Agenda 12/11/2012 Item #16D1112/11/2012 Item 16.D.11.
EXECUTIVE SUMMARY
Recommendation to approve the Resolutions authorizing the submittal of the Federal Transit
Administration Sections 5310 and 5311 FY2013/2014 grant applications and applicable documents
for submission to the Florida Department of Transportation (FDOT).
OBJECTIVE: To request capital grant funds for replacement of paratransit vehicles and operation grant
funds to maintain Fixed Route transportation service for the rural area of the county.
CONSIDERATION:
FTA Section 5310 Grant Request
Pursuant to 49 U.S.C. § 5310, Collier County is a designated Community Transportation Coordinator and
provider of mass transportation to elderly and individuals with disabilities. Each year, through an
application process administered by FDOT, the Collier Area Paratransit program has obtained funds for
the purchase of vehicles and for the provision of transportation services to the elderly and disabled
residents of Collier County.
The 5310 capital grant application is estimated to be $367,716 for four (4) vehicles. This capital grant
requires a 10% local match. If the grant request is approved for the full amount requested; the source of
Rinds will be $294,174 Federal, matched by $36,771 State and $36,771 local. The local share will be
funded by available auction proceeds as required by FTA and any remaining balance within
Transportation Disadvantaged Fund (427) funded by the annual support transfer from the General Fund
(001) or Gas Tax via Collier Area Transit Fund (426) Reserves.
The paratransit system maintains a capital replacement schedule for vehicles recommended and scheduled
for replacement by Fleet Management. The vehicles being replaced were purchased in 2007, meet FTA
vehicle end of useful life criteria, and are identified in the Vehicle Replacement Plan in the 2008
Transportation Disadvantaged Service Plan. These paratransit vehicles will be purchased in FY13
through the FDOT Vehicle Procurement Program.
FTA Section 5311 Grant Request
Pursuant to 49 U.S.C. § 5311, Collier County provides mass transportation to residents in non- urbanized
County areas through Collier Area Transit. Each year, through an application process administered by
FDOT, Collier County has obtained funds that are used for the operation of transportation services to
residents in rural communities of Collier County.
The 5311 operating grant application is estimated to be $591,200 and it will be utilized to provide transit
services in the non- urbanized areas of Collier County. This operations grant requires a 50% local match.
If the grant request is approved for the full amount requested, the source of funds will be $295,600
Federal and $295,600 local. The local share will be funded from the CAT Transit Enhancement Fund
(426) which supports fixed route transit operations predominantly funded through an annual transfer of
Gas Tax. The match is included in the annual budget process and will not require a separate budget
amendment.
Section 5311 Funding for operating assistance is essential to continue the existing level of service being
provided for the non - urbanized areas of the County. The Section 5311 grant helps fund four (4) non -
urbanized/rural routes: Route 5 (Immokalee Shuttle — provides a shuttle to and from the Immokalee area
to the transfer station on Radio Road); Route 7 (Immokalee Express — provides an early morning and late
�\ evening express service between Immokalee and Marco Island); and, Route 8A and Route 8B
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12/11/2012 Item 16. D.11.
(Immokalee Circulator - provides a circulator within the rural Immokalee community). This service
helps provide access to employment for rural area residents.
The following is the Program of Projects for the 5310 and 5311 FY 2013 /14 grant applications.
Grant Request Amounts for 5310 and 5311
FY 2013/14
�" k
All
. i; h:��: ,�2... �'�:
Funding
Fundin Request: $367J16
Funding Request: $591,200
Pro' t d scri lion:
Project descri lion:
Purchase four (4) replacement vehicles to provide
Operating assistance funding to provide
transportation service for the elderly and disabled
transportation service to residents in rural
residents of Collier County
communities of Collier Co4ty
FISCAL UAPACT: The 5310 capital grant application is estimated to be $367,716 for four (4)
vehicles. This capital grant requires a 101/o local match. If the grant request is approved for the full
amount requested, the source of funds will be $294,174 Federal, matched by $36,771 State and $36,771
local. The local share will be funded by available auction proceeds as required by FTA and any remaining
balance within Transportation Disadvantaged Fund (427) funded by the annual support transfer from the
General Fund (001) or Gas Tax via Collier Area Transit Fund (426) Reserves. No additional budget will
be requested in FY13.
The 5311 operating grant application is estimated to be $591,200 and it will be utilized to provide transit
services in the non - urbanized areas of Collier County. This operations grant requires a 50% local match.
If the grant request is approved for the full amount requested, the source of funds will be $295,600
Federal and $295,600 local. The local share will be funded from the CAT Transit Enhancement Fund
(426) which supports fixed route transit operations predominantly funded througu an annual transfer of
Gas Tax. The match is included in the annual budget process and will not require a separate budget
amendment. The application and acceptance of these grants will stay within budget guidance as done in
prior years and will not require additional budget.
LEGAL CONSIDERATIONS: This item has been reviewed and approved by the County. Attorney's
Office, is legally sufficient for Board action and only requires a majority vote for approval —SRT.
GROWTH MANAGEMENT IMPACT: This item has no growth management ippact.
RECOMMENDATION: That the Board approves the Resolutions authorizing execution, submittal, and
revision of any and all documents necessary to apply for the Federal Transit Administration Section 5310
and 5311 grants, including authorizing the Chairman to execute all required documents including the
Certification and Assurance to FDOT. It should be recognized that the grant amounts referenced above
are a preliminary number and are subject to change during final award.
Prepared by: Yousi Cardeso, Administrative Assistant, Alternative TransportationVodes Dept.
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COLLIER COUNTY
Board of County Commissioners
Item Number: 16.D.11.
12/11/2012 Item 16.D.11.
Item Summary: Recommendation to approve the Resolutions authorizing the submittal of
the Federal Transit Administration Sections 5310 and 5311 FY2013/2014 grant applications and
applicable documents for submission to the Florida Department of Transportation (FDOT).
Meeting Date: 12/11/2012
Prepared By
Name: CardesoYousi
Title: Administrative Assistant,Alternative Transportatio
11/8/2012 3:17:49 PM
Submitted by
Title: Administrative Assistant,Alternative Transportatio
Name: CardesoYousi
11/8/2012 3:17:52 PM
Approved By
Name: ArnoldMichelle
Title: Director - Alt Transportation Modes,Alternative Tr
Date: 11/14/2012 10:08:22 AM
Name: AlonsoHailey
Title: Operations Analyst, Public Service Division
Date: 11 /14/2012 4:32:09 PM
Name: SotoCaroline
Title: Management /Budget Analyst,Transportation Administr
Date: 11/15/2012 9:18:58 AM
Name: TeachScott
Title: Deputy County Attorney,County Attorney
Date: 11/19/2012 4:11:46 PM
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12/11/2012 Item 16.D.11.
Name: CarnellSteve '1
Title: Director - Purchasing/General Services,Purchasing
Date: 11/20/2012 1:10:16 PM
Name: OberrathKaren
Title: Senior Accountant, Grants
Date: 11/26/2012 1:57:35 PM
Name: TeachScott
Title: Deputy County Attomey,County Attorney
Date: 11/27/2012 8:00:32 AM
Name: KlatzkowJeff
Title: County Attorney
Date: 11/27/2012 8:35:20 AM
Name: FinnEd
Title: Senior Budget Analyst, OMB
Date: 11/27/2012 5:01:47 PM
Name: StanleyTherese
Title: Management/Budget Analyst, Senior,Office of Manage
Date: 11/28/2012 12:47:14 PM
Name: IsacksonMark
Title: Director -Corp Financial and Mgmt Svs,CMO
Date: 11/29/20129:54:51 AM
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12/11/2012 Item 16. D.11.
Checklist for Application Completeness, 5310 -37 FY13 /14
Name of Applicant: Collier County Board of County Commissioners
Check One: First Time Applicant: Previous Applicant: Yes
11e following must be included in the Section 5310 Grant application in the following order:
/ This checklist
V Applicant's cover letter (use FDOT provided cover letter)
/ Two (2) copies of the governing board's Resolution
Exhibit A -1: Fact Sheet
Application for Federal Assistance (Form 424, Code 20.513)
V Operating and Administrative Expense and Revenue Form
Current Vehicle and Transportation Equipment Inventory Form
Capital Request Form
Exhibit A: Current System Description
n
V" Exhibit B: Proposed Project Description
%/ Exhibit C: Public Hearing Notice and Publisher's Affidavit (for public agencies only)
Exhibit D: Coordination
t1r Exhibit F: Federal Certifications and Assurances
Exhibit G: Certification of Equivalent Service (if grant is for non- accessible vehicles)
V" Exhibit H: Applicant Certification and Assurance to FDOT
/ Exhibit K: Applicant Certification of Transportation Disadvantaged Service Plan (TDSP)
Date application was submitted to Local Clearinghouse /Regional Planning Council:
(send one (1) copy of letter received from the Local Clearinghouse /RPCto FDOT)
Additional documents required for first -time applicant (if a private -non -profit agency)
AU — Copy of Certification of Incorporation
24
Packet Page -3147-
Tuesday, December 11, 2012
Mrs. Julia B. Davis, AICP, Transit Projects Coordinator
Florida department of Transportation,
District One Modal Development Office /Public Transit
2981 North East Pine Island Road
Cape Coral, Florida 33909
Re: 5310 Grant Submittal
Dear Mrs. Davis:
Collier County submits this Application for the Section 5310 Program Grant and agrees to comply with all
assurances and exhibits attached hereto and by this reference made a part thereof, as itemized in the
Checklist for Application Completeness.
