Part 1.
TEXAS DEPARTMENT OF TRANSPORTATION
Chapter 31.
PUBLIC TRANSPORTATION
The Texas Department of Transportation (department) proposes amendments
to §§31.1, 31.3, 31.11, 31.13, 31.16, 31.21, 31.22, 31.26, 31.31,
and 31.36, 31.42-31.50, 31.55, 31.57, 31.60-31.63, and 31.65, and new §31.40
and §31.41, concerning public transportation.
EXPLANATION OF PROPOSED AMENDMENTS AND NEW SECTIONS
In recent months the department has drafted a manual to assist with the
administration of public transportation functions carried out by the department
and the entities to which it grants funds.
The proposed amendments include the addition of the allocation formula
for federal Section 5307 funds and revisions of the allocation formula for
federal Section 5303 funds. Changes in language are made to enhance readability
and clarity, to improve grammar, to update citation forms, and to be more
consistent with the Code Construction Act, Government Code, Chapter 311.
Section 31.3 is amended to add one new definition, to eliminate a definition
no longer used in Chapter 31, to clarify and expand existing definitions,
and to conform definitions more closely to existing practice, federal standards,
and state law.
Former §31.3(1) is deleted to eliminate the definition of "accident,"
which is no longer used in Chapter 31. "Incident" will be used in place of
"accident."
Renumbered §31.3(23) is amended to redefine "incident" to conform
to federal standards.
Renumbered §31.3(25) is amended to redefine "injury" to conform to
federal standards.
Renumbered §31.3(26) is amended to redefine "investigation" to reflect
that it is used only in relation to rail accidents.
Renumbered §31.3(35) is amended to remove unnecessary language and
references to terms that are not used in the rules.
New §31.3(40) is added to define "property damage," a component in
the definition of "incident." The new definition conforms to comparable federal
terminology.
Section 31.11(d) is added to establish that the Texas Transportation Commission
(commission) will reallocate funds that are returned to it and that the reallocation
will be made under the discretionary program. This avoids the possibility
of unused funding.
Section 31.11(e) is amended to clarify which of the department's organizational
units should receive an application for funds.
Section 31.13(c) is amended to provide that applications for funds should
be submitted to the districts rather than to the Public Transportation Division.
Section 31.16(c)(3)(A) and (B) are added to provide additional detail explaining
the criteria used in allocating Section 5309 funds for replacing vehicles
and for replacing other equipment. The added information conforms to current
department practice and is included to provide the public with additional
information.
Former §31.21(c)(1) is deleted because this function is now handled
by the department's Transportation Planning and Programming Division in conjunction
with applications for other transportation funding.
Renumbered §31.21(c)(1)(B) and (C) are amended to parallel federal
requirements more closely.
Renumbered §31.21(c)(2) is amended to provide additional information
about the manner in which the state's Section 5303 funding application is
submitted to the Federal Transit Administration.
Section 31.22(c) is amended to permit local share requirements to be met
with in-kind contributions. This will provide local entities with greater
flexibility in meeting the local share requirements.
Section 31.22(d) is added to provide additional information about the manner
in which the state's Section 5313 funding application is submitted to the
Federal Transit Administration.
Section 31.26 is amended to address the department's role in allocating
Section 5307 funds and the manner in which those funds are allocated to designated
recipients.
Section 31.26(c) is added to explain the function of the added subsections.
Section 31.26(d) is added to explain the department's role in allocating
Section 5307 funds.
Section 31.26(e) is added to set forth the formula that the department
will use in allocating Section 5307 funds to designated recipients. This addition
provides additional detail that is consistent with the department's preexisting
practices.
Section 31.31(c)(4) is amended by deleting the requirement that contracts
for Section 5310 funds include performance goals and management objectives.
Experience has shown that these items have not been useful to the department
or to subrecipients.
Section 31.31(j)(1) is amended to provide further detail and explanation
of the planning and development process.
Section 31.36(b)(3) and (g)(4) is amended to delete the requirement for
Section 5311 recipients to establish performance goals and management objectives.
Experience has shown that these items have not been useful to the department
or to subrecipients.
New §31.40 and §31.41 are added to clarify that all recipients
of state and federal funds must adhere to federal requirements for public
involvement and reliance on private mass transportation companies. These requirements
have always applied to recipients of federal funds. Applying them to recipients
of state funds will ensure that all designated recipients are treated equally.
Section 31.43(c) is amended to clarify the organizational unit in the department
to which notice must be given. It is also amended to adjust the threshold
amount for purchases so that it will correspond to the comparable state requirement.
Section 31.44(b) and (c) is amended to adjust the threshold amount for
purchases so that it will correspond to the comparable state requirement.
Section 31.44(b)(1)(A) is also amended to clarify that requests for proposals
are covered, in addition to competitive bids.
Subsection (c)(2) is amended to add that the department will provide subrecipients
with assistance in generating documentation for procurements.
Section 31.48 is amended throughout to substitute "incident" for "accident."
This change conforms to current federal and transit industry standards.
Section 31.48(b)(5) is also amended to eliminate the requirement of monthly
operations reports. Experience has shown that quarterly reports are adequate,
while monthly reports are unnecessarily burdensome.
Section 31.48(b)(5)(A)(iv) and (b)(5)(B)(iv) is amended to substitute a
more complete explanation for the term "road calls." This change clarifies
the coverage of these sections without significantly changing that coverage.
Section 31.48(b)(5)(B)(i) and (ii) is amended to use the term operating
expense in place of the term cost to conform to the federal standard for this
reporting requirement.
Former §31.48(b)(6) is deleted to eliminate the requirement that all
transit operators develop annual performance goals and management objectives.
Experience has shown that these items have not been useful to the department
or to subrecipients.
Section 31.48(c)(2)(B) is amended to name the federal oversight agency
that is now responsible for drug and alcohol compliance. In addition, a reference
to the department's monitoring of subrecipients is removed because the department
is not charged with this responsibility.
Section 31.48(d)(1) and (2) is amended to permit the department to terminate
funding contracts if minor deficiencies are not corrected after reasonable
notice. If a contract is terminated for uncorrected minor deficiencies, the
subrecipient will not be eligible for financial assistance for two years.
The amendment also replaces the cumbersome contested case process with a less
formal appeal to the commission. These changes will enhance the responsiveness
and flexibility of the department's response to contract violations while
continuing to ensure that subrecipients have reasonable opportunities to correct
problems before definitive action is taken.
Section 31.50(c) is amended to establish a date for data to be provided
to the department regarding transit inventory and to provide additional detail
about the kind of data that must be provided. This amendment will reduce confusion
over the nature of the reporting requirement.
Section 31.55(b) is amended to require the recording of liens on the titles
of property purchased with state or federal funds. This amendment protects
the public investment in public transportation and implements federal and
state requirements regarding the use of public funds.
Section 31.61(a) is amended to establish a deadline for submitting a system
safety program plan to the department.
Section 31.61(b) is amended to allow a transit agency to notify the department
of rail accidents and unacceptable hazardous conditions by electronic mail.
This will provide transit agencies with more flexibility in reporting.
Section 31.61(c) is amended to establish a deadline for a transit agency
to submit audit forms to the department.
Section 31.63(a) and (b) are deleted because the confidentiality of information
is governed exclusively by the Public Information Act, Government Code, Chapter
552.
Section 31.65 is amended to establish that the deadline for submitting
the security system program portion of the safety plan is the same as the
deadline for submitting the rest of the system safety program plan. This will
facilitate review of the plan by the department.
FISCAL NOTE
James Bass, Director, Finance Division, has determined that for each year
of the first five years the amendments and new sections are in effect, there
will be no fiscal implications for the state government as a result of enforcing
or administering the amendments or new sections. There are no anticipated
economic costs for persons required to comply with the amendments and new
sections as proposed.
The amendments and new sections as proposed will not impose any costs on
local governments, nor will they affect the funding received by local governments
in the aggregate. Particular local governmental entities may receive more
or less funding than before.
Margot Massey, Director, Public Transportation Division, has certified
that there will be no significant impact on local economies or overall employment
as a result of enforcing or administering the amendments and new sections.
