Maintaining Accountability for the TD Program

1. Maintaining Accountability for the TD Program

2. Maintaining Accountability for the TD Program Accountability has been strengthened through program audits and quality assurance reviews. • State funds require accountability • Accountability requires documentation and procedures • Grant Fund Recipients should be financially sound and have strong internal controls • Good Stewards of Tax $$ • Prevent perception of Fraud

3. TD Program Documents • Memorandum of Agreement (MOA) • Transportation Disadvantaged Service Plan (TDSP) • Eligibility Criteria • Rate Model Worksheets • Grant Applications and Grant Agreements • Eligibility Applications • Invoices • Annual Operating Report (AOR) • Operator/Coordination Contract • Quality Assurance Reviews

4. Memorandum of Agreement (MOA) • Binding contract between the CTD and CTC • Recognized as State Contract for passenger transportation • Contains minimum standard requirements • Is not negotiable • Reviewed and signed by LCB Chair • Five Year Term • CTC must maintain

5. Transportation Disadvantaged Service Plan (TDSP) • Developed by CTC and Planning Agency under guidance and approval of the Local Coordinating Board. • Initial TDSP submitted upon CTC designation by CTD every five years, with annual updates • CTC must ensure the following areas are addressed: • Types, hours and days of service • Information regarding accessing services • Non-sponsored eligibility criteria • Current Rates for service, including Rate Model Worksheets

6. Rate Model Worksheets • Should have procedures that identify the following • Who prepares • What reports are used to support data • Maintenance of support documentation • Must be updated Annually prior to new Grant Cycle – begin preparation Jan.- Feb. • If only listing TDTF revenues, then only list expenses related to TDTF services (trips & miles). • May NOT Match AOR • Submit to CTD Project Manager for approval • Provide to LCB for approval as part of TDSP update

7. Rate Model Worksheets • Rates are included in Grant • Can only be at trip rate or mile rate

8. Rate Model Worksheets • Group Trip “Per Passenger” – Three or more (as defined locally) eligible Transportation Disadvantage customers on one vehicle being picked up at multiple origins and travelling to one single destination or being picked up from one single origin and traveling to multiple destinations. These trips should be invoiced by the individual trip rate either by trip or mile. • Group Trip “Per Group” - Three or more (as defined locally) eligible Transportation Disadvantaged customers on one vehicle being picked up from a single origin and traveling to as single destination. These trips should be invoiced by the group rate (not the individual rate) either by trip or mile.

9. CTD Trip & Equipment Grant Applications and Agreements • Grant is between CTD and CTC for the provision of trips and purchase of capital equipment. • Applications must be completed and submitted to CTD prior to grant execution • Application Form; Service Rates Form; Standard Assurances; Authorizing Resolution • Grants begin on date of execution, no earlier than July 1 of each year • Grants expire June 30, no extensions

10. CTD Trip & Equipment Grant Applications and Agreements • Capital Equipment Purchases: • Up to 25% of total project cost (less voluntary $) can be used to purchase capital equipment. • Capital equipment must be identified in the grant agreement. • Utilized within Grantee’s coordinated system. • Vehicles must only be used for the provision of transportation for eligible riders of system. • Does not include the acquisition, construction, or improvement of facilities. • Cannot be used for extended warranties or maintenance or service agreements.

11. CTD Trip & Equipment Grant Applications and Agreements • Competitive procurement is required and should be documented. • Amendments to include capital equipment shall be requested no later than March 31st. • Plan Ahead - Don’t wait until its too late to get LCB approval.