Collier County further agrees, to the extent provided by law (in case of a government agency in accordance
with Sections 129.07 and 768.28, Florida Statutes) to indemnify, defend and hold harmless the Department
and all of its officers, agents and employees from any claim, loss, damage, cost, charge, or expense arising
out of the non - compliance by the Agency, its officers, agents or employees, with any of the assurances stated
in this Application.
This Application is submitted on the 11 h day of December, 2012 with two (2) original resolutions or certified
copies of the original resolution authorizing Fred W. Coyle, Chairman of the Board of County Commissioners
to sign this Application. Thank you for your assistance in this matter.
Sincerely,
Michelle E. Arnold, ATM Director
Collier Area Transit
Growth Management Division • 2885 South Horseshoe Drive - Naples, Florida. 34104.239- 252 -8192 • FAX 239-252-2726
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12/11/2012 Item 16.D.11.
RESOLUTION NO. 2012-
A RESOLUTION BY THE BOARD OF COUNTY COMMISSIONERS, COLLIER
n COUNTY, FLORIDA, AUTHORIZING THE CHAIRMAN TO EXECUTE AND
FILE ALL DOCUMENTS NECESSARY TO APPLY FOR A FEDERAL TRANSIT
AGENCY SECTION 5310 GRANT, TO REVISE AND EXECUTE ANY REQUIRED
DOCUMENTATION, AND TO ACCEPT, ON BEHALF OF THE COUNTY, ANY
SUCH GRANT AWARDED.
WHEREAS, 49 U.S.C.§ 5310 authorizes the Secretary of Transportation to make grants
and loans to local government authorities such as Collier County to help provide mass
transportation services to meet the special needs of elderly individuals and individuals with
disabilities; and
WHEREAS, each year, through an application process administered by the Florida
Department of Transportation, the Collier County Transportation Disadvantaged program has
obtained funds that are used for the purchase of vehicles and for the provision of
transportation services to the elderly and disabled residents of Collier County; and
WHEREAS, the Collier County Local Coordinating Board ( "LCB ") has requested that
the Collier County Board of County Commissioners apply this year for FTA 49 U.S.C.§ 5310
funds in order to purchase vehicles to transport the elderly and disabled residents of Collier
County; and
n
WHEREAS, the Board of Collier County Commissioners has authority to apply for and
accept grants from the Florida Department of Transportation as authorized by Chapter 341,
Florida Statutes, and by the Federal Transit Administration Act of 1964, as amended.
NOW THEREFORE, BE IT RESOLVED by the Board of County Commissioners,
Collier County, Florida, that:
1. The BOARD authorizes its Chairman to file and execute the application on behalf of the
Collier County Board of County Commissioners with the Florida Department of
Transportation for the Federal Transit Administration Section 5310 Grant, including
revising and executing any and all documents required in connection with filing the
application, copies which are attached hereto, to approve any budget amendments
necessary to receive the funds, and to accept those funds on behalf of the County.
2. The BOARD'S Registered Agent in Florida is Jeffrey A. Klatzkow, County Attorney.
The registered Agent's address is 3299 East Tamiami Trail, Naples, FL 34112.
1
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12/11/2012 Item 16.D.11.
3. The BOARD authorizes its Chairman to sign any and all assurances, warranties,
certifications, agreements, any subsequent amendments, contracts and other such
documents that may be required in connection with the application.
4. This Resolution shall be effective immediately upon signature by the Chairman.
This Resolution adopted after motion, second and majority vote favoring same, this
day of , 2012.
ATTEST:
DWIGHT E. BROCK, Clerk
LM
, Deputy Clerk
Approved as to form and ciency:
Scott Teach 7
Deputy County Attorney
BOARD OF COUNTY COMWSSIONERS
COLLIER COUNTY, FLORIDA
2
Fred W. Coyle, Chairman
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12/11/2012 Item 16.D.11.
EXHIBIT A -1-- FACT SHEET
Name of Applicant: Collier County Board of County Commissioners
This is a one year `snap shot' of your service and every agency must use the followinq
fiscal years: July 1. 2011 — June 30, 2012 for the CURRENT year, and July 1 2013 — June 30 2014
for the year the grant is to be awarded. (')
n (1) Information clarified at workshops.
Packet Page -3151-
July 1, 2011 —June 30,
July 1, 2013 —June 30,
2012
2014
CURRENTLY
IF GRANT IS
AWARDED
Estimates are acceptable.)
1. Number of one -way trips provided to
124,704
124,704
elderly and persons with disabilities
E &D PER YEAR
2. Number of individual Elderly and
1,524
1,524
Disabled unduplicated riders (first ride
per rider per fiscal ear ) PER YEAR
3. Percentage of Elderly and Disable
21 %
21%
needing wheelchair positions
ACTUAL
4. Number of vehicles used to provide
Average of 20 per day
Average of 20 per day
Elderly and Disable service ACTUAL
5. Number of ambulatory seats
Average of 12 per
Average of 12 per
AVERAGE PER VEHICLE
vehicle
vehicle
(Total number of ambulatory seats in the
total fleet divided by the total number of
fleet vehicles
6. Number of wheelchair positions
68
68
AVERAGE PER VEHICLE
(Total number of wheelchair positions in
the total fleet divided by the total number
of fleet vehicles
7.Vehicle miles traveled PER YEAR
1,088,648
1,088,648
8. Average vehicle miles PER DAY
27,914
27,914
9. Normal number of days that vehicles
7
7
are in operation PER WEEK
I O.Normal hours of vehicle operation
10
10
PER DAY
11. Trip length (Roundtrip)
21.06 miles
21.06 miles
AVERAGE
n (1) Information clarified at workshops.
Packet Page -3151-
ADDI it -ATIMI Cf%D CGflCQAI AACICTANr'F
12/11/2012 Item 16.D.11.
Version 7/03
1. TYPE OF SUBMISSION:
Application — place an x in the box
Pre - application — place an x in the box
[3 construction
[ ] construction
] non - construction
[ non - construction
2. DATE SUBMITTED December 11, 2012
Applicant Identifier
3. DATE RECEIVED BY STATE
State Application Identifier
4. DATE RECEIVED BY FEDERAL AGENCY
Federal identifier
5. APPLICANT INFORMATION
Legal Name: Collier County Board of County Commissioners
Organizational Unit:
Department: Alternative Transportation Modes
Organizational DUNS: 076997790
Division: Public Services
Address: 3299 E. Tamiami Trl #103
Name and telephone number of person to be contacted on matters
Involving this application (give area code)
Street:
Prefix: First Name: Michelle
City: Naples
Middle Name: Edwards
County: Collier
Last Name: Arnold
State: Florida Zip Code 34112
Suffix:
Country: USA
Email: michelleamoid @colliergov.net
6. EMPLOYER IDENTIFICATION NUMBER (EIN):
Phone Number (give area code)
(Replace these boxes with numerals)
239 - 252 -5841
59-6000558
Fax Number (give area code) 239 - 252 -6628
8. TYPE OF APPLICATION:
7. TYPE OF APPLICANT: (See back of form for Application Types)
q New ❑ Continuation ❑Revision
County
If Revision, enter appropriate letter(s) in box(es) ❑ ❑
Other (specify)
(See back of form for description of letters.)
Other (specify
10. CATALOG OF FEDERAL DOMESTIC ASSISTANCE
9. NAME OF FEDERAL AGENCY:
NUMBER: (Replace these boxes with numerals)
Federal Transit Administration
20 -513
TITLE Name of Program):
11. DESCRIPTIVE TITLE OF APPLICANT'S PROJECT:
12. AREAS AFFECTED BY PROJECT (Cities, Counties, States,
Capital Assistance to replace paratransit vehicles that have outlived
etc.): Community of lmmokalee, Naples, Marco Island, Everglades `
their useful life.
