FTA Section 5310 RCC Program: Compliance Oversight

1. FTA Section 5310 RCC Program:Compliance Oversight New Hampshire Department of TransportationBureau of Rail & Transit June 5, 2019

2. Before we dive in… • Follow me to Pole A in lot if there’s an alarm • Powder rooms just outside room • Please have ringers on loud to keep folks awake • State your name and business

3. Agenda 1:00 Introductions and Background 1:15 Title VI/Civil Rights Jay Ankenbrock, NHDOT Chief of Federal Compliance 1:35 Disadvantaged Business Enterprises (Larisa Djuvelek-Ruggiero, NHDOT External EEO Coordinator 2:25 10-minute break 2:35 Procurement/Financial Management/Other Compliance Aspects Fred Butler, NHDOT Public Transportation Administrator 3:10 Risk Management Practices for RCC Lead Agencies Nate Miller, Southern NH Planning Commission 3:40 Q&A 4:00 Class Dismissed

4. Background • RCC system implemented 7+ years ago • No comprehensive oversight to date for various reasons • Fed requirements have always applied; clauses in all current contracts FTA FUNDING Our primary goal is to keep the FTA $ flowing!

5. Oversight Hierarchy Lead Agencies will have oversight responsibilities; NHDOT will help!

6. Scope of Oversight • Primary Source for NHDOT: • FFY19 Comprehensive Review Guide • NHDOT has identified 8 of 21 FTA compliance areas that apply • Some just require cursory questions/documentation review each year • Others require more extensive review • Oversight will vary by agency • Some lead agencies do not provide transportation

7. Start-up vs. Ongoing Efforts • “Take off” will require effort • Policies put in place • Websites updated • Relationships established • Kinks worked out • Estimated 3-5 hours each month for first few months • On-site reviews planned for fall: likely ½ day for each lead agency • Lead agencies should plan on the same for each sub • Once up and running, we expect smooth sailing!

8. FTA Title VI Implementation Jay Ankenbrock NHDOT Chief of Labor Compliance

9. Training Objectives • Title VI Legislation • What Discrimination is prohibited by Title VI? • What does Title VI do? • Title VI & Limited English Proficiency (LEP) • Public Participation Plan • Title VI Program Implementation

10. Title VI of the 1964 Civil Rights Act No person in the United States shall, on the ground of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance.

11. What is Federal Financial Assistance? • Federal financial assistance means more than just money • Grants and Loans, tax-exempt bonds • Property, donations of surplus equipment • Technical assistance, training, etc.

12. What does Title VI Do? In operating a Federally assisted program, entities cannot, on the basis of race, color, or national origin either directly or through contractual means; • Deny program services, aids, or benefits • Provide a different service, aid or benefit, or provide them in a manner different than they are provided to others • Segregate or separately treat individuals in any matter related to the receipt of any service, aid, or benefit

13. Requirements for all recipients Eight Elements contained in every Title VI Program: • Notice of Rights under Title VI • How to file a complaint, copy of complaint form • List of Title VI investigations, complaints or lawsuits • Public Participation Plan • LEP Plan (including four factor analysis) • Racial breakdown of non-elected advisory councils • Narrative describing subrecipeint monitoring • Board of Directors resolution or meeting minutes demonstrating the board approved the Title VI Program.

14. Title VI complaint procedures and complaint form • Procedures for filing a complaint • Procedures for investigating a complaint • Title VI compliant form • Notify the NHDOT of a Title VI complaint • Post compliant procedures and compliant form on recipient's website

15. Limited English Proficiency (LEP) • Individuals with a primary or home language other than English who must, due to limited fluency in English, communicate in that primary or home language if the individuals are to have and equal opportunity to participate effectively in or benefit from any aid, service or program. • Failure to provide access to anyone that is an LEP individual is national origin discrimination under the Civil Rights Act of 1964.