12. CTD Trip & Equipment Grant Applications and Agreements – Eligibility Criteria • Grant funds are used to reimburse CTCs for a portion of the cost of trips provided to eligible individuals who meet the definition of transportation disadvantaged and are not sponsored by any other federal, state, or local government program. • Eligibility Criteria • Unable to transport themselves or to purchase transportation due to: • Physical or Mental Disability • Income Status • Age

13. CTD Trip & Equipment Grant Applications and Agreements - Eligibility Criteria • Eligibility criteria must be developed locally and be consistent with TDSP • No Self Declarations • An approved written eligibility application must be maintained for each rider (trip or bus pass) • Support documentation must accompany application and be verifiable. • Documentation must be available upon request by CTD staff or its designee • Documentation shall be maintained during the period of the grant and for five years after final payment 

14. CTD Trip & Equipment Grant Applications and Agreements – Eligibility Criteria • Examples of Support Documentation: • Disability • Governmental issued document that reflects disability • Documentation from medical professional • Documentation from disability organizations that rider may receive services from • Age • Birth Certificate • Governmental issued document that provides DOB • Recent Income tax documentation • Income • Recent Income tax documentation • Pay stubs • Governmental issued documentation that reflects income status or qualification for governmental financial assistance

15. CTD Trip & Equipment Grant Applications and Agreements – Eligibility Criteria • Have a written eligibility review/approval procedure that includes: • Who approves/denies • The reason eligibility was approved (disability, age, income or all of the above) • Recertification timeframe • Protection of sensitive information

16. CTD Trip & Equipment Grant Applications and Agreements - Invoices • Invoices • New Procedures effective for services provided beginning July 1, 2017. • Changes • One Excel Workbook • Standardized format • Requires specific trip details

17. CTD Trip & Equipment Grant Applications and Agreements - Invoices • Reimbursed for a portion (90%) of the cost of each passenger trip. • Grantees must provide services before seeking reimbursement. • Electronic submission of all invoices is required. • Worksheets should be completed as provided by CTD. No PDFs of information accepted. • Contact your project manager if electronic file is too large to be emailed.

18. CTD Trip & Equipment Grant Applications and Agreements - Invoices • Reimbursement will be based on unit cost as identified on Exhibit B, Page 2 of Grant.

19. CTD Trip & Equipment Grant Applications and Agreements - Invoices • Grantees are encouraged to submit invoice within 30-days after the month of service. • No excess funds remaining on the grant at the end of the grant period will be reimbursed to the Grantee. • Any overpayment of TD funds must be repaid to the Commission upon project completion. • Voluntary Dollar contributions are included in the first month’s disbursement allocation and will automatically be applied to first invoice of grant.

20. CTD Trip & Equipment Grant Applications and Agreements - Invoices • An invoice consists of the following: • One Excel Workbook • CTD Trip Invoice Form • Trip Summary Data Report • Detailed Back-Up Documentation

21. CTD Trip & Equipment Grant Applications and Agreements - Invoices

22. CTD Trip & Equipment Grant Applications and Agreements - Invoices • Invoice Form Common Issues • “Grantee Address” on form must be same as address in MyFloridaMarketPlace. • “Disbursement Amount” – this is the monthly amount identified in the Disbursement Schedule of the grant. Concerns were raised regarding “overmatching” when an invoice exceeded the monthly disbursement amount. This field is linked to the calculation that determines the match required for the allowable invoice amount. This ensures the correct amount of match is deducted when under and over billing occurs.

23. CTD Trip & Equipment Grant Applications and Agreements - Invoices • “Dates of Service” should be accurate and reflect the dates services were provided. Make sure to update for each invoice and record the last date of the month appropriately (28, 30 or 31). • Match is deducted after total cost has been adjusted due to over or under billing. • To avoid delay in payment, it is recommended to have invoice reviewed for accuracy by additional staff.

24. CTD Trip & Equipment Grant Applications and Agreements - Invoices

25. CTD Trip & Equipment Grant Applications and Agreements - Invoices • Trip Summary Data Form • New Form • Part of Excel Workbook

26. CTD Trip & Equipment Grant Applications and Agreements - Invoices • Backup Documentation • May add tabs for transportation modes that are not included in workbook. • Modes must be same as on Exhibit B of the Grant. • Consolidate all data by mode (not by operator) Example: All ambulatory trips reported on Ambulatory Tab.

27. CTD Trip & Equipment Grant Applications and Agreements - Invoices

28. CTD Trip & Equipment Grant Applications and Agreements - Invoices

29. CTD Trip & Equipment Grant Applications and Agreements - Invoices • Invoice shall be electronically submitted to: FLCTDInvoice@dot.state.fl.us • The email subject line should read as follows: County Name Grant # Invoice # (e.g.: Sunshine County ABE124 #03).