City, Collier County
13. PROPOSED PROJECT
14. CONGRESSIONAL DISTRICTS OF:
Start Date: 7/1/13
Ending
a. Applicant
b. Project
Date:
6/30/14
15. ESTIMATED FUNDING:
16. IS APPLICATION SUBJECT TO REVIEW BY STATE EXECUTIVE
ORDER 12372 PROCESS?
a. Federal
$ 294,172
.80
a. Yes. ❑ THIS PREAPPLICATION /APPLICATION WAS MADE
AVAILABLE TO THE STATE EXECUTIVE ORDER 12372 PROCESS
FOR REVIEW ON:
b. Applicant
$ 36,771
.60
DATE:
c. State
$ 36,771
.60
b. No. ❑ PROGRAM IS NOT COVERED BY E. O. 12372.
d. Local
$
❑ PROGRAM HAS NOT BEEN SELECTED BY STATE FOR
REVIEW
e. Other
$
UU
17. IS THE APPLICANT DELINQUENT ON ANY FEDERAL DEBT?
f. Program Income
$
❑ Yes. If "Yes" attach an explanation.
q❑ No
g. TOTAL
$ 367,716
18. TO THE BEST OF MY KNOWLEDGE AND BELIEF, ALL DATA IN THIS APPLICATIONIPREAPPLICATION ARE TRUE AND
CORRECT. THE DOCUMENT HAS BEEN DULY AUTHORIZED BY THE GOVERNING BODY OF THE APPLICANT AND THE APPLICANT
WILL COMPLY WITH THE ATTACHED ASSURANCES IF THE ASSISTANCE IS AWARDED.
a. Authorized Representative
Prefix: Mr. First Name: Fred
Middle Name: W.
Last Name: Coyle
Suffix:
b. Title: Chairman
c. Telephone Number (give area code) 239 - 252 -8097
d. Signature of Authorized Representative:
e. Date Signed:
Previous Edition Usable. Authorized for Local Reproduction. Standard Forth 424 (Rev.9 -2UU3)
Prescribed by OMB Circular A -102
Packet Page -3152-
12/11/2012 Item 16. D.11.
PART C
APPLIES TO ALL APPLICANTS FOR CAPITAL ASSISTANCE
FORM C -1
TRANSPOR.TATiON- RELATED OPERATING and ADMINISTRATIVE EXPENSES
Name of Applicant: COLLIER COUNTY BOARD OF COUNTY COMMISSIONERS
State Fiscal period from 10/1/12 to 9/30/13
EXPENSE CATEGORY
EXPENSE $
Labor (501)
$37,500
Fringe and Benefits 502
20,200
Services 503
56,500
Materials and Supplies 504
468,100
Vehicle Maintenance 504.01
332,300
Utilities 505
20,500
Insurance 506
2,378,100
Licenses and Taxes 507
2,555,400
Purchased Transit Service 508
2,600
Miscellaneous 509
Leases and Rentals 512
250,500
Depreciation 513
TOTAL EXPENSE
$3,493,100
FORM C -2
OPERATING and ADMINISTRATIVE REVENUES
OPERATING REVENUE CATEGORY
REVENUE $
Passenger Fares for Transit Service (40 1)
150,000
Special Transit Fares (402)
Other (403 — 407) (identify by appropriate code)
TOTAL OPERATING REVENUE
$150,000
OTHER REVENUE CATEGORY
Taxes Levied Directly by the Transit System (408)
Local Cash Grants and Reimbursements (409)
2,378,100
Local Special Fare Assistance (410)
State Cash Grants and Reimbursements (411)
714,500
State Special Fare Assistance (412)
Federal Cash Grants & Reimbursements (413)
250,500
Interest Income (414)
Contributed Services (430)
Contributed Cash (43 1)
Subsidy from Other Sectors of Operations (440)
TOTAL OF OTHER REVENUE
$3,343,100
GRAND TOTAL ALL REVENUE
$
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12/11/2012 Item 16.D.11.
^ CAPITAL REQUEST FORM
VEHICLE REQUEST
GMIS Code R or Number Description (b) (c) Estimated
(This column E requested www.tripsflorida.or2 Cost
for FDOT use (a)
ONLY)
11. R 4 Turtle Top small cutaway 24" Vehicle with $367,716
6 standard seats and 6 foldawav seats
11.
EQUIPMENT REQUEST (c)
(a) Replacement (R) or Expansion (E).
(b) Provide a brief description including the length and type vehicle, type of fuel, lift or ramp,
number of seats and wheelchair positions. Do not show the Make. For example, 22' gasoline bus
with lift, 12 amb. seats, 2 w/c positions (due to the higher cost of diesel vehicles the applicant shall
be required to pay the difference in cost over that of a gasoline vehicle).
(c) Show mobile radios and identify the type of radio (i.e. two way radio or stereo radio), computer
hardware /software, etc. under "Equipment Request."
VEHICLE SUBTOTAL $ 367,716 + EQUIPMENT SUBTOTAL$ 0.00 = $ 367,716 (x).
(x) X 80% = $ 294,172.80 [Show this amount on Form 424 in block 15(a)]
Packet Page -3155-
12/11/2012 Item 16.D.11.
COLLIER COUNTY /COLLIER AREA TRANSIT
2013 5310 GRANT Application
EXHIBIT A: Current System Description:
Collier Area Transit (CAT) & Collier Area Paratransit (CAP)
Vision:
To be an integral part of Collier County's Transportation network operated effectively and efficiently to
improve economic and environmental benefits while providing all residents an alternative to the automobile.
Collier Area Paratransit's Mission:
Identify and safely meet the transportation needs of Collier County, through a courteous, dependable, cost
effective and environmentally sound team commitment.
Collier County Local Coordinating Board Mission:
To carry out a coordinated and comprehensive approach to planning, developing and providing transportation
services that meet the needs of transportation disadvantaged persons.
Collier County occupies a land area of 2,026 square miles making it one of the largest County's in Florida.
Almost 24 percent of Collier County's population is 65 years of age or older. This is 7% higher than the entire
state of Florida.
Collier Area Transit (CAT) provides residents and visitors of Collier County with an accessible mode of travel.
These services include fixed route and paratransit service. The public transit services are operated by a
contracted management company; Keolis Transit America. Paratransit service is available seven days a week.
The Collier County Board of County Commissioners serves as the Community Transportation Coordinator
(CTC) for Collier County. As the management company for the CTC, CAT performs the basic elements of
coordination for the Paratransit program in Collier County, e.g., call intake, certification, eligibility,
reservations, scheduling, reporting and many other related functions. Two distinct transportation programs are
provided under CAT's Paratransit program: Americans with Disabilities Act (ADA) and Transportation
Disadvantaged (TD). As of July 1 st of 2012 the Medicaid program is being managed by private provider MTM.
Service is provided under contract to Keolis mainly using vehicles provided and owned by the County. A total
of 124,704 one -way trips were provided during the state fiscal year 2012 and 115,758 during our fiscal year
2012. Fares for the paratransit program were increased effective October 1" of 2012 and are implemented as
regulated by each funding source. ADA fares are set up at $3.00 per one -way trip, based on Collier Area
Transit's fixed route bus fares. With more trip demand in such a large land area, comes wear and tear. More
vehicle miles traveled translate into increased maintenance requirements of our fleet.
Collier Area Transit's paratransit program operates an average of 20 routes and or manifests each day using
Collier County owned vehicles. The maintenance of Collier County owned vehicles is performed by Collier
County Fleet Management. Collier Area Paratransit's program conducts regular safety inspections on all
vehicles as a critical component of our overall safety and security program.
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12/11/2012 Item 16. D.11.
Our current vehicle inventory is supplied elsewhere in this grant application. As can be seen, many of the
vehicles presently in the Collier County /Collier Area Transit Fleet have high mileage on them. The Federal
guidelines for vehicle replacement indicate that our paratransit size of vehicles qualify for replacement after 4
years or in excess of 100,000 miles. As the Community Transportation Coordinator, we would like to be able to
replace high mileage vehicles. High mileage vehicles require increased maintenance expenses compared with
lower mileage vehicles.
A copy of relevant pages from our TDSP Major Update Plan highlighting Service and Trend Analysis has been
included.
Types of Paratransit /Transportation Trips
Total (non- cumulative per quarter)
FY09 FY10 FY11 FY12 FY11 FY11 FY11 FY11 FY12 FY12 FY12 FY12
YE YE YE YE Q1 Q2 Q3 Q4 Q1 Q2 Q3 Q4
r;Medical s;Food M,Personal 2 Work & Education
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at
57
12/11/2012 Item 16.D.11.
n
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12/11/2012 Item 16. D.11.
DEVELOPMENT PLAN
INTRODUCTION TO THE SERVICE AREA
Background of the TD Program
In 1999, Collier County Government assumed the roll of the Community Transportation
Coordinator (CTC). The County then requested proposals for a private management entity.