PUBLIC BENEFIT
Ms. Massey has also determined that for each year of the first five years
the sections are in effect, the public benefit anticipated as a result of
enforcing or administering the amendments and new sections will be to provide
a safer and more efficient public transportation network in the State of Texas
through the department's oversight role, the decreased level of reporting
by transit systems, and the increased emphasis on efficiency.
There will be no adverse economic effect on small businesses. This conclusion
is based on an analysis of the proposed changes, which primarily clarify and
expand on existing practice, and on the fact that urban and rural transit
districts, which might be affected, are political subdivisions of the state
and are not small businesses.
PUBLIC HEARING
Pursuant to the Administrative Procedure Act, Government Code, Chapter
2001, the Texas Department of Transportation will conduct a public hearing
to receive comments concerning the proposed amendments and new sections. The
public hearing will be held at 9:00 a.m. on January 23, 2003, in the first
floor hearing room of the Dewitt C. Greer State Highway Building, 125 East
11th Street, Austin, Texas and will be conducted in accordance with the procedures
specified in 43 TAC §1.5. Those desiring to make comments or presentations
may register starting at 8:45 a.m. Any interested persons may appear and offer
comments, either orally or in writing; however, questioning of those making
presentations will be reserved exclusively to the presiding officer as may
be necessary to ensure a complete record. While any person with pertinent
comments will be granted an opportunity to present them during the course
of the hearing, the presiding officer reserves the right to restrict testimony
in terms of time and repetitive content. Organizations, associations, or groups
are encouraged to present their commonly held views and identical or similar
comments through a representative member when possible. Comments on the proposed
text should include appropriate citations to sections, subsections, paragraphs,
etc. for proper reference. Any suggestions or requests for alternative language
or other revisions to the proposed text should be submitted in written form.
Presentations must remain pertinent to the issues being discussed. A person
may not assign a portion of his or her time to another speaker. Persons with
disabilities who plan to attend this meeting and who may need auxiliary aids
or services such as interpreters for persons who are deaf or hearing impaired,
readers, large print or Braille, are requested to contact Randall Dillard,
Director, Public Information Office, 125 East 11th Street, Austin, Texas 78701-2483,
512/463-8588 at least two working days prior to the hearing so that appropriate
services can be provided.
SUBMITTAL OF COMMENTS
Written comments on the proposed amendments and new sections may be submitted
to Margot Massey, Director, Public Transportation Division, 125 East 11th
Street, Austin, Texas 78701-2483. The deadline for receipt of comments is
5:00 p.m. on February 3, 2003.
Subchapter A. GENERAL
43 TAC §31.1, §31.3
STATUTORY AUTHORITY
The amendments are proposed under Transportation Code, §201.101, which
provides the commission with the authority to establish rules for the conduct
of the work of the department. In addition, some sections are proposed under
Transportation Code, §455.005, which directs the commission to adopt
rules governing fixed guideway safety oversight, and under Transportation
Code, §456.026, which directs the commission to adopt rules establishing
a performance-based reporting system.
No statutes, articles, or codes are affected by the proposed amendments.
§31.1.Scope and Purpose.
This chapter sets out policies and procedures to be followed by the
Texas Department of Transportation in accomplishing the duties prescribed
by Transportation Code, Chapters 455 and 456, concerning public transportation.
This chapter also describes the administration of federal public transportation
grant monies by the department pursuant to 49
USC
[
§31.3.Definitions.
The following words and terms, when used in this chapter, shall have
the following meanings, unless the context clearly indicates otherwise:
[
[
[
(1)
[
(2)
[
(3)
[
(4)
[
(5)
[
(6)
[
(7)
[
(8)
[
(9)
[
(10)
[
(11)
[
(12)
[
(13)
[
(14)
[
(15)
[
(16)
[
(17)
[
(18)
[
(19)
[
(20)
[
(21)
[
(22)
[
(23)
Incident--An intentional or
unintentional act that occurs on or in association with transit-controlled
property and that threatens or affects the safety or security of an individual
or property.
[
(24)
[
(25)
Injury--Any physical damage
or harm that occurs to an individual as a result of an incident and that requires
immediate medical attention away from the scene.
[
(26)
[
(27)
[
(28)
[
(29)
[
(30)
[
(31)
[
(32)
[
(33)
[
(34)
[
(35)
[
(36)
[
(37)
[
(38)
[
(39)
[
(40)
Property damage--The dollar
amount required to replace any vehicle, whether transit or non-transit, and
any property or facility damaged during an incident, or to repair it to a
state equivalent to the state that existed before the incident.
(41)-(42)
(No change.)
(43)
Rail fixed guideway system--Any light, heavy, or rapid
rail system, monorail, inclined plane, funicular, trolley, or automated guideway
that:
(A)
is included in FTA's computation of fixed guideway route
miles or receives funding under FTA's formula program for urbanized areas,
found in 49
USC
[
(B)
is not regulated by the Federal Railroad Administration.
(44)-(49)
(No change.)
(50)
Rural public transportation (RPT)
[
(51)-(54)
(No change.)
(55)
Stakeholders--All individuals or groups that are potentially
affected by transportation decisions. Examples include [
(56)-(65)
(No change.)
This agency hereby certifies that the proposal has been
reviewed by legal counsel and found to be within the agency's legal authority
to adopt.
Filed with the Office of
the Secretary of State on December 20, 2002.
TRD-200208434
Richard D. Monroe
General Counsel
Texas Department of Transportation
Earliest possible date of adoption: February 2, 2003
For further information, please call: (512) 463-8630
43 TAC §31.11, §31.13
STATUTORY AUTHORITY
The amendments are proposed under Transportation Code, §201.101, which
provides the commission with the authority to establish rules for the conduct
of the work of the department. In addition, some sections are proposed under
Transportation Code, §455.005, which directs the commission to adopt
rules governing fixed guideway safety oversight, and under Transportation
Code, §456.026, which directs the commission to adopt rules establishing
a performance-based reporting system.
No statutes, articles, or codes are affected by the proposed amendments.
§31.11.Formula Program.
(a)
(No change.)
(b)
Formula allocation. At the beginning of each state fiscal
biennium, an amount equal to the amount appropriated from all sources to the
commission by the legislature for that biennium for public transportation,
other than federal funds and amounts specifically appropriated for coordination,
technical support, or other costs of administration, will be allocated to
designated recipients.
(1)
The commission will allocate those funds as follows.
(A)
Fifty percent of the funds available under this section
will be allocated to municipalities that are designated recipients or transit
providers in urbanized areas that are not served by an authority and to designated
recipients that received state transit funding during the fiscal biennium
ending August 31, 1997, that are not served by an authority but are located
in urbanized areas that include one or more authorities. Any local governmental
entity having the power to operate or maintain a public transportation system,
except [
(i)
Ten percent of the total amount will be distributed to
designated recipients for state or federally assisted public transportation
projects in urbanized areas selected by the commission.
(ii)
Ninety percent of the total amount will be distributed
to designated recipients operating public transportation services in urbanized
areas and receiving funds in accordance with 49
USC
[
(B)
(No change.)
(2)
(No change.)
(c)
(No change.)
(d)
Returned funds. Any money under
this section that the designated recipient agrees to return to the department
will be administered by the commission under the discretionary program described
in §31.13 of this subchapter.
(e)
[
(f)
[
§31.13.Discretionary Program.
(a)
(No change.)
(b)
Discretionary allocation. The commission will allocate
funds to a local governmental entity, except an authority or a private nonprofit
organization that has the power to operate or maintain a public transportation
system. Funds may be used for:
(1)
the same purposes as described in
§31.11(b)
[
(2)
80% of the cost of capital expenditures associated with
ridesharing activities.
(c)
Application. To receive funds under this section,
a designated recipient
[
(1)-(3)
(No change.)
(d)
(No change.)
This agency hereby certifies that the proposal has been reviewed
by legal counsel and found to be within the agency's legal authority to adopt.
Filed
with the Office of the Secretary of State on December 20, 2002.
