution process including allocation methodology and formulas used. If methodology is in statute, cite the statute and provide a brief summary of the process or methodology.

The scholarship program provides a reimbursement for registration and hotel expenses associated with a pre approved training session for sub-recipient staff members. All expenses are paid at 80% with the local entity providing the other 20%. Rural and Small Urban transit staff and staff of private non-profit sub-recipients of federal funds are eligible to apply for scholarship funds. No other funds are passed to other state or local entities.
  1. Do fees support this program? If so, please be prepared to provide additional fee information if requested by your budget analyst. Such information may include statutory reference for authorization of such fees, current fee amounts, the last time that each fee was increased, and if the fee has a sunset provision.

No Fees support this program.
  1. List all federal grants and funding that are anticipated including any state match requirements associated with this particular request. Please specify amount and source of proposed match. Discuss how federal estimates reflect actual or potential changes in growth of federal spending.

Rural Transit Program: Up to 10% of available grant funds can be used for program administration at 100%. Ohio’s FFY 2010 Rural Program apportionment is $19.9M.
Specialized Transportation Program – Up to 10% of available grant funds can be used for program administration at 100%. Ohio’s FFY 2010 Specialized Program apportionment is $5.1M.
New Freedom Program – Up to 10% of available grant funds can be used for program administration at 100%. Ohio’s FFY 2010 New Freedom apportionment is $1.4M.
Statewide Planning Program – Grant funds can be used for planning and technical assistance at 80%. A 20% state match is required. Ohio’s FFY 2010 State-wide Planning apportionment is $700,000, which would require $50,000 in state match.
The GRF funds used to match the Statewide Planning Program are the total amount of funds needed to match the total federal apportionment. A portion of these funds will be used for Program 4943B and the remaining funds will be used for Program 4940B.
  1. What is the total federal grant that Ohio is eligible to receive? What is the additional state match amount needed to obtain this full allocation?

Over $3M in FTA federal funds is available for administrative and technical assistance purposes for this program. Use of the entire amount for administration of the respective transit programs would have a major detrimental effect on the program grantees which depend upon these sources of funds to maintain their transportation programs. Approximately $175,000 is needed to match the State-wide Planning Program. ODOT only reserves the amount needed to administer its federal programs rather than the amount made available by statute. FTA federal funds cannot be used to administer the state-funded transit programs.
  1. What is the level of Maintenance of Effort (MOE) required, if any? What are the implications of this request in relation to that requirement?

There is no requirement for MOE for this program.

11. Please provide any additional information concerning this program not included above that will serve to assist in the analysis of this request. Be concise.

Technical assistance is critical to assure compliance with state and federal requirements. Technical assistance also provides training and sharing of best practices to improve the efficiency and effectiveness of transit services.

FTE Defined: 2,080 hours worked per year equals one FTE. For budget development purposes, OBM uses this method of calculating personnel levels. Anything less than 2080 hours per year should be counted as a proportionate percentage of an FTE (ie. 1040 hours per year equals .5 FTE).

FY 2012-2013 Biennial Budget Request

Program Budget Request: Required Questions Form