ATC /lntelitran was selected and under contract until their contract terminated on September 30,
2002. As required, the County again requested proposals for a management entity. There were
three respondents to the request, ATC /lntelitran, McDonald Transit Associates and MV
Transportation Inc. The proposals were processed through a selection committee for review and
scoring. McDonald Transit Associates had the highest score, followed by ATC /lntelitran and MV
Transportation Inc. respectively. The management of the local fixed -route and paratransit
operations merged effective October 1, 2005 under McDonald Transit.
CTC Designation
The Collier County Board of County Commissioners serves as the Community Transportation
Coordinator (CTC) for Collier County. The County has directed that the Collier Area Transit
^ (CAT) Paratransit Program (operated by McDonald Transit) handle the management
responsibilities as the CTC. Figure 1 shows the organizational structure of the Collier County
CTC.
Collier Area Transit operates nine routes on a fixed -route system. The entire fleet is equipped
with lifts that are compatible with the Americans with Disabilities Act of 1990 (ADA).
Collier County CTC is considered a complete brokerage, contracting all fixed- route, paratransit
and transportation disadvantaged operations to McDonald Transit who operates as Collier Area
Transit (CAT). Collier Area Transit obtains prior authorization for all trips (Americans with
Disabilities Act (ADA), Transportation Disadvantaged (TD), and Medicaid), schedules the trips
and invoices the County on a bimonthly basis.
As the management company for the CTC, CAT performs the basic elements of coordination for
the paratransit program in Collier County, e.g., call intake, certification, eligibility, reservations,
scheduling, transportation, reporting, cost - sharing and information sharing. Collier County
provides administrative support for the paratransit program, such as grant writing and
management, planning, and public information. Three distinct transportation programs are
provided under Collier Area Transit's Paratransit Program: Americans with Disabilities Act
(ADA), Transportation Disadvantaged (TD) and Medicaid.
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12/11/2012 Item 16.D.11.
The ADA program provides service to people who reside within'/ miles of an existing CAT bus
route (with origins and destinations within 3/4 miles of a fixed- route), have transportation needs
that fall within the service schedule of CAT, but cannot access the bus system due to a
disability. The TD program provides service to people residing in areas where CAT bus routes
are not available, and who have no other means of transportation. The Medicaid program
provides transportation for individuals on Medicaid to Medicaid eligible services who cannot
travel by the CAT bus routes and have no other means of transportation.
Organization Chart (see Figure 1)
2
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12/11/2012 Item 16.D.11.
Figure 1
Collier County CTC Organizational Chart
Florida Commission for the
Transportation Disadvantaged
I
I
i------------------- L ----------------
�
I I
I
Collier County
Board of County Local Coordinating Collier County MPO
Commissioners (CTC) Board
Collier County Alternative
Transportation Modes
Department
Ao"'N Collier Area Transit
(McDonald Transit)
(Manager)
Fixed route, ADA,
Paratransit, Transportation
Disadvantaged
Transportation
Operators
Agencies purchasing
transportation
Customers
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12/11/2012 Item 16.D.11.
Population estimates for 2007 (2007 American Community Survey, US Census Bureau) report
315,839 residents. This growth has labeled Collier County as one of the fastest developing
areas in the nation.
Collier County Demographics
Land Use
Collier County continues to rank as one of the fastest growing metropolitan areas in the nation.
Significant growth in the county is occurring in the unincorporated areas east and immediately
west of Interstate 75. Large scale developments of regional impact (DRIs) include Ave Maria
and Big Cypress.
Population
According to the 2007 American Community Survey, the most populous city in Collier County is
Naples with an estimated population of 21,653. The City of Marco Island is the second largest
in Collier County, with an estimated population of 14,87.9. The population of the county's
unincorporated area is 279,307 residents. From 1990 to 2007, the population of Collier County
increased from 152,099 to 315,839, an increase of 108 percent.
Table 1 displays population, population growth, and population density for Collier County and
Florida as a whole. From 1990 to 2007, Collier County grew at a rate much higher than that of
the State of Florida — almost 108 percent, while the state population grew at just over 41
percent. The population density that exists in Collier County, however, is much less than the
overall population density for the state, with 159 persons per square mile versus 339 persons
per square mile.
Table 1
Population and Population Density
Area
Population
Population
Population
Population
Growth
Density (2007)
(persons per
(1990)
(2000)
(2007)
(1990. 2007)
square mile)
Collier County
152,099
251,377
315,839
107.7%
159
Florida
12,938,071
15,982,378
18,349,132
41.1%
339
Source: 2007 American Community Survey (released 812812008)
8
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12/11/2012 Item 16.D.11.
Age
Table 2 charts the age group percentages for both Florida and Collier County. According to the
2007 Florida Statistical Abstract, almost 24 percent of Collier County's population is 65 years of
age or older. This is seven percent higher than the State of Florida. The 55 -64 age cohort
continues to comprise the smallest portion of the population in Collier County, with 13 percent of
the population. The 0 -17, 18 -34, and 35 -54 age cohorts are all somewhat less than those for
the State of Florida.
Table 2
Population Age Distribution, 2007
Source: Florida Statistical Abstract 2007 (2007 ACS data not available for this data set)
Income
n Table 3 compares the distribution of household income in Florida and Collier County. The
percent of households in Collier County with incomes over $75,000 is significantly higher than
that for the state. Collier County has a smaller percentage of residents in every category below
$75,000. It is important to note that while the county as a whole is predominantly more affluent
than that for the State of Florida, there are anomalies that exist. The Immokalee area falls
within a statewide area of critical economic concern and has been designated as a "rural
enterprise zone" with higher than average unemployment, children living in poverty, and families
who fall under the federal poverty thresholds. Transportation to employment, job training, and
critical health and social services available in the western portions of the county must continue
to be available to residents of Immokalee area.
W
Packet Page -3163-
Age Cohorts
Area ,
0 -17
18 -34
35 -54
55-64
65+
Collier County
20.3%
17.7%
25.0%
13.4%
23.6%
Florida
214%
21.1%
28.0%
11.3%
17.2%
Source: Florida Statistical Abstract 2007 (2007 ACS data not available for this data set)
Income
n Table 3 compares the distribution of household income in Florida and Collier County. The
percent of households in Collier County with incomes over $75,000 is significantly higher than
that for the state. Collier County has a smaller percentage of residents in every category below
$75,000. It is important to note that while the county as a whole is predominantly more affluent
than that for the State of Florida, there are anomalies that exist. The Immokalee area falls
within a statewide area of critical economic concern and has been designated as a "rural
enterprise zone" with higher than average unemployment, children living in poverty, and families
who fall under the federal poverty thresholds. Transportation to employment, job training, and
critical health and social services available in the western portions of the county must continue
to be available to residents of Immokalee area.
W
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12/11/2012 Item 16. D.11.
Table 3
1 Household Income Distribution, 2006
Source: 2006 American Community Survey (2007 ACS data not available for this data set)
Employment Characteristics
Table 4 compares the size of the civilian labor force, 16 years of age and older; to the actual
percent of the labor force that is employed for both Collier County and Florida (does not include
members of the military). Ninety -seven percent of the Collier County labor force is employed.
This is just above the Florida labor force employment rate of 95 percent. As mentioned
previously, while the County has a relatively high employment rate, there are areas within the
County that have high unemployment rates when compared to the County and to the State of
Florida. For the area of Immokalee, the current unemployment rate is around 14.8% (US
Department of Labor, Bureau of Labor and Employment Statistics, July 2008), significantly
higher than that for the state or for Collier County.
Table 4
Employment Characteristics for Collier County, 2008
Area
Household Income and Percent of Total
Area
$0-
$9,999
%
$10,000.
$24,999
%
$25,000-
$34,999
%e
$35,000-
$49,999
%u
$50,000-
$74,949
%
Over
$75,000
%
Collier
4,873
4.06
19,298
16.07
14,284
11.89
18,006
14.99
16,674
13.88
46,953
39.10
Florida
543,202
7.64
1,306,156
18.38
879,081
1 12.37
1,128,398
1 15.88
1.360,289
19.14
1,888.916
26.58
Source: 2006 American Community Survey (2007 ACS data not available for this data set)
Employment Characteristics
Table 4 compares the size of the civilian labor force, 16 years of age and older; to the actual
percent of the labor force that is employed for both Collier County and Florida (does not include
members of the military). Ninety -seven percent of the Collier County labor force is employed.
This is just above the Florida labor force employment rate of 95 percent. As mentioned
previously, while the County has a relatively high employment rate, there are areas within the
County that have high unemployment rates when compared to the County and to the State of
Florida. For the area of Immokalee, the current unemployment rate is around 14.8% (US
Department of Labor, Bureau of Labor and Employment Statistics, July 2008), significantly
higher than that for the state or for Collier County.