TRD-200208435
Richard D. Monroe
General Counsel
Texas Department of Transportation
Earliest possible date of adoption: February 2, 2003
For further information, please call: (512) 463-8630
43 TAC §§31.16, 31.21, 31.22, 31.26, 31.31, 31.36
STATUTORY AUTHORITY
The amendments are proposed under Transportation Code, §201.101, which
provides the commission with the authority to establish rules for the conduct
of the work of the department. In addition, some sections are proposed under
Transportation Code, §455.005, which directs the commission to adopt
rules governing fixed guideway safety oversight, and under Transportation
Code, §456.026, which directs the commission to adopt rules establishing
a performance-based reporting system.
No statutes, articles, or codes are affected by the proposed amendments.
§31.16.Section 5309 Grant Program.
(a)
Purpose. The Federal Transit Act, codified at 49
USC
[
(b)
(No change.)
(c)
Department role. The department acts as the designated
recipient for Section 5309 statewide grants. As the administering agency the
department will:
(1)
develop application materials and disseminate information
to prospective applicants and other interested parties;
(2)
allocate the available program funds in a fair and equitable
manner
based on the purpose as specified in the grant
;
(3)
develop evaluation criteria and select projects for funding
so that:
(A)
for vehicle replacement, each
eligible subrecipient will receive a proportional share of available funding
based on the remaining useful life of its fleet and the cost of replacing
its fleet; and
(B)
for non-vehicle replacement, each eligible
subrecipient will receive a proportional share of available funding
;
(4)
prepare the state's funding application and submit that
material to the FTA for approval;
(5)
negotiate and execute contracts with subrecipients;
(6)
prepare requests for federal reimbursement and process
payment requests from subrecipients;
(7)
monitor and evaluate the progress of local projects, including
compliance with federal regulations; and
(8)
provide technical assistance to subrecipients as necessary.
(d)
(No change.)
§31.21.Section 5303 Grant Program.
(a)
Purpose. The Federal Transit Act, codified at 49
USC
[
(b)
(No change.)
(c)
Department role. The department
acts as the designated recipient for Section 5303 metropolitan planning grants.
As the administering agency the department will:
(1)
allocate the available program funds using the
latest census data for the population of the urbanized area served by the
MPO, so that all MPOs receive funds based on the ratio of each MPO's population
to the total population of all MPOs, except that:
(A)
any MPO that would otherwise receive less than
an established minimum threshold amount will have its funding level adjusted
upward to that amount; and
(B)
to the maximum extent practical no MPO will
be allocated less than the amount it received by administrative formula at
the time of the last decennial census;
(2)
prepare the state's funding application in conjunction
with the state's application for a Section 5313 grant and submit the material
to the FTA for approval;
(3)
execute contracts with MPOs;
(4)
prepare requests for federal reimbursement and
process payment requests from MPOs;
(5)
monitor and evaluate the progress of annual
work programs, including compliance with federal regulations; and
(6)
provide technical assistance as necessary.
[
[
[
[
[
[
[
[
[
[
[
(d)
(No change.)
§31.22.Section 5313 Grant Program.
(a)
Purpose. The Federal Transit Act, codified at 49
USC
[
(b)
(No change.)
(c)
Local share requirements. Section 5313 grants require a
20% cash
or in-kind
match as the local share.
(d)
Department role. The department
will prepare the state's funding application in conjunction with the state's
application for a Section 5303 grant and submit the material to the FTA for
approval.
§31.26.Section 5307 Grant Program.
(a)
Purpose. The Federal Transit Act, codified at 49
USC
[
(b)
(No change.)
(c)
Allocation of funds. For the
urbanized areas with populations of 200,000 or more, funds are apportioned
to the urbanized area by the FTA. For the urbanized areas with populations
of less than 200,000, funds are apportioned to the governor for allocation
to those areas. This section governs the allocation of those funds if the
governor delegates this responsibility to the commission or to the department.
(d)
Department role. After notification
from the FTA that the Section 5307 governor's apportionment funds are available,
the department will notify the FTA of the amounts allocated to each designated
recipient from the governor's apportionment and will notify the designated
recipient of that amount.
(e)
Funding distribution. The department
will allocate Section 5307 funds to designated recipients in the following
manner.
(1)
Each designated recipient will receive the amount
published in the Federal Register under the Section 5307 formula apportionment,
except as provided in paragraphs (2) - (5) of this subsection.
(2)
Any deobligated funds still available to Texas
from previous years will be distributed to designated recipients on a pro
rata basis except for urbanized areas that are under 200,000 in population
and that are located within the planning boundaries of a transportation management
area.
(3)
Designated recipients must notify the department
if allocated funds are not needed in a given year. These funds may be distributed
to the remaining designated recipients on a pro rata basis or distributed
at the commission's discretion.
(4)
Except for urbanized areas that are under 200,000
in population and that are located within the planning boundaries of a transportation
management area, the department may review grant balances from previous years
and adjust individual awards. Adjustments that increase the overall apportionment
will be distributed to all remaining designated recipients on a pro rata basis.
(5)
In federal fiscal years 2003 and 2004, any designated
recipient that receives an allocation that is less than the previous year
will be supplemented by up to 50% of the reduction. All other designated recipients
will share in this supplementation on a pro rata basis, except urbanized areas
that are under 200,000 in population and that are located within the planning
boundaries of a transportation management area.
§31.31.Section 5310 Grant Program.
(a)
Purpose. The Federal Transit Act, codified at 49
USC
[
(b)
Goal and objectives. The department's goal in administering
the Section 5310 program is to promote the availability of professional, cost-effective,
efficient, and coordinated passenger transportation services to
the
elderly
and
persons with disabilities
[
(1)
promote the development and maintenance of a network of
transportation services for
the
elderly and
persons with disabilities
[
(2)
promote and encourage local participation in decision-making;
(3)
fully integrate the Section 5310 program with other federal,
state, and local resources and programs that are designed to serve similar
populations;
(4)
improve the efficiency, effectiveness, and safety of Section
5310 transit systems through the provision of technical assistance and the
establishment of performance goals and management objectives; and
(5)
include private sector operators in the overall plan to
provide transportation services for
the
elderly and
persons
with disabilities
[
(c)
Department role. The department acts as the designated
recipient for all Section 5310 funds appropriated to the state. As the administering
agency, the department will:
(1)
develop application materials and disseminate information
to prospective applicants and other interested parties;
(2)
develop evaluation criteria and select projects for funding,
with input from local entities and local individuals in accordance with the
standards set forth in subsection (j) of this section;
(3)
prepare the state's annual program of projects and funding
application and submit that material to the FTA for approval;
(4)
negotiate and execute contracts with local Section 5310
recipients [
(5)
prepare requests for federal reimbursement and process
payment requests from Section 5310 recipients;
(6)
monitor and evaluate the progress of ongoing transportation
operations, including compliance with federal regulations and coordination
of services; and
(7)
provide technical assistance to Section 5310 recipients
to aid them in improving and coordinating transit services.
(d)
(No change.)
(e)
Eligible assistance categories. The following categories
of expenses are eligible for federal reimbursement under the Section 5310
program.
(1)
(No change.)
(2)
Capital expenses.
(A)
Eligible recipients, as defined in subsection (d) of this
section, may use program funds for the purchase of capital items. Eligible
items include, but are not limited to:
(i)
buses;
(ii)
vans or other paratransit vehicles;
(iii)
radios and communication equipment;
(iv)
vehicle shelters;
(v)
wheelchair lifts and restraints;
(vi)
vehicle rehabilitation, remanufacture, or overhaul, if
done with the concurrence of the department;
(vii)
microcomputer hardware and software;
(viii)
initial component installation costs;
(ix)
vehicle procurement, testing, inspection, and acceptance
costs;
(x)
vehicle extended warranties that do not exceed industry
standards;
(xi)
the lease of equipment, provided that the local recipient,
with the concurrence of the department, determines a lease is more cost effective
than the purchase of equipment after considering management efficiency, availability
of equipment, staffing capabilities and guidelines on capital leases as contained
in 49
CFR
[
(xii)
the acquisition of transportation services under a contract,
lease, or other arrangement;
(xiii)
the acquisition of preventive maintenance services and
vehicle parts associated with preventive maintenance services, with the concurrence
of the department;
(xiv)
transit-related intelligent transportation systems; and
(xv)
the introduction of new technology, through innovative
and improved products, into mass transportation.