16. Complying with LEP requirements • Language Assistance • Translation and Interpretation • Oral language interpretation • Bilingual staffing • Community volunteers or service agencies • Contact a qualified outside language service* • Translation of vital documents • Use of alternative communication methods & devices

17. Safe Harbor Provision • Translation of written materials for LEP groups • Eligible LEP groups constitute 5% or 1,000 persons • Written notices should be provided in the primary language of those with LEP about their right to receive competent oral interpretation of those written materials, free of cost • These safe harbor provisions apply to the translation of written documents only

18. Promoting inclusive public participation Public participation plan will contain: • Proactive strategies • Procedures and • Desired outcomes Suggested PPP strategies • Meetings at convenient times and accessible locations • Utilizing different meeting sizes and formats • Alternative advertising platforms

19. Promoting inclusive public participation • Partnerships CBOs • Regular emails to community members • Participation in community fairs & festivals • Public comment periods • Representatives for people with disabilities • Website • Facebook • Newsletter • Board meetings • Communications with media • Key person interviews • Focus groups • Communication with elected officials

20. Submitting Title VI program • All recipients must submit Title VI Program every three years. • Title VI program must be approved by grantee’s Board of Directors or appropriate governing entity and submit documentation of such action. • Post Title VI Program on website.

21. Title VI Guidelines • Department of Justice Title VI YouTube Video https://www.justice.gov/crt/fcs/TitleVI-Videos • FTA Title VI Circular FTA C4702.1B https://www.transit.dot.gov/sites/fta.dot.gov/files/docs/FTA_Title_VI_FINAL.pdf

22. Title VI Questions? Jay Ankenbrock Chief of Labor Compliance NHDOT 603-271-2467 john.ankenbrock@dot.nh.gov

23. FTA Disadvantaged Business Enterprise (DBE) Larisa Djuvelek-Ruggiero NHDOT External EEO Coordinator

24. Disadvantaged Business Enterprise (DBE) Objectives • Regulation Background • DBE Goal & Goal Setting Process • Contracts • Your DBE Requirements • Uniform Report of DBE Commitments/Awards & Payments • Questions

25. DBE (cont’d) Regulation Background • Federal Regulation The U.S. Congress (1982) 49 CFR Part 26 • DBE Definition • A small business that’s owned and controlled by one or more socially and economically disadvantaged individuals • Purpose • Ensure nondiscrimination in the award and administration of Federally assisted contracts. • Create a level playing field on which DBEs can compete for Federally assisted contracts. • Assist the development of firms that can complete successfully in the marketplace outside the DBE Program. • Economic engine for the country & community investment

26. DBE (cont’d) Regulation Background (cont’d) • Criteria for Participation - DBE Certifications: • Small Business: • NH based for profit business (Interstate certification) • Citizenship or Permanent Residence • Social & Economic Disadvantage • At least 51% Ownership & Control • PNW cap $1,320,000 • Small Business Size (SBA) Standard cap $23.98 million ($52.47 million for ACDBEs) • Direct FTA Funds Recipients & Sub-Recipients • Any agency receiving $250K+ funds from FTA (planning, capital and/or operating assistance)

27. DBE (cont’d) DBE Goal & Goal Setting Process • DBE Goal = % of FTA $$ for contracting opportunities with DBEs • Race Conscious vs. Race Neutral Goals • RC: Focus & benefit assisting only DBEs (RC measure: contract goals) • RN: Focus & benefits assisting all small business (competitive) • DBE Goal Setting Process (Excludes Transit Vehicle Purchase) • Methodology (every 3 years; due August 1) • Collecting, analyzing & reviewing data • Creating DBE Goal & Methodology Plan • Public participation/consulting with stakeholders • Seeking FTA approval • NHDOT DBE Goal for FFY2017-2019 1.65% • New proposed goal 2.1% (pending FTA approval) • New triennial goal for FFY20-22

28. DBE (cont’d) Contracts

29. DBE (cont’d) Contracts (cont’d) • Must include: • An Equal Opportunity Clause • Non-Discrimination Clause • Prompt Pay Provision Nondiscrimination - In accordance with Federal transit law at 49 U.S.C. § 5332, the Contractor agrees that it will not discriminate against any employee or applicant for employment because of race, color, religion, national origin, sex, disability, or age. In addition, the Contractor agrees to comply with applicable Federal implementing regulations and other implementing requirements FTA may issue. FTA Best Practices Procurement & Lessons Learned Manual, October 2016 Prompt Pay - Subcontractors are required to pay their Subcontractors and/or material suppliers, within 30 calendar days from the date they receive payment for satisfactory work performed or supplies received. This Prompt Pay requirement shall be made part of all subcontracts and agreements.