Table 4
Employment Characteristics for Collier County, 2008
Area
Percentage of Labor Force Employed
Collier
92.3%
Immokalee
85.2%
Florida
93.9%
Source: Bureau of Labor and Employment Statistics, July 2008
Largest Employers
Table 5 lists the top fifteen largest employers in Collier County. The largest employer in Collier
County is the Collier County School Board. Other large employers include Publix, Collier
County Government, and NCH Healthcare.
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12/11/2012 Item 16.D.11.
Table 5
Collier County Largest Employers
?Employer
Type of Business
Total Employees
Collier County Public Schools
Education
3,350
Publix Supermarkets
Grocery
2,021
Collier County Government
Government
2,161
NCH Healthcare System
Health Care
2,080
Employee Professionals
Staffing /Human Resources
1,700
Ritz - Carlton Hotel
Hospitality
1,150
Collier County Sheriffs Office
Government
1,000
Marriott
Hospitality
943
_
Winn -Dixie Supermarkets
Grocery
918 _
Registry Resort
Hospitality
750_
_
League Club, Inc
_
Non- profit charitable
organization
625
Symphony Rehabilitation Svcs.
Healthcare
607
Wal -Mart Stores
Retail
594
Classic Bentley Village, Inc.
Retirement community
550
City of Naples
Government
480
'AN, Source: Collier County Economic, Demographic & Community Profile
Vehicle Availability
Table 6 shows the number of households who have access to a vehicle. In Collier County, over
four percent of the households do not have access to a vehicle. In the State of Florida, six
percent of households do not have accessibility to a vehicle. Collier County has a slightly higher
percentage of household vehicle availability when compared with the State of Florida, 95.5%
and 93.4 %, respectively.
Table 6
Vehicle Availability Distribution, 2006
Household Vehicle Availability
Area
None
% of Total
One or
More
% of Total
Collier
5,383
4.5%
115,580
95.5%
Florida
465,693
6.6%
6,640,349
93.4%
Source: 2006 American Community Survey (2007 ACS data not available for this
data set.
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12/11/2012 Item 16.D.11.
Travel to Work
Table 7 compares the distribution of travel time to work for Collier County and Florida. The
majority of Collier County residents have a commute of less than 30 minutes (68 percent)
whereas about 62 percent of Florida residents complete their commute in less than 30 minutes.
From this table we can see that Collier County residents typically spend less time traveling to
work than the average Florida resident.
Table 7
Travel to Work — Commute Times for Collier County
Area
Less than
10 -20 min
20.30 min
30-44 mini
45.60 min,
1 604, min
75.45%
10 min
0.89%
2.58%
4.97%
Florida
80.60%
Collier
10.7%
29.55%
23.64%
20.68%
8.53%
6.89%
Florida
11.25%
27.84%
21.92%
1 23.25%
1 8.26%
1 7.47 %
Source: 2006 American Community Survey (2007 ACS data not available for this data set)
Mode of Travel to Work
Table 8 shows the distribution of workers' mode of transportation to work in Collier County and
Florida. Collier County has a slightly lower percentage of drive alone travel, and a slightly
higher rate of carpool /vanpool travel when compared to statewide results. Public transportation
use is lower than that of the State of Florida, with less than one percent of workers using it to
travel to work.
Table 8
Mode of Travel to Work Distribution, 2000
Area
Drive Alone
CarpoolfVanpool
Public
Transportation
Bike or Walk
Work at
Home
Collier
75.45%
16.11%
0.89%
2.58%
4.97%
Florida
80.60%
11.06%
2.00%
2.26%
4.07%
Source: 2006 American Community Survey (2007 ACS data not available for this data set)
Major Trip Generators
Table 9 shows the major trip generators and attractors in Collier County.
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12/11/2012 Item 16.D.11.
Table 9
Major Paratransit Trip Generators and Attractors
Medical Facilities
Physicians Regional Medical Center (Collier
Boulevard)
North Collier Hospital
Physicians Regional Medical Center (Pine
Ride Road
Dialysis Centers
Naples Community Hospital
Cleveland Clinic
Children's Medical Services
Shopping/Entertainment
Naples CBD
Super Wal -Mart (CR 951 south of Davis
Blvd
Coastland Center Mall
Super Wal -Mart (CR 951 south of US 41)
Wal -Mart (US 41 North)
Pine Ridge Crossings
Wal -Mart (US 41 and Palm Dr)
Carillon Place
Schools /Government Centers
Lorenzo Walker Institute of Technology
Collier County Government Complex
Edison College
Other GeneratorslAttractors
Sunrise
Buena Vida (Assisted Living)
Naples Municipal Airport
Care Club
The Naples Carlisle (Assisted Living)
Source: Collier County Alternative Modes Department/CA T
13
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12/11/2012 Item 16. D.11.
SERVICE ANALYSIS /NEED ASSESSMENT
This section presents estimates regarding the need and demand for transportation services
among the Transportation Disadvantaged (TD) population in Collier County. It provides a
quantitative transportation needs profile for the applicable TD populations and indicates unmet
need for transportation in the Collier County service area.
TD Population Forecasts
There are two categories of TD population in the State of Florida, the difference between which
is specifically related to funding arrangements. The first group is the "potential TD population"
(also known as TD Category 1). This potential TD population includes disabled, elderly, low -
income persons, and children who are "high- risk" or "at- risk."
The second group of TD population (also known as TD Category II), includes those persons
who are unable to transport themselves or to purchase transportation. These persons are
eligible to receive the same subsidies as those in Category I, plus they are eligible to receive TD
Trust Fund monies for non- sponsored general trips. Thus, this population group is actually a
subset of the potential TD population.
Tables 10, 11 and 12 break down the Potential TD Population and TD Population groups in
Collier County. Persons in either of these population groups may be heavily dependent on
some form of public transportation.
Table 10
Forecasts of TD Populations in Collier County
TD Population '
Year
2008
2009
2010
2011
2012
2013
Category 1
122,912
127,163
131,575
136,153
140,900
145,829
Category II
19,369
19,945
20,539
21,153
21,789
22,446
Source: 1993 CUTR Methodology
14
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12/11/2012 Item 16.D.11.
Table 11
2008 Collier County Potential Transportation
Disadvantaged Population (Category 1) Estimates
Segments
Population
Estimates
Percent of Total
Potential TD
Disabled, Non - Elderly, Low Income
1,119
.91%
Disabled, Non - Elderly, Non -Low Income
7,694
6.3%
Disabled, Elderly, Low Income
989
.80%
Disabled, Elderly, Non -Low Income
17,666
14.4%
Non- Disabled, Elderly, Low Income
3,882
3.2%
Non- Disabled, Elderly, Noci -Lora Jncome
59,362
56.4%
Non - Disabled, Non - Elderly, Low Income
22,200
18.1%
Total Potential Transportation Disadvantaged Population
122,912
100%
Source: 1993 CUTR Methodology
Table 12
2008 Collier County Transportation
Disadvantaged Population (Category 11) Estimates
Segments
Population
Estimates'
Percent of Total
TD
Transportation Disabled, Non - Elderly, Low Income
513
2.6 %
Transportation Disabled, Non - Elderly, Non -Low Income
3;526
18.2%
Transportation Disabled, Elderly, Low Income
507
2.6%
Transportation Disabled, Elderly, Non -Low Income
9,050
46.7 %"
Non - Transportation Disabled, Low Income, No Auto,
No Fixed -Route Transit
5,773
29.8%
Total Transportation Disadvantaged Population
19,369
100%
Source: 1993 CUTR Methodology
Demand for Program Trips
Individuals included in the Category I estimates are eligible to receive governmental and social
service subsidies for program trips. A program trip is one made by a client of a government or
social service agency for the purpose of participating in a program of that agency. Examples of
program trips are Medicaid trips, trips to congregate meal sites, or trips to job training facilities.
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12/11/2012 Item 16.D.11.
The forecasted demand for program trips is shown in Table 13. Program Trip demand is
dependent upon the existence of the program to which the potential TD population group is
transported. For example, demand for trips to sheltered workshops exists only because there
are sheltered workshop programs. Thus, the demand for program trips is equal to the number
of trips required to take advantage of the service offered by the program. Therefore, the
demand for program trips depends on the funding level for the various social service programs.