(B)-(C)
(No change.)
(f)
(No change.)
(g)
Funding distribution.
(1)
Formula basis. The balance of the annual Section 5310 federal
apportionment, after the state administrative expenses described in paragraph
(e)(1) of this section are set aside, will be allocated to districts on a
formula basis as follows.
(A)
25% of the total available funds will be distributed equally
among the districts.
(B)
75% of the total available funds will be allocated as follows.
(i)
The
population of the
elderly and
persons
with disabilities in
[
(ii)
Each district's subtotal of
the population of the
elderly and
persons with disabilities
[
(2)
(No change.)
(h)
Application requirements. A prospective applicant must
submit an application for Section 5310 grant funds to the appropriate district
office on the forms and at the time specified by the department. The application
must document the need and demand for passenger transportation services for
the
elderly and
persons with disabilities
[
(i)
(No change.)
(j)
Transportation
[
(1)
Planning and development process. In urbanized and
nonurbanized
[
(A)
a process for public involvement;
(B)
the identification and evaluation
of service delivery resources;
(C)
the promotion of a transportation
network;
(D)
the evaluation of the efficiency
and effectiveness of the transportation network;
(E)
the creation of the district-wide
program of transit projects;
(F)
recommendations for projects
to be included in local Transportation Improvement Plans; and
(G)
the selection of projects in
nonurbanized areas for inclusion into the State Transportation Improvement
Program.
[
[
[
[
(2)
Annual report. Each district will submit an annual report
to the Public Transportation Division no later than October 1st. The October
1st report will include an annual program of projects prioritizing projects
selected for funding
and information related to the project selection
process
[
[
[
[
[
[
[
[
[
(k)-(m)
(No change.)
§31.36.Section 5311 Grant Program.
(a)
Purpose. The Federal Transit Act, codified at 49
USC
[
(b)
Goal and objectives. The Department's goal in administering
the Section 5311 program is to promote the availability of professional, cost-effective,
efficient, and coordinated passenger transportation services to the general
public in nonurbanized areas using the most efficient combination of financial
and other resources. To achieve this goal, the objectives of the department
are to:
(1)
promote the development and maintenance of a network of
general public transportation services in nonurbanized areas throughout the
state, in partnership with local officials;
(2)
fully integrate the Section 5311 program with other federal,
state, and local resources that are designed to serve nonurbanized populations;
(3)
improve the efficiency, effectiveness, and safety of Section
5311 systems through the provision of technical assistance [
(4)
include private sector operators in the overall plan to
provide public transportation services.
(c)-(d)
(No change.)
(e)
Eligible assistance categories. The following categories
of expenses are eligible for federal reimbursement under the Section 5311
program.
(1)
(No change.)
(2)
Capital expenses.
(A)
Eligible items include, but are not limited to:
(i)-(xiii)
(No change.)
(xiv)
the lease of equipment or facilities, provided that the
local subrecipient, with the concurrence of the department, determines that
a lease is more cost effective than the purchase of equipment or facilities
after considering management efficiency, availability of equipment, staffing
capabilities and guidelines on capital leases as contained in 49
CFR
[
(xv)-(xix)
(No change.)
(B)-(C)
(No change.)
(3)-(4)
(No change.)
(f)
(No change.)
(g)
Allocation of funds. As part of its administration of the
Section 5311 program, the department is charged with ensuring that there is
a fair and equitable distribution of program funds within the state (FTA Circular
9040.1E, or its latest version). The department will allocate Section 5311
funds to local subrecipients in the following manner.
(1)
Unless the governor certifies to the Secretary of the United
States Department of Transportation that the intercity bus service needs of
the state are being adequately met, the department will reserve not less than
15% of the Section 5311 federal apportionment for the development and support
of intercity bus transportation. If it is determined that all or a portion
of the set-aside monies is not required for intercity bus service, those funds
will be applied to the formula apportionment process described in paragraph
(3) of this subsection. Procedures for determining if a certification of adequacy
is warranted are as follows.
(A)-(B)
(No change.)
(C)
Based on the findings of subparagraphs (A) and (B) of this
paragraph, the commission may
certify or
recommend that the governor
certify to the adequacy of intercity bus service.
(2)-(3)
(No change.)
(4)
A contract for the allocation of funds pursuant to paragraph
(3) of this subsection shall have an effective date of September 1
and
[
[
[
[
[
[
[
[
[
[
[
[
[
[
(h)
Application requirements.
To receive funds allocated
under this section, a designated recipient must submit a completed application,
in a form prescribed by the department, to the appropriate district office.
[
(i)-(j)
(No change.)
This agency hereby certifies that the proposal has been reviewed
by legal counsel and found to be within the agency's legal authority to adopt.
Filed
with the Office of the Secretary of State on December 20, 2002.
TRD-200208436
Richard D. Monroe
General Counsel
Texas Department of Transportation
Earliest possible date of adoption: February 2, 2003
For further information, please call: (512) 463-8630
43 TAC §§31.40 - 31.49
STATUTORY AUTHORITY
The amendments and new sections are proposed under Transportation Code, §201.101,
which provides the commission with the authority to establish rules for the
conduct of the work of the department. In addition, some sections are proposed
under Transportation Code, §455.005, which directs the commission to
adopt rules governing fixed guideway safety oversight, and under Transportation
Code, §456.026, which directs the commission to adopt rules establishing
a performance-based reporting system.
No statutes, articles, or codes are affected by the proposed amendments
and new sections.
§31.40.Public Involvement.
Recipients of state and federal public transportation funds through
the department shall adhere to the requirements of 23 CFR §450.212 and
the annual FTA certifications and assurances, as applicable.
§31.41.Private Sector Participation.
In accordance with 49 USC §5323 (a)(1), recipients of state and
federal public transportation funds shall to the maximum extent feasible provide
for the participation of private mass transportation companies.
§31.42.Standard Federal Requirements.
(a)
Purpose. This section describes the standard federal requirements
that apply to recipients of FTA grant funds under the following programs codified
at 49
USC
[
(1)
Section 5303 Grants to MPOs;
(2)
Section 5307 Urbanized Area Formula Grants;
(3)
Section 5309 Capital Investment Grants and Loans;
(4)
Section 5310 Formula Grants and Loans for Special Needs
of Elderly Individuals and Individuals with Disabilities;
(5)
Section 5311 Formula Grants for Other Than Urbanized Areas;
and
(6)
Section 5313 State Planning and Research Programs.
(b)
Requirements. All entities that receive funds under the
Federal Transit Act, codified at 49
USC
[
(1)
Title VI of the Civil Rights Act of 1964, 42
USC
[
(2)
Title VII of the Civil Rights Act of 1964, 42
USC
[
(3)
§105(f) of the Surface Transportation Assistance Act
of 1982, §1003(b) of the Intermodal Surface Transportation Efficiency
Act of 1991 (Public Law 102-240), and the United States Department of Transportation
Minority Business Enterprise Regulations (49
CFR
[
(4)
§504 of the Rehabilitation Act of 1973, 29
USC
[
(5)
Americans with Disabilities Act of 1990, 42
USC
[
(6)
Federal Transit Act, 49
USC
[
(7)
National Environmental Policy Act, 42
USC
[
(8)
Uniform Relocation Assistance and Real Property Acquisition
Policies Act of 1970, 42
USC
[
(9)
National Historical Preservation Act of 1966, 16
USC
[
(10)
Archaeological and Historic Preservation Act of 1966,
16
USC
[
(11)
Federal Water Pollution Control Act, as amended by the
Clean Water Act of 1977, 33
USC
[
(12)
Clear Air Act of 1991, 42
USC
[
(13)
Energy Policy and Conservation Act, 42
USC
[
(14)
§165 of the Surface Transportation Assistance Act
of 1982 (Public Law 97-424), as amended by §337 of the Surface Transportation
and Uniform Relocation Assistance Act of 1987 (Public Law 100-17), as they
relate to "Buy America" requirements for products purchased with financial
assistance from the FTA;
(15)
FTA regulations on preaward and post-delivery audits of
vehicle purchases, 49
CFR
[
(16)
Drug-Free Workplace Act of 1988, 41
USC
[
(17)
drug and alcohol testing program regulations, 49
CFR
[
(18)
charter service regulations, 49
CFR
[
(19)
school bus operations regulations, 49
CFR
[
(20)
Surface Transportation and Uniform Relocation Assistance
Act of 1987 (Public Law 100-17, §317) as it relates to the testing of
new model buses.