30. CTD Trip & Equipment Grant Applications and Agreements - Invoices • Capital Equipment Purchases: • Must purchase, receive and pay for the equipment before invoicing. • The equipment order and delivery must take place between the grant execution date and the grant termination date. • Description must match exactly as Exhibit B of Grant. • Utilize the CTD Capital Equipment invoice format regardless of grant type: • Trip and Equipment, Shirley Conroy Rural Area Capital Assistance Program, etc.

31. CTD Trip & Equipment Grant Applications and Agreements - Invoices Capital Equipment – Other Than Vehicles • Invoice consists of: • CTD Capital Equipment Invoice Form. • Invoice from Vendor. The invoice must include the serial number or identification number of the equipment. • Record of Payment. Copy of cancelled check showing payment in full to the vendor.

32. CTD Trip & Equipment Grant Applications and Agreements - Invoices Capital Equipment – Vehicles • Additional documentation is needed for vehicle purchases. Invoice consists of: • CTD Capital Equipment Invoice Form • Invoice from Vendor. VIN included • Record of Payment -cancelled check • Copy of Application for Title - CTD as the only Lien Holder.

33. CTD Trip & Equipment Grant Applications and Agreements - Invoices

34. CTD Trip & Equipment Grant Applications and Agreements - Invoices • Invoice and corresponding support documentation shall be electronically submitted to: FLCTDInvoice@dot.state.fl.us • The email subject line should read as follows: County Name Grant # Invoice # (e.g.: Sunshine County ABE124 #03).

35. Annual Operating Report (AOR) • Annual Operating Report reflects each CTC's operating data, provides a statewide operational profile of the Florida Coordinated Transportation System, and is used to evaluate certain performance aspects of the coordinated systems individually and as a whole. • The CTD complies data into an Annual Report that is submitted to Governor, and Legislative Leadership. • Required to be submitted by September 15 of each year. • Work with Planning Agency to ensure LCB reviews and signs face sheet and action is documented in meeting minutes. • New AOR Access Form. Previous passwords no longer valid. Each user must complete & submit AOR Access form.

36. Annual Operating Report (AOR) (Cont.) • CTC must be have procedures that address who prepared report, data sources, retention of documentation . • Make sure all data is validated, including data from Coordination Contractors and Operators. “That’s what they told me” is not an acceptable explanation to justify change in data. • Ensure data from Coordination Contractors and Operators are only for transportation services provided for the coordinated system. • Include justification for changes from previous years. “Reported incorrectly last year” is also not acceptable. • Maintain documentation to support all data submitted.

37. Operator/Coordination Contract • Operator – one or more public, private for- profit or private non-profit entities contrated by the CTC to provide service to TD persons. • Coordination Contractor – entities that receive funds and performs some, if not all, of its own transportation services for its own clients, when shown to be more effective and efficient from a total system perspective.

38. Operator/Coordination Contract (Cont.) • CTC must maintain written standardized contract, which includes all MOA requirements (Paragraphs E5 – M) • AOR Data, Audit and Record Keeping, Record Retention, Safety Requirements, Insurance Coverage, Safeguard of information, Civil Rights, etc.

39. Operator/Coordination Contract (Cont.) • CTC must conduct annual monitoring to ensure compliance with federal and/or state requirements. • Monitoring activities could include: • Compliance with requirements of operator contract • Compliance with SSPP • Ensuring driver files are current (physicals, training, background checks, drug/alcohol records) • Vehicle maintenance requirements • Verification of AOR data

40. Quality Assurance Reviews • Contract with Thomas Howell Ferguson (THF) • Review half of the CTCs each year • Focus is on following the funds • THF will be contacting you soon to schedule review if not reviewed in 16/17 • Testing eligibility, driver files, operator contracts, internal controls, procedures

41. CTD Project Managers

42. Thank You! If you have any questions or need additional information, please contact your Project Manager. Karen Somerset, Assistant Executive Director Commission for the Transportation Disadvantaged 850-410-5701 karen.somerset@dot.state.fl.us