Table 13
Forecasts of Collier County
Program Trip Demand and Supply
Year
Potential TD Population
(Category 1)
Demand for
Program Trips
Supply of iProgram
Trips
2008
122,912
251,450
251,450
2009
127,163
261,508
261,508
2010
131,575
271,969
271,969
2011
136,153
282,847
282,847
2012
140,900
294,161
294,161
2013
145,829
305,928
305,928
Source: 1993 CUTR Methodology
Demand for General Trips
General trips are trips made by Transportation Disadvantaged persons (Category II) to
destinations of their choice (not to agency programs). Examples of general trips are trips to
work or grocery stores and non - Medicaid medical trips. Deriving the demand for general trips is
different than for program trips. The methodology developed to forecast demand for general
trips involves the use of trip rates derived in a study of paratransit demand conducted in 1990
for the San Francisco Bay Area Metropolitan Transportation Commission by Crain & Associates,
Inc. and others (San Francisco Bay Area Regional Paratransit Plan: Final Report). The trip
rates were developed from the actual experiences of paratransit systems around the country
that were meeting most or all of the trip demand in their service areas. The use of these trip
rates has been recommended by the Federal Transit Administration for estimating demand for
ADA complementary paratransit.
Total demand for general trips is simply the TD population multiplied by the trip rates. The TD
population (rather than the Potential TD population) was used to forecast demand, because the
TD population is the pool of persons eligible for general trips funded by the state. Table 14
shows the forecasts of the Collier County TD population, as well as demand and supply
estimates for general trips by the TD population for the years 2008 through 2013.
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12/11/2012 Item 16.D.11.
A gap exists between demand for general trips and the supply of these trips. Unmet demand
refers to demand that currently exists in the TD transportation market, but is not being met due
to factors such as funding, price, convenience, comfort, eligibility, and the availability of other
transportation modes.
Table 14
Forecasts of Collier County
TD General Trip Demand and Supply
Year -
TD Population
(Category 11)
Demand for
General Trips
Supply of
General Trips
Unmet Demand,
for General' Trips
2008
19,369
278,914
107,404
171,510
2009
19,945
287,208
111,611
175,597
2010
20,539
295,762
115,984
179,778
2011
21,153
304,603
120,527
184,076
2012
21,789
313,762
125,249
188,513
2013
22,446
323,222
130,155
193,067
Source: 1993 CUTR Methodology
It should be noted that the figures related to the demand and supply of TD general purpose trips
in Collier County include trips that will also fall under the category of ADA complementary
paratransit services. The ADA provides for unconstrained delivery of paratransit trips for
persons who cannot use the fixed -route bus system due to the nature and /or extent of their
disability. Persons may be certified as eligible for ADA paratransit trips, as well as TD general
purpose trips. Therefore, the figures for unmet demand included in Table 14 are inflated and
reflect some duplication in the calculation of trip demand.
Census Tract Analysis
Information from the U.S. Census can be used to determine characteristics that are highly
correlated with a person's or household's need for transit. This type of analysis is useful for
determining census tracts with high transit- dependent characteristics. Demographic
characteristics that are generally used to indicate transit dependence included the distribution of
youth (under 18 years of age), elderly persons (over 65 years of age), low- income households
(125% of poverty level), and zero- vehicle households. These categories also become useful for
identifying those residents who have a propensity to utilize paratransit (ADA, TD, and Medicaid)
services.
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The first step in identifying the census tracts that have persons or households with the greatest
propensity for paratransit use involved the calculation of the percent distributions of the four
demographic characteristics for each tract. Results from this process are put into a table of
values indicating the percent of youth, elderly persons, low - income households, and zero -
vehicle households for each of the area's census tracts. The census tracts are then sorted for
each characteristic in descending order of percent distribution so that the tracts with higher
percentages for each characteristic wou`d appear at the top of their respective ranges.
From the percentage ranges, an average percent value and a standard deviation value are
calculated for each characteristic. Statistically, the standard deviation may be thought of as a
measure of distance from the average value. According to an empirical rule of thumb, for most
moderately - sized data sets with a bell- shaped normal distribution, approximately 68 percent of
the data values will lie within one standard deviation of their average and approximately 95
percent of the data values will lie within two standard deviations of their average. Each of the
three characteristic ranges is then stratified into four segments, based on the following break
points: average percent, average percent plus one standard deviation, and average percent
plus two standard deviations. Thus, the census tracts fall into one of the following four
categories for each characteristic: below average, above average but below one standard
deviation (above average), between one and two standard deviations above average (far above
average), and more than two standard deviations above average (significantly above average).
The next step involves the assignment of discrete numerical scores to each of the four
categories established for each demographic characteristic. These scores serve two basic
purposes: to provide uniform ranking to all of the tracts within a particular category and to
numerically differentiate among the four categories for each characteristic. A comparative
probability estimation method is utilized to develop the scores. First, the probability that a tract
would be part of a specific category for a given characteristic is calculated for each category.
For example, if two of Collier County's 52 census tracts were part of the "significantly above
average" category for the elderly characteristic, this means that there is a 3.8 percent probability
(# tracts in category _ # total tracts x 100 %) that one of the county's tracts would fall within the
range established for that particular category for the elderly characteristic.
After the probabilities are calculated for each characteristic, they are then used to estimate the
categories' scores via comparative probability ratios. That is, the probability percentage for each
category is divided into the probability percentage for the "below average" category. This
numerator was selected so that, for each characteristic, the census tracts in the "below
average" category would receive a score of one (1).
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12/11/2012 Item 16.D.11.
Finally, composite scores are calculated for the census tracts by summing individual category
scores for each demographic characteristic. The census tracts are then ranked by composite
score and stratified into four levels, using the same method that was utilized to develop
characteristic categories. The census tracts that fell into the "significantly above average"
category were defined as primary transit - dependent tracts, i.e., census tracts with the greatest
propensity for transit based on each tract's percentages of youth, elderly persons, low- income
households, and zero- vehicle households. Secondary transit - dependent tracts included those
that fell into the "far above average" category; tertiary transit- dependent tracts included those
tracts in the "above average" category.
Table 15, provided on the following pages, lists each transit dependent block group by its
designation as "primary," "secondary," and "tertiary." Also included is a list of CAT routes that
serve these areas (if available), followed by an indication of whether the area is "adequately
served," "not served," or "partially served." The term adequately served does not
necessarily suggest that service hours and frequency are sufficient. This level of
evaluation is important and should be conducted by Collier County to determine if
service level adjustments are warranted, within funding availability.
Ao'"'k, Collier Area Transit Coverage
Collier Area Transit (CAT) provides transit services to areas throughout Collier County. There
are currently nine routes (see Figure 2) providing service coverage in Collier County, including
an express route that runs twice a day between Immokalee and Marco Island_ As noted in
Table 15, Tracts 112.04 and 112.05 are identified as the most transit - dependent tracts in the
county. Six of the ten primary transit- dependent block groups (Census tracts are composed of
smaller block groups) are located within these two census tracts.
Tracts 112.04 and 112.05, as well as six of the ten primary transit dependent block groups are
located in the Immokalee area. The Blue Route, Pink Route, and the Marco Express Route
provide service to this area. The four other primary transit - dependent block groups are located
at the Collier /Lee County line just west of US 41, two block groups along the east side of
Goodlette -Frank Road between Pine Ridge Road and US 41, and a small block group located
on the south side of Rattlesnake Hammock Road, just east of US 41. Figures 2 and 3 provide a
visual depiction of the transit dependent block groups in Collier County.
Many of the secondary and tertiary transit- dependent groups making the list are along the
coastal areas. It should be noted that, sometimes, census blocks in typically affluent coastal
communities are characterized by a large enough percentage of elderly so as to have a high
enough composite score from this analysis to be considered transit - dependent. This is likely the
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12/11/2012 Item 16. D.11.
case for Collier County. However, while they are not necessarily transit dependent, they may
be willing to purchase transportation to supplement their current options.
With a few exceptions, transit service is provided to most of the transit - dependent block groups
identified in this analysis. The main areas identified as being transit - dependent and not being
served are located in the northern areas of the county by the Lee County line along US 41.
Proposed intercounty service improvements that provide transit options between Collier and Lee
Counties, specifically along the U.S. 41 corridor will accommodate these needs.
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12/11/2012 Item 16.D.11.
COLLIER COUNTY /COLLIER AREA TRANSIT
2013 5310 GRANT Application
EXHIBIT B: Proposed Project Description:
The Collier County Board of County Commissioners is requesting FTA Section 5310
funds in the amount of $294,172.80 (80 %). State match funds in the amount of
$36,771.60 (10 %) will also be requested. This will be matched with local funds in the
amount of $36,771.60 (10 %). Funds from this grant will be used to purchase replacement
vehicles to continue the existing level of service. The vehicles scheduled for replacement
have exceeded their useful life and must be replaced if normal service is to continue.
These and other vehicles will be used to provide paratransit transportation services
throughout the county.