§31.43.Contracting Requirements.
(a)-(b)
(No change.)
(c)
Subcontracts. Subrecipients shall furnish the [
(1)
financial management;
(2)
civil rights; and
(3)
disadvantaged business enterprise program requirements.
§31.44.Procurement Requirements.
(a)
(No change.)
(b)
Standards. The standards contained in the common rule apply
to public transportation procurement activities. All subrecipients shall maintain
written procurement policies. Those policies shall, at a minimum, provide
the following.
(1)
Goods, services and equipment purchases.
(A)
Goods, services, or equipment requiring formal competitive
procurement in accordance with the applicable provisions in the Government
Code or Local Government Code (
greater than $25,000
[
(B)
Goods, services, or equipment not requiring formal competitive
procurement in accordance with the applicable provisions in the Government
Code or Local Government Code (
$25,000 or less
[
(2)-(3)
(No change.)
(c)
Department role.
(1)
Oversight and approval. The subrecipient shall furnish
the department notice of the intent to award a purchase order or contract
to any individuals or organizations not a part of the subrecipient's organization
when the amount of the purchase meets or exceeds the threshold level in the
Government Code or Local Government Code (or
greater than $25,000
[
(A)
the rationale the subrecipient used for the method of procurement;
(B)
the rationale the subrecipient used for the selection of
contract type;
(C)
the reasons the bidder or proposer was selected; and
(D)
the methodology used to determine the contract price, including
a cost justification.
(2)
Technical assistance. The department will provide vehicle
specifications
,
[
§31.45.Accounting and Financial Recordkeeping Requirements.
(a)
(No change.)
(b)
Standards. The contractor's financial management system
shall meet or exceed the requirements of the common rule. Those requirements
include[
(1)
accurate, current, and complete disclosure of the financial
transactions of each grant program in accordance with state and federal reporting
requirements;
(2)
records
that
[
(3)
effective control over and accountability for all funds,
property, and other assets (the contractor shall adequately safeguard all
[
(4)
comparison of actual with budgeted amounts for each contract,
and relation of financial information to performance or productivity data,
including the production of unit cost information;
(5)
procedures for determining the eligibility for reimbursement
and proper allocation of cost;
(6)
accounting records
that
[
(7)
a systematic method to assure timely and appropriate resolution
of audit findings and recommendations.
§31.46.Reimbursement Procedures.
(a)
(No change.)
(b)
Contractor responsibilities. Unless the department provides
written authorization to the contrary, the contractor shall:
(1)
submit reimbursement requests in a timely fashion, with
all supporting documentation as required by the department and specified in
the project agreement;
(2)
submit a final project billing within 45 days of the termination
date specified in the project agreement; and
(3)
make payments promptly to subcontractors and suppliers
, and
[
(c)
Department responsibilities. The department will reimburse
contractors within 30 days of the receipt of properly prepared and documented
requests for payment.
Payment
[
§31.47.Audit and Project Close-Out Standards.
(a)
(No change.)
(b)
Audit standards. Contractor audit procedures shall meet
or exceed the single audit report requirement outlined in Office of Management
and Budget (OMB) publications as follows: state or local governments follow
OMB Circular A-128; and institutions of higher education and other nonprofit
organizations follow OMB Circular A-133.
(1)
Access. The United States Secretary of Transportation,
the Comptroller General of the United States, the executive director of the
department, and the State Auditor,
and
[
(2)
Documentation. The contractor shall maintain financial
records, supporting documents, statistical records
,
and all other
records of the public transportation grant.
(3)
Records retention. Financial records, supporting documents,
statistical records
,
and all other records of the public transportation
grant shall be retained for a period of three years after final payment, with
the following qualifications.
(A)
Litigation. If any litigation, claim, or audit is started
before the expiration of the three-year period, the records shall be retained
until all litigations, claims,
and
[
(B)-(C)
(No change.)
(4)
(No change.)
§31.48.Project Oversight.
(a)
(No change.)
(b)
Reporting requirements. The subrecipient shall submit reports
to the department in a format prescribed by the department within deadlines
established by the department.
(1)
Incident
[
(2)
Asset inventory. Each subrecipient shall provide information
on state and federally funded equipment as described in §31.50 of this
chapter
[
(3)
(No change.)
(4)
Disadvantaged Business Enterprises and Historically Underutilized
Businesses. Subrecipients shall submit reports in accordance with §9.54
of this title (relating to
Historically Underutilized Business (HUB)
Program
[
(5)
Operations reports. All FTA Section 5307, Section 5310,
and Section 5311 subrecipients shall submit [
(A)
Pursuant to the requirements of Transportation Code, §456.008(a)
and (b), the department will publish annually the following performance-based
indicators for recipients of FTA Section 5307 funds, including metropolitan
transportation authorities.
(i)
Service efficiency - Operating expense per vehicle revenue
hour and operating expense per vehicle revenue mile.
(ii)
Cost effectiveness - Operating expense per unlinked passenger
trip.
(iii)
Service effectiveness - Unlinked passenger trips per
vehicle revenue mile and unlinked passenger trips per vehicle revenue hour.
(iv)
Safety - Total
incidents
[
(B)
Pursuant to the requirements of Transportation Code, §456.008(a)
and (b), the department will publish annually the following performance-based
indicators for RPT subrecipients of FTA Section 5311 funds
:
[
(i)
Service efficiency -
Operating expense
[
(ii)
Cost effectiveness -
Operating expense
[
(iii)
Service effectiveness - Unlinked passenger trips per
capita and unlinked passenger trips per vehicle mile.
(iv)
Safety - Total
incidents
[
[
(6)
[
(A)
problems, delays, and adverse conditions that will materially
affect the ability to attain program objectives, prevent the meeting of time
schedules and goals, or preclude the attainment of project work units by established
time periods, accompanied by a statement of the action taken or contemplated
and any departmental assistance needed to resolve the situation; and
(B)
favorable developments and events that will enable meeting
time schedules and goals sooner than anticipated or producing more work units
than originally projected.
(7)
[
(8)
[
(c)
Department monitoring. The department will rely on subrecipient
reports as described in subsection (b) of this section as the primary means
of monitoring subrecipient performance. In addition, department personnel
will meet with the subrecipient at least quarterly to discuss problems encountered,
the subrecipient's need for technical assistance, and other topics related
to the provision of public transportation services. Routine monitoring activity
will occur in the following areas according to a schedule that accommodates
federal deadlines and department and operator workloads. Most, but not all,
monitoring activities will occur on a quarterly basis.
(1)
(No change.)
(2)
Drugs and alcohol.
(A)
(No change.)
(B)
Each Section 5310 subrecipient shall comply with Federal
Motor Carrier Safety
[
(3)-(7)
(No change.)
(d)
Noncompliance. A subrecipient's failure to observe and
comply with federal and state program requirements will cause the department
to find that subrecipient in noncompliance and take actions as specified in
this subsection.
(1)
Minor deficiencies. A minor deficiency is cited when an
error occurs that can generally be attributed to a subrecipient's lack of
knowledge about a particular requirement, is easily corrected, and does not
create legal, safety, or other hazards to employees, passengers, or other
members of the public. An example of a minor deficiency is failure to submit
a required report. In these cases, the department will issue a warning letter
to the subrecipient describing the deficiency and
allowing the subrecipient
45 calendar days to comply with an established plan of corrective action.
If the subrecipient does not comply in the prescribed manner, the department
may exercise its contract termination rights, direct the disposition of equipment
purchased with grant funds, or both. Subrecipients that have been cited for
minor deficiencies that are not corrected will be ineligible to receive financial
assistance from the department for a period of two years from the date of
the certified notification letter. A decision that a subrecipient is ineligible
for financial assistance because of a minor deficiency may be appealed to
the commission by filing five copies of a petition with the executive director.