30. DBE (cont’d) Your DBE Requirements

31. DBE (cont’d) Your DBE Requirements (cont’d) • DBE Directory

32. DBE (cont’d) Your DBE Requirements (cont’d)

33. DBE (cont’d) Your DBE Requirements (cont’d)

34. DBE (cont’d) Your DBE Requirements (cont’d)

35. DBE (cont’d) Your DBE Requirements (cont’d) • Uniform Report of DBE Commitments/Awards & Payments • Report: • By Agency • 5310/5311/etc.

36. DBE (cont’d) Your DBE Requirements (cont’d)

37. DBE (cont’d) Your DBE Requirements (cont’d)

38. DBE (cont’d) Uniform Report of DBE Commitments/Awards & Payments

39. DBE (cont’d) Uniform Report of DBE Commitments/Awards & Payments (cont’d) • Contracting/Purchasing Opportunities • Architecture • Art & Graphics • Carpet care • Disposal of waste fluids • Drug screens & physical exams • Equipment repairs • Seat belt fasteners & extenders • Mailing services • Paint • Glass replacement • Signage • Translation & Interpretation Services, etc.

40. DBE (cont’d) Uniform Report of DBE Commitments/Awards & Payments (cont’d)

41. DBE (cont’d) Uniform Report of DBE Commitments/Awards & Payments (cont’d) • Scenario Example: • 15 vendors/contractors ($100K) • Awards to 2 DBE Firms ($35K) • 7 subcontracts ($20K) • 4 DBE Firms ($15K) • $15K WBE (non-minority) • $10K MWBE (African American) • $5K MWBE (Native American) • $5K MWBE (Subcontinent Asian) • $7.5K MBE (Hispanic American) • $7.5K MBE (Subcontinent Asian)

42. DBE (cont’d) Uniform Report of DBE Commitments/Awards & Payments (cont’d) • Section A: Awards & Commitments:

43. DBE (cont’d) Uniform Report of DBE Commitments/Awards & Payments (cont’d) • Section B: Gender & Ethnicity Breakdown - Example: • Check the NHDOT DBE Directory • AND • Contact the External EEO Coordinator • OR Provide a list of DBE Firms with your report

44. DBE (cont’d) Uniform Report of DBE Commitments/Awards & Payments (cont’d) • Section C: Ongoing Payments - Example • Ongoing Payments with Federal funds • on contracts during the reporting period • Must establish a mechanism to track • the ongoing information required in Section C

45. DBE (cont’d) Uniform Report of DBE Commitments/Awards & Payments (cont’d) • Section D: Completed Contracts - Example • Payments made to prime contracts completed • with Federal funds (RN)

46. DBE (cont’d) Larisa.Djuvelek-Ruggiero@nh.dot.gov OR 603.271.6612

47. Other Key FTA Compliance Requirements Fred Butler NHDOT Public Transit Administrator

48. Procurement • (All DBE requirements apply) • Procurement policy needed • Who is authorized? • At what thresholds? • Most will be micro-purchases (< $10K*): • Fair and reasonable determination • Distribution among vendors • Small purchases ($10K or higher*) require: • Quotes • Federal Clauses • Other requirements as applicable • Contact NHDOT! • *Thresholds are based on FTA amounts; may be less per agency policy

49. Financial Management • Monthly • Attachment A for Admin/Mobility Management expenses • Carol S. will request additional backup documentation at her discretion • Contracted Services template (w/ ridership/rate data) • For review purposes • Lead Agencies to retain all documentation pertaining to expenses • For how long? • Up to 3 years after contract period; NHDOT to advise

50. Financial Management (cont’d) Summary w/ Contracted services details Attachment A: Mobility Management (Admin) details We’ll need these each month; one summary plus an Attachment A from each agency that requests MM funds