Section 5310 funding for these vehicles is essential if service is to continue. Collier
County currently provides about $2 million dollars* each year from local funds to provide
paratransit services. The current fleet of vehicles has exceeded its life expectancy and is
inadequate due to their age and condition. Having an elder fleet reduces vehicle
reliability and passenger safety and it requires higher maintenance, therefore increasing
the operating cost. Collier Area Transit (CAT), as many other transit agencies across the
nation, is facing tough financial times and local funds contribution is stagnate. Should
the State not approve this grant, CAT may be forced to use some of the local operating
funds to purchase replacement vehicles; therefore being forced to cut trips. Without 5310
funds for vehicle replacement Collier County will be forced to implement the trip
prioritization of Transportation Disadvantaged as allowed by the State of Florida
Commission for the Transportation Disadvantaged. In this situation, trips would be
reduced/denied and many passengers would not have access to medical, work,
recreational, and other life sustaining transportation. It is critical that Collier Area Transit
receives these 5310 funds for vehicle replacement in order to be able to continue offering
safe and reliable transportation.
Collier Area Transit's paratransit provides ADA, and Transportation Disadvantaged, as
well as agency funded paratransit trips for the at -risk population of Collier County,
including those with disabilities, low income, and elderly.
A Budget is provided elsewhere in the grant application as well as a list of equipment
inventory.
*Unaudited figure for fiscal year 2011
10
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12/11/2012 Item 16. D.11.
Naples Daily News Public Notice
English Version Public Notice is hereby given that Collier County will apply to the Florlda.
g Department of Transportation for a capital grant under Section 5310 of the Federal
Tr artt,t Act of 1991, as amended for the purchase of four (4).pparatransit vehicles to
be used for the provislon of . public transit services within Collier County, FL. Collier
County.will also. be applying to the Florida Department of Transporwian for a
grant under section 5311 of "the Federal Transit Act ofi 1991, as amended for total
operating expenses in the amount of 4531,2130 to be used for the provision of
publictransitservices in Collier County's non-urbanized areas.
Any interested party may. request a public hearing by the Collier County Board of
County Commissioners regarding the Program of Projects for these grant
applications. This hearing will be conducted if and oniyff a mitten request for the
hearing is received wrthinlo (ten) days of this notice. Requests for a hearing must
be sent t6 Florida Department of Transportation, District One Modal Development
O.fflce/Publlc Transit Southwest Urban Area`Offite at the Fort Myers Operations
Center 2981 North East Pine Island 'Road, Cape Coral, Florida 33909 and copy
Michelle E. Arnold Collier Area Transit, 2885 South Horseshoe Drive, Naples, Florida
34104 Any irtterested party may obtain more information about these grants by
visiting our website at www.collieroov.net /eat 2885 South Horseshoe Drive, Naples.
througgh Friday Public commentpperiodlwill open Monday, October22, 2012
through Thursday, November 22, 2012.
Persons who require special accommodations under the Americans with Disabilities
Act or persons Who require translation services should contact Michelle E. Arnold at
michellearnold0colliergov net, Collier County Public Services Division, Alternative
Transportation Modes Department Public Transit section'2885 South Horseshoe
Drive, Naples, Fl 34104; (235) 252. 5841.
Collier Area Transit operates in compliance with Federal Transit. Administration,
(FTA) program requirements and ensures that transit services are made available
and equitably distributed. and provides equal access and "mobility to any person
without regard to race, color, or national origin, disability, gender or age. Title VI
Of the Civil Rights Act of 1964; FTA Circular 4702. IA. `Title l`i and Title VI
;Dependent Guidelines for Federal Transit Administration Recipients.' Am person
who believes he /she has been discriminated because of race, color, religion, sex,
age, national onrgin, disability or family status may file a.complaint with the Florida
Department of Transportation, District One, Title VI Coordinator, Robin Parrish, ark
(863) 5192675 or by writing her at P.O. Box 1249, Bartow, Florida 33831 Collier
Area Transit has a Disadvantaged Business .Enterprise (DBE) goal of 5.6%,
Anundo Pirblico
El srguiente as un Anuncio p0blico.de clue el Condado de Collier aplicara en el
Departamento de Transportarion de la Florida por una beta capital bajo la 5eccron
Naples Dail News 5310 del Arto Federal de Transito del 1991, como enmendado, Para la compra de
p y cuatro (4>) vehiculos del pparatransito para ser rsados Para la rovrsidn de transporte
Spanish Version publico derttro del Condado de Collier de la Florida. E1 Condado de Collier tambran•
p estari aplicando at Departamento de Transportaci8n de la Florida. por una beta
halo la 3ecci6n 5311 del Actor Federal de Transito del 1991, como enmendado por
un total de gastos capitales cle X591,200 quo seran usados pare la provision de
lodo grupo interesado puede requerir una audiencia pi,blIca por la Junta do
Comisionados del Condado de Collier con respecto at programa de proyecto;an las
aplicaciones de betas. Esta audiencia sera conducida si y solo si una peticionescrita
es recibida dentro.de los 10 (diet) dras de este anuncio. La petition por una
audiencia deben sevenviadas al Florida Department of Transportation, District One
Modal Development Office /Public Transit Southwest Urban Area Office at the Fort
Myers operations Center 2981 North East Pine Island Road; Cape Coral, Florida
33909 con:copia a Glama Carter Collier Area Transit, 2885 South Horseshoe Drive,
Naples, Florida 34104. Todo grupo interesado puede obtener mas information
acerca de esta beta visitando nuestra ofrcina 612885 South Horseshoe Drive,
Naples, Florida 34104 an persona o contactando a Ms. Michelle E. An-told, Directora
del Transito Publico, al (239) 2524192 entre las horas de 8:00 a;m. a 5,00 p.m., de
tunes a viernes. Sus preguntas ppueden ser dirigidastambian por correo electronico
a Ms. Arnold at mchelI earn 11=1 oil Iergov.net o a altransmodesbcolhergov.net, El
periodo de comentario publico abrira at tunes, 22 de octubre del .2012 hasta el
yueves, 22 de noviernbre.del 2012.
A.quellas personas clue rlecesrten acomodo especial bajo el ARa de >Arnencanos con
Incapacdad (4mericans with Disabilities Act - ADA) o ppeersonas clue rre¢esiten
servtao de traduccidn favor de contactor a michellearnold tolliergov :net Collier
County Public 5ervic:es Division, Alternative Transportation Modes
Department - 5eccron de , ansp.rta"on Public., 2885 South Horsehoe Drive,
Naples, FL 34104; {239) 252 -5841 antes de la reunion.
Collier Area Transit opera an conjunto con los requisrtos del programa de
Ad.ministrad6h de Transito Federal, (FTA) y asegura clue los servicros de transito
sean equitativamerite distribuidos 7%proporcrona rgualdad de acceso y movilidad a
cualqurer personal sin disti rc16n de raza, color u origen narional, incapacidad,
gsenera o edad, Titulo VI de la Ley de derechos civiles de 1964; TI.0 gircular4702.TA,
T(tulo VI y titulo VI dependrentes directrices para los destinatarios de la
Adrninistracicn Federal de Transito'. Cualyuier persona qua crea haber sido
discriminada por raz6n de raza, color, religidn, sexo, edad, origen national,
incapacidad o situation familiar puede presentat una reciamaci6n con: Collier Area
Transit, Mli: elle E. Arnold (239) 252 -SS41 o at Departamento de Transportation del
estado de Florida, Distrito Uno, Coordinador del Titulo Vl, Robin Parrish, at (863).
519- 2675 o escribiendo at P.Q.. Box 1249, Bartow, Florida 33831. Collier Area
Transit tiene una meta de 5.6% par.a los E.mpresas de negocios an desventaja
'Disadvantaged Business Enterprise'.
Publicar'lunes, octubre 22, del 2012
October 22, 2012, . Nn. 196 54473
Packet Page -3176-
12/11/2012 Item 16.D.11.
Apendix D - Coordination
Transportation July 10, 2008
dvvaantage_
Charlie Crist
Ms. Michelle Arnold
Gmmor
Collier Area Transit
JR Harding Ed.D.
2885 South Horseshoe Drive
chairperson
Naples, FL 34104
Lawrence Forman
Mr. Phil Tindall
Vic*chairpman
Collier Metropolitan Planning Organization
Lisa K Bacot
2885 South Horseshoe Drive
Eracudve Ok"tor
Naples, FL 34104
Dear Ms. Arnold and Mr. Tindall:
1ZE: Collier County Community Transportation Coordinator Designation
Memorandum of Agreement TD 0803
Congratulations! At the June 20, 2008, Commission for the Transportation
Disadvantaged meeting, the Commission approved Collier Area Transit to serve as the
Community Transportation Coordinator for Collier County. This designation is effective
July 1, 2008 through June 30, 2013, Enclosed is an executed Memorandum of
Agreement for your records.
The Commission for the Transportation Disadvantaged appreciates your continued
support and participation in the coordinated transportation system of Collier County. if
you have any questions or need any additional information, please contact Sheri Powers
at 850 -410 -5710 or she,ri.powers@dotstate.fl.us.