[
(2)
Major deficiencies. A major deficiency is cited when the
department finds that a subrecipient has [
§31.49.Transportation Needs of Clients of Health and Human Service Agencies and Coordination of Services.
(a)
(No change.)
(b)
Planning for client transportation.
(1)
(No change.)
(2)
An applicant for state or federal financial assistance
under this chapter must submit evidence of coordination efforts to the department.
This
[
(3)
(No change.)
(c)
(No change.)
This agency hereby certifies that the proposal has been reviewed
by legal counsel and found to be within the agency's legal authority to adopt.
Filed
with the Office of the Secretary of State on December 20, 2002.
TRD-200208437
Richard D. Monroe
General Counsel
Texas Department of Transportation
Earliest possible date of adoption: February 2, 2003
For further information, please call: (512) 463-8630
United
States Code (U.S.C.)
] §5301[
,
] et seq.
(1)
Accident--An incident that
involves a transit vehicle or occurs on transit property, and:]
(A)
results in a fatality, an injury, or transit
property damage greater than $1,000; or]
(B)
involves a non-arson fire.]
(2)
] Administrative expenses--Include,
but are not limited to, general administrative expenses such as salaries of
the project director, secretary, and bookkeeper; marketing expenses; insurance
premiums or payments to a self-insurance reserve; office supplies; facilities
and equipment rental; and standard overhead rates.
(3)
] Allocation--A preliminary
distribution of grant funds representing the maximum amount to be made available
to a subrecipient during the fiscal year, subject to the subrecipient's completion
of and compliance with all application requirements, rules, and regulations
applicable to the specific funding program.
(4)
] APTA guidelines--The "Manual
for the Development of Rail Transit System Safety Program Plans" published
by the American Public Transportation Association on May 1, 1999, and subsequent
revisions.
(5)
] Authority--A metropolitan
or regional authority created under Transportation Code, Chapter 451 or 452,
or a city transit department created under Transportation Code, Chapter 453,
by a municipality having a population of not less than 200,000 according to
the most recent federal census.
(6)
] Average revenue vehicle capacity--The
number of seats in all revenue vehicles divided by the number of revenue vehicles.
(7)
] Capital expenses--Include
the acquisition, construction, and improvement of public transit facilities
and equipment needed for a safe, efficient, and coordinated public transportation
system.
(8)
] Commission--The Texas Transportation
Commission.
(9)
] Common rule--49
CFR,
[
Code of Federal Regulations
] Part 18, Uniform Administrative
Requirements for Grants and Cooperative Agreements to State and Local Governments.
(10)
] Contractor--A recipient of
public transportation funds through a contract with the department. This definition
is synonymous with subrecipient.
(11)
] Department--The Texas Department
of Transportation.
(12)
] Deputy executive director
--The deputy executive director of the department.
(13)
] Designated recipient--The
state, an authority, a municipality that is not included in an authority,
a local governmental body, or a nonprofit entity providing rural public transportation
services, that receives federal or state public transportation money through
the department or the Federal Transit Administration, or its successor.
(14)
] Director--The director of
public transportation for the department.
(15)
] District--One of the 25
districts of the department having responsibility for administration of public
transportation programs in a designated geographic area.
(16)
] District engineer--The chief
executive officer in charge of a district [
of the department
].
(17)
] Equipment--Tangible, nonexpendable,
personal property having a useful life of more than one year and an acquisition
cost of $5,000 or more per unit.
(18)
] Executive director--The
chief executive officer of the department.
(19)
] Fatality--A death
that results
[
resulting
] from an incident and
that occurs
[
occurring
] within 30 days following the incident.
(20)
] Federally funded project--A
public transportation project that is being funded in part under the provisions
of the Federal Transit Act, as amended, 49
USC
[
U.S.C.
] §5301
et seq., the Federal-Aid Highway Act of 1973, as amended, 23
USC
[
U.S.C.
] §101 et seq., or
any
other federal program for
funding public transportation.
(21)
] Fiscal year--The state accounting
period of 12 months that begins on September 1 of each calendar year and ends
on August 31 of the following calendar year.
(22)
] FTA--The Federal Transit
Administration, an agency of the United States Department of Transportation.
(23)
] Hazardous condition--A condition
that may endanger human life or property, including an unacceptable hazardous
condition.
(24)
Incident--A collision; a
loss of vehicle control that results in a vehicle's leaving the roadway or
in an injury; a non-arson fire; or transit property damage that is greater
than $1,000 and that is associated with a transit agency revenue vehicle,
that is associated with any other facility on the transit property, or that
is associated with a service vehicle, a maintenance area, or transit agency
right of way.]
(25)
] Individual--A natural person,
including a passenger, trespasser, employee, or bystander.
(26)
Injury--Any harm to an individual
if the harm necessitates medical treatment, or any harm to an individual if
the harm is reported to a law enforcement authority at approximately the time
and place of the harm's occurrence. For an employee of a transit agency, this
definition includes an incident resulting in time lost from duty and also
includes any other definition followed by the transit agency with regard to
its current employee injury reporting practice.]
(27)
] Investigation--A process
to determine the probable cause of
a rail
[
an
] accident
or an unacceptable hazardous condition, including a review by the department,
or its agent, of a rail transit agency's determination of the probable cause
of
a rail
[
an
] accident or an unacceptable hazardous
condition.
(28)
] Like-kind exchange--The
trade-in or sale of a transit vehicle before the end of its useful life to
acquire a replacement vehicle of like kind.
(29)
] Local funds--Money from
the purchase of service agreements, contract income, advertising revenue,
local tax receipts, and private donations, in-kind contributions, and passenger
revenue, notwithstanding any statutory requirement to apply that money to
offset operating deficits.
(30)
] Local governmental entity--Any
local unit of government including a city, town, village, municipality, county,
city transit department, metropolitan transit authority, or regional transit
authority.
(31)
] Local public body--Includes
cities, counties, and other political subdivisions of states; public agencies;
and instrumentalities of one or more states, municipalities, or political
subdivisions of states.
(32)
] Local share requirement--The
amount of funds that is required and is eligible to match federally funded
projects for the improvement of public transportation.
(33)
] MPO--Metropolitan Planning
Organization, the organization designated by the governor as the responsible
entity for transportation planning in urbanized areas over 50,000 in population.
(34)
] Net operating expenses--Those
expenses that remain after operating revenues are subtracted from eligible
operating expenses.
(35)
] Nonprofit organization--A
corporation or association determined by the Secretary of the Treasury of
the United States to be an organization described by 26
USC
[
U.S.C
] §501(c), one that is exempt from taxation under 26
USC
[
U.S.C.
] §504(a) or §101, or one that has been
determined under state law to be nonprofit and for which the state has received
documentation certifying the status of the nonprofit organization.
(36)
] Nonurbanized area--An area
outside an urbanized area[
, as designated by the United States Census
Bureau. This definition is synonymous with a rural or small urban area
].
(37)
] Obligated funds--Monies
made available under a valid, unexpired contract between the department and
a public transportation subrecipient.
(38)
] Operating expenses--Costs
directly related to system operations of a transit agency. At a minimum, this
definition includes fuel, oil, replacement tires, replacement parts that do
not meet the criteria for capital items, drivers' and mechanics' salaries
and fringe benefits, dispatchers' salaries, and licenses. This definition
also includes the maintenance, repair, servicing, and inspection of transit
agency property, including both vehicles and other property, whether routine
or to remedy the effects of collision damage or vandalism.
(39)
] Private--Pertaining to nonpublic
entities. This definition does not include municipalities or other political
subdivisions of the state; public agencies or instrumentalities of one or
more states; Indian tribes (except private nonprofit corporations formed by
Indian tribes); public corporations, boards, or commissions established under
the law of any state; or entities subject to control by public authority,
whether state or municipal.
(40)
] Project--The public transportation
activities to be carried out by a subrecipient, as described in its application
for funding.
U.S.C.
] §5336; and
RPT
(rural public transportation)
]--A generic term used to identify subrecipients
who provide service in nonurbanized areas.
, but are not
limited to,
] public agencies, representatives of transportation agency
employees or other affected employees, private providers of transportation,
non-governmental agencies, local businesses, persons in diverse and traditionally
underserved communities, and other interested parties.
Subchapter B. STATE PROGRAMS
for
] an authority, may receive formula program funds described
in paragraph (2) of this subsection. The commission will distribute the money
allocated under this paragraph as follows.
United
States Code (U.S.C.)
] §5307. The monies will be distributed in
a ratio of the amount received by that entity during the preceding fiscal
biennium, less any amount returned by the entity at the end of the first year
of the preceding fiscal biennium, to the total amount received by all entities
during the preceding fiscal biennium. However, designated recipients located
in an urbanized area including one or more transit authorities that received
state transit funding during the fiscal biennium ending August 31, 1997, cannot
receive funding under this section or §31.13 of this subchapter that
exceeds the amount the designated recipient received during the fiscal biennium
ending August 31, 1997.
(d)
] Application. To receive funds
allocated under this section, a designated recipient must first submit
a completed
[
an
] application, in the form prescribed by the
department, to the
appropriate district
[
director
].
The application must include certification that the proposed public transportation
project is consistent with continuing, cooperating, and comprehensive regional
transportation planning implemented in accordance with 49
USC
[
U.S.C.
] §5301 and §1602a. Federal approval of a proposed public
transportation project will be accepted as a determination that all federal
planning requirements have been met.
(e)
] Project evaluation. In evaluating
a project under this section, the department will consider the need for fast,
safe, efficient, and economical public transportation and the approval of
the FTA, or its successor.
§31.11(b)(2)
] of this subchapter; and
an applicant
] must first submit
a completed
[
an
] application, in the form prescribed by the
department, to the
appropriate district
[
director
].
The application must include:
Subchapter C. FEDERAL PROGRAMS
United States Code (U.S.C.)
] §5309, authorizes
the
Secretary
[
secretary
] of the United States Department
of Transportation to make capital investment grants and loans.
U.S.C.
] §5303, authorizes the
Secretary
[
secretary
] of the United States Department of Transportation to make
grants to MPOs to support the development of transportation plans and programs.
The secretary is required to
apportion
[
allocate
] planning
funds to the states, who must
allocate
[
further suballocate
] them to MPOs.
(c)
Department role. The department
acts as the designated recipient for Section 5303 metropolitan planning grants.
As the administering agency the department will:]
(1)
develop application materials and disseminate
information to MPOs;]
(2)
allocate the available program funds using
the latest census data for population for the urbanized area served by the
MPO, so that:]
(A)
all MPOs will receive funds based on the ratio
of each MPO's population to the total population of all MPOs;]
(B)
any MPO that would otherwise receive less than
$20,000 will have its share adjusted upward to $20,000, except that the minimum
funding amount for Texarkana will be $12,999; and]
(C)
the balance of FTA Section 5303 funds will
be redistributed to the remaining MPOs based on the ratio of each MPO's population
to the total population of all MPOs;]
(3)
prepare the state's funding application and
submit that material to the FTA for approval;]
(4)
execute contracts with MPOs;]
(5)
prepare requests for federal reimbursement
and process payment requests from MPOs;]
(6)
monitor and evaluate the progress of annual
work programs, including compliance with federal regulations; and]
(7)
provide technical assistance as necessary.]
U.S.C.
] §5313, authorizes the Secretary of the
United States Department of Transportation to make grants to states for planning
and research activities.
U.S.C.
] §5307, authorizes the Secretary of the
United States Department of Transportation to make capital and operating grants
for public transportation projects in urbanized areas.
U.S.C.
] §5310 (a)(2), authorizes the Secretary
of the United States Department of Transportation to make capital grants or
loans for the provision of transportation services meeting the special needs
of
the
elderly and
persons with disabilities
[
disabled persons
]. The department has been designated by the governor
to administer the Section 5310 program.
disabled persons
] using
the most efficient combination of financial and other resources. To achieve
this goal, the objectives of the department are to:
disabled persons
] throughout the state, in partnership
with local stakeholders;
disabled persons
].
that include performance goals and management objectives
for those recipients
];
Code of Federal Regulations (C.F.R.)
] Part
639;
disabled population of
] each district
will be calculated by using the latest census figures for counties available
from the state data center.
disabled population
] will then be divided by the state total of that population to determine
the district's formula allocation.
disabled
persons
].
Elderly and disabled transportation
] planning and development
for the elderly and persons with disabilities
.
non-urbanized
] areas each district will establish,
after consultation with local stakeholders, a local planning and development
process. The local planning and development process will result in a three-year
transit development plan
[
Public Transportation Development Plan
], updated annually, that will demonstrate and include[
, but will
not be limited to
]:
(A)
local public input identifying
public transportation needs and services;]
(B)
evaluation criteria for project
selection that will include researching and establishing the best possible
service and the best possible provider to carry out service;]
(C)
efforts to encourage local
coordinated services in all areas and to create a coordinated transportation
network; and]
(D)
procedures for evaluating
the efficiency and effectiveness of the transportation network.]
that will include, but not be limited to:
]
(A)
the decision-making process;]
(B)
the local area's continuous
plan for coordinating transportation services in the area;]
(C)
an annual evaluation of projects
and areas previously funded;]
(D)
the providers in the local
area participating in the program;]
(E)
the resources available in
the area (i.e., purchase of services or wheelchair lift vehicles);]
(F)
a local assessment of the
program;]
(G)
a needs assessment; and]
(H)
a three-year service plan].
U.S.C.
] §5311, authorizes the Secretary of the
United States Department of Transportation to make grants for public transportation
projects in nonurbanized areas. The department has been designated by the
governor to administer the Section 5311 program.
and the establishment
of performance goals and management objectives
]; and
C.F.R.
] Part 639;
,
] shall be for a 12-month period unless otherwise authorized
by the department [
, and shall provide for performance goals and management
objectives for the RPT subrecipient that are acceptable to the commission
].
(A)
Performance goals for each
fiscal year shall at a minimum include at least one measure deemed appropriate
by that RPT subrecipient and the department after consultation with the affected
RPT subrecipient from each of the categories listed in clauses (i)-(iii) of
this subparagraph and may include at least one measure as provided in clause
(iv) of this subparagraph.]
(i)
Cost efficiency. Examples include, but are
not limited to, specific performance targets related to revenue recovery ratio,
cost per vehicle mile, or cost per service hour.]
(ii)
Cost effectiveness. Examples include, but
are not limited to, specific performance targets related to cost per passenger
trip or cost per passenger mile.]
(iii)
Service utilization. Examples include, but
are not limited to, specific performance targets related to passenger trips
per capita, passenger trips per mile, or passenger trips per hour.]
(iv)
Other measures. The department and the RPT
subrecipient may also adopt other performance goals that are deemed appropriate
by the department and that RPT subrecipient to address particular operational
issues. For example, if an RPT subrecipient has experienced a number of vehicular
accidents during the preceding year, the department and that RPT subrecipient
might agree to institution of a safety program with the goal of reducing the
number of accidents by a specified percentage.]
(B)
Management objectives for
each fiscal year shall at a minimum include at least one measure deemed appropriate
by that RPT subrecipient and the department after consultation with the affected
RPT subrecipient from each of the following categories.]
(i)
Training. Examples include, but are not limited
to, a target for hours of training to be provided to drivers, renewal of first
aid and related certifications for all drivers and management employees, or
completion of a total quality management course by a specified number of supervisory
staff members.]
(ii)
Marketing and public involvement. Examples
include, but are not limited to, the expenditure of a specified budget percentage
or amount on marketing activities, the completion of a specified number of
public meetings to obtain comments on system operations, or the administration
of a passenger survey on quality of service.]
(iii)
Disadvantaged business enterprise participation.
Examples include, but are not limited to, achievement of a specified percentage
increase in the use of disadvantaged business enterprises, or recruitment
and certification of a specified number of disadvantaged business enterprises.]
(iv)
General management activities. Examples include,
but are not limited to, the automation of all financial and personnel records,
preparation of a business plan to foster private sector partnerships, or completion
of a staffing plan that identifies funding resources for anticipated personnel
increases.]
(C)
A subrecipient's performance
goals and management objectives will serve as a basis for the department's
annual review of the subrecipient's efficiency and effectiveness in providing
public transportation services. If the subrecipient fails to meet those goals
or objectives, and fails to demonstrate a good faith effort for their accomplishment,
the commission may rule the subrecipient ineligible to receive nonurbanized
public transportation funding. However, the department will make all possible
efforts to ensure continuity of service in that area to accommodate the needs
of public transportation riders.]
(i)
The department will notify the subrecipient
of any deficiencies noted in the annual review, and will allow the subrecipient
a minimum grace period of one calendar year from the date of notification
to correct those deficiencies. During the grace period, the department will
make every reasonable effort to provide appropriate technical assistance to
the RPT subrecipient.]
(ii)
If at the end of the grace period the deficiencies
have not been corrected, the commission may by written order authorize the
department to terminate funding to the RPT subrecipient. The RPT subrecipient
may request a public hearing before the commission to present input on why
termination is not warranted in accordance with the provisions of §1.5
of this title (relating to Public Hearing).]
A prospective applicant must submit an application for Section
5311 grant funds to the appropriate district office, on the forms and at the
time specified by the department.
] The application must document the
need and demand for general public passenger transportation services.
Subchapter D. PROGRAM ADMINISTRATION
United States Code (U.S.C.)
]:
U.S.C.
] §5301
et seq., shall comply with the provisions of the following statutes and regulations:
U.S.C.
] §2000(e);
U.S.C.
] §2000(e), as it applies to equal employment
opportunity;
Code of
Federal Regulations (C.F.R.)
] Part 23) as they apply to disadvantaged
business enterprises;
U.S.C.
] §794, as it relates to the prohibition of
discrimination on the basis of handicap;
U.S.C.
] §12101 et seq.;
U.S.C.
] §5333(b),
and 29
CFR
[
C.F.R.
] Part 215, as they relate to the
protection of labor;
U.S.C.
] §4321 et seq.;
U.S.C.
] §4601 et
seq.;
U.S.C.
] §470a et seq.;
U.S.C.
] §469a-1 et seq.;
U.S.C.
] §1251
et seq.;
U.S.C.
] §7401 et seq.;
U.S.C.
] §6321;
C.F.R.
] Part 663;
U.S.C.
] §701 et seq.;
C.F.R.
] Part
655
[
653
];
C.F.R.
] Part 604;
C.F.R.
]; and
department
] notice of the intent to award a purchase order or contract to any
individuals or organizations not a part of the subrecipient's organization
when the amount of the purchase meets or exceeds the threshold level in the
Government Code or Local Government Code (or
greater than $25,000
[
$15,000
] for those entities not covered by the Government Code or Local
Government Code) requiring formal competitive procurement.
Notice shall
be given to the district or to the Public Transportation Division, whichever
is responsible for administering the contract.
Purchases shall not be
split out to stay below the threshold amount. No subcontract will relieve
the subrecipient of the subrecipient's legal responsibilities to the department.
All subcontracts in excess of $25,000 shall contain the following required
provisions from the pro forma grant contract between the department and the
subrecipient:
$15,000
or greater
] for those entities not covered by the Government Code or
Local Government Code) shall require sealed bids
or proposals
.
Bids for computer and radio systems shall include all subcomponents necessary
for the system to be operated in the unit cost. Exceptions will be allowed
for those entities that are eligible to purchase items through the state open
contract procedures.
less than
$15,000
] for those entities not covered by the Government Code or Local
Government Code) do require the solicitation of bids from at least three sources.
The subrecipient shall retain a written record of these solicitations. Exceptions
will be allowed for those entities that are eligible to purchase items through
the state open contract procedures.
$15,000
] for those entities not covered by the Government Code or Local
Government Code) requiring formal competitive procurement. Purchases shall
not be split out to stay below the threshold amount. The subrecipient shall
at a minimum provide the following documentation as requested by the department
describing the procurement history:
and
] guidance on competitive
procurement
[
bidding
] procedures
, and assistance in
developing procurement documentation
to a subrecipient upon request.
If subrecipients choose to develop their own specifications, they assume full
responsibility for ensuring that the specifications do not restrict competition.
, but are not limited to
]:
which
] identify adequately
the source and application of funds for grant-supported activities ([
such
] records shall contain information pertaining to grant awards and
authorization, obligations, commitments, assets, liabilities, outlays, and
income);
such
] assets and shall assure that they are used solely for authorized
purposes);
which
] are
supported by source documentation; and
as
] failure to do so shall be grounds for termination
of the grant contract by the department (the department shall not be responsible
for the debts of the contractor).
Such payment
] is contingent
upon the availability of federal and state appropriated funds.
or
] any of their
authorized representatives
,
shall have access to the financial
and other project records at all reasonable times during the contract period
and for the record retention period for the purpose of making audits, examinations,
excerpts and transcripts.
or
] audit findings
involving the records have been resolved.
Accident
] reports. Subrecipients
shall report all
incidents
[
accidents
] that meet criteria
established by the department. The subrecipient shall submit the report within
five days of the
incident
[
accident
] or discovery of
the
incident
[
accident
].
title (relating to Recordkeeping and Inventory Requirements)
].
Good Faith Effort
]).
monthly,
] quarterly[
,
] and annual operations reports.
accidents
]
per 100,000 miles of service and average number of miles between
revenue
vehicle mechanical system failures that prevent the vehicle from completing
a scheduled revenue trip
[
road calls
].
.
]
Cost
] per vehicle mile [
and average vehicle utilization
].
Cost
] per unlinked passenger trip.
accidents
]
per 100,000 miles of service and average number of miles between
revenue
vehicle mechanical system failures that prevent the vehicle from completing
a scheduled revenue trip
[
road calls
].
(6)
Performance goals and management
objectives. All recipients of state and federal assistance through the department
shall develop annual performance goals and management objectives in accordance
with §31.36 of this chapter. A written status report shall be submitted
at the end of the state fiscal year.]
(7)
] Significant events. The recipient
shall promptly advise the department in writing of events that have a significant
effect on the delivery of public transportation services, including:
(8)
] Rail Transit Agency Report.
Rail Transit Agency Reports shall be submitted in accordance with §31.61
and §31.65 of this chapter.
(9)
] Miscellaneous reports. Entities
receiving funds from either the department or the FTA shall cooperate with
the department in providing other information as requested by state and federal
funding agencies.
Highway
] Administration requirements
for drug and alcohol compliance if it owns a vehicle that requires a commercial
driver's
[
drivers
] license to operate. [
The department
will monitor Section 5310 subrecipients for compliance with these regulations.
]
establishing a deadline for compliance. Failure to respond in
the prescribed manner will cause the department to consider this a major deficiency
as described in paragraph (2) of this subsection
].
knowingly violated program
requirements or has
] pursued actions that are illegal or that pose a
safety hazard to employees, passengers, or other members of the public. Examples
include [
, but are not limited to,
] failure to maintain required
insurance coverage, violation of charter regulations, and nonpayment of subcontractors
or vendors. In these cases, the department will issue a certified letter advising
the subrecipient to [
immediately
] address the deficiency
immediately. The
[
, and the
] subrecipient's compliance will
be verified by department personnel [
within 48 hours of the subrecipient's
receipt of the certified letter
]. If the subrecipient does not
comply
[
respond
] in the prescribed manner, the department
will, within ten working days, exercise its contract termination rights, direct
the disposition of equipment purchased with grant funds, or both. Subrecipients
that have been cited for major deficiencies that were not corrected will be
ineligible to receive financial assistance from the department for a period
of two years from the date of the certified notification letter. A decision
that a
subrecipient
[
subcontractor
] is ineligible for
financial assistance because of a major deficiency may be appealed
to
the commission by filing five copies of a petition with the executive director
[
in accordance with the provisions of §1.21 et seq. of this
title (relating to Procedures in Contested Cases)
].
Such
] evidence must include a certification that, whenever
possible, and to the maximum extent feasible, the existing network of transportation
providers, and in particular the fixed route components of public transportation
systems, will be used to meet the client transportation requirements of the
state's social service agencies and their clients.
Subchapter E. PROPERTY MANAGEMENT STANDARDS