Executive Director
m
Enclosures: Memorandum of Agreement
6N Suvimmm Street, MS-0 w TaNdwsm, FL 32399 -CM
Phone: (830) 410-SM as Tok Imes: (gyp} U3-2435 W FW (150141"752
WWWAR - stab —I fix atd
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12/11/2012 Item 16.D.11. '
Contract #
Effective: "(�j F to &/3L-.A,*i1
STATE OF FLORIDA
COMMISSION FOR THE TRANSPORTATION DISADVANTAGED
MEMORANDUM OF AGREEMENT
This Memorandum of Agreement is between the COMMISSION FOR THE TRANSPORTATION
DISADVANTAGED, hereby referred to as the "Commission," and
Collier County Board of C91M Commissioners, 3301E Tamiarni Trail, Naples Florida 34112
the COMMUNITY TRANSPORTATION COORDrNTATOR, designated pursuant to Chapter 427, H., to
serve the transportation disadvantaged for the community that includes the entire area of
Collier county(les), and hereafter referred to as the "Coordinator."
This Agreement is made in consideration of the mutual benefits to both parties; said consideration
acknowledged hereto by the parties as good and valuable consideration.
The Parties Agree:
1. The Coordinator Shall:
A, Become and remain totally apprised of all of the Transportation Disadvantaged resources available
or planned in their designated service area. This knowledge will be used to plan, coordinate, and
implement the most cost effective transportation disadvantaged transit system possible under the
economic and other conditions that exist in the designated service area.
B. Plan and work with Community Transportation Coordinators in adjacent and other areas of the state
to coordinate the provision of community trips that might be handled at a lower overall cost to the
community by another Coordinator. This includes honoring and Commission-approved statewide
certification program that allows for intercounty transportation opportunities.
C. Arrange for all services in accordance with Chapter 427, Florida Statutes, and Rule 41-2, FAC, and
as further required by the Commission and the local Coordinating Board approved Transportation
Disadvantaged Service Plan.
D. Return any acquired profits or surplus funds originating through the course of business as the
Coordinator that are beyond the amounts(s) specifically identified and approved in the
accompanying Transportation Disadvantaged Service Plan. Such profits or funds shall be returned to
the Coordinator's transportation system or to any subsequent Coordinator, as a total transportation
system subsidy, to be applied to the immediate following operational year. The Coordinator will
include similar language in all coordination contracts to assure that transportation disadvantaged
related revenues are put back into transportation disadvantaged services.
Rev. 06101107
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12/11/2012 Item 16.D.11.
E. Accomplish this Project by
1. Developing a Transportation Disadvantaged Service Plan for approval by the local
Coordinating Board and the Commission. Coordinators who are newly designated to a
particular service area shall submit a local Coordinating Board approved Transportation
Disadvantaged Service Plan, within 120 calendar days following the execution of the
Coordinator's initial memorandum of agreement with the Conunission, for approval by the
Commission. All subsequent Transportation Disadvantaged Service Plans shall be submitted
and approved with the corresponding memorandum of agreement. The approved
Transportation Disadvantaged Service Plan %x ill be implemented and monitored to provide
for community -wide transportation services for purchase by non - sponsored transportation
disadvantaged persons, contracting social service agencies, and other entities that use local,
state, or federal government funds for the purchase of transportation for the transportation
disadvantaged.
2. Maximizing the use of available public school transportation resources and public fixed route
or fixed schedule transit services and assuring that private or public transit, paratransit
operators, and school boards have been afforded a fair opportunity to participate to the
maximum extent feasible in the planning process and in the development of the provisions of
the Transportation Disadvantaged Service Plan for the transportation disadvantaged.
I Providing or arranging 24 -hour, 7 -day per week transportation disadvantaged service as
required in the designated service area by any Federal, State or Local Government agency
sponsoring such services. The provision of said services shall be furnished in accordance
with the prior notification. requirements identified in the local Coordinating Board and
Commission approved Transportation Disadvantaged Service Plan.
4. Complying with all local, state, and federal laws and regulations that apply to the provision
of transportation disadvantaged services.
5. Submitting to the Commission an Annual Operating Report detailing demographic,
operational, and financial data regarding coordination activities in the designated service
area. The report shall be prepared on forms provided by the Commission and according to
the instructions of said forms.
F. Comply with Audit and Record Keeping Requirements by.
Utilizing the Commission recognized Chart of Accounts defined in the Transportation
Accounting Consortium Model Uniform Accounting System for Rural and Specialized
Transportation Providers (uniform accounting system) for all transportation disadvantaged
accounting and reporting purposes. Community Transportation Coordinators with existing
and equivalent accounting systems are not required to adopt the Chart of Accounts in lieu of
their existing Chart of Accounts but shall prepare all reports, invoices, and fiscal documents
relating to the transportation disadvantaged functions and activities using the chart of
accounts and accounting definitions as outlined in the above referenced manual.
2. Assuming the responsibility of invoicing for any transportation services arranged,
Rev. 06/01/07
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12/11/2012 Item 16.D.1
unless otherwise stipulated by a purchase of service contract or coordination contract.
3. Maintaining and filing with the Commission, local Coordinating Board, and all purchasing
agencies/entities such progress, fiscal, inventory, and other reports as those entities may
require during the period of this Agreement.
4. Providing copies of finance and compliance audits to the Comtrussion and local Coordinating
Board as requested by the Commission or local Coordinating Board.
5, Reporting accidents involving a vehicle operated within the coordinated transportation
system in the coordinator's designated service area. Accidents involving a fatality or
fatalities must be reported to the Commission not more than 24 hours after the community
transportation coordinator becomes aware of the fatal accident. Any other accident, those not
involving a fatality or fatalities, with over $1,000 in property damages, or personal injury
that requires evacuation to a medical facility or a combination of both, must be reported to
the Commission not more than 72 hours after the community transportation coordinator
becomes aware of the accident. Copies of any accident report or reports prepared or received
by the community transportation coordinator as a result of any accident must be sent to the
Commission upon receipt or preparation of the report.
G. Retain all financial records, supporting documents, statistical records, and any other documents
pertinent to this .agreement for a period of five (5) years after termination of this Agreement. If an
audit has been initiated and audit findings have not been resolved at the end of five (5) years, the
records shall be retained until resolution of the audit findings. The Coordinator shall assure that
these records shall be subject to inspection, review, or audit at all reasonable times by persons duly
authorized by the Commission or this agreement. They shall have full access to and the right to
examine any of the said records and documents during the retention period.
H. Comply with Safety Requirements by:
1. Complying with Section 341.061, F.S., and Rule 14 -90, FAC, concerning System Safety; or
complying with Chapter 234.052, F.S., regarding school bus safety requirements for those
services provided through a school board; and
2. Assuring compliance with local, state, and federal laws, and Commission policies relating to
drug testing. Conduct drug and alcohol testing for safety sensitive job positions within the
coordinated system regarding pre- employment, randomization, post - accident, and reasonable
suspicion as required by the Federal Highway Administration and the Federal Transit
Administration.
Comply with Commission insurance requirements by maintaining at least minimum liability
insurance coverage in the amount of 5100,000 for any one person and $200,000 per occurrence at all
times during the existence of this Agreement for all transportation services purchased or provided
for the transportation disadvantaged through the Community Transportation Coordinator. Upon the
execution of this Agreement, the Coordinator shall add the Commission as an additional named
insured to all insurance policies covering vehicles transporting the transportation disadvantaged. In
the event of any cancellation or changes in the limits of liability in the insurance policy, the
Rev. 06 /01 /07
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12/11/2012 Item 16.D.11.
insurance agent or broker shall notify the Comrnissicm. The Coordinator shall insure that contracting
transportation operators and coordination contractors also maintain the same minimum liability
insurance, or an equal governmental insurance program. Insurance coverage in excess of $1 million
per occurrence must be approved by the Commission and the local Coordinating Board before .
inclusion in the Transportation Disadvantaged Service Plan or in the justification of rates and fare
structures. Such coverage may be provided by a self - insurance program established and operating
under the laws of the State of Florida and written verification of insurance protection in accordance
with Section 768.28, Florida Statutes, shall be provided to the Commission upon request.
Safeguard information by not using or disclosing any information concerning a user of services
under this Agreement for any purpose not in conformity with the local, state and federal regulations
(45 CFR, Part 205,54), except upon order of a court, written consent of the recipient, or his/her
responsible parent or guardian when authorized by law.
IC Protect Civil Rights by:
1. Complying with state and federal laws including but not limited to 'laws regarding
discrimination on the basis of sex, race, religion, age, disability, sexual orientation, or
national origin. The Coordinator gives this assurance in consideration of and for the purpose
of obtaining federal grants, loans, contracts (except contracts of insurance or guaranty),
property, discounts, or other federal financial assistance to programs or activities receiving or
benefiting from federal financial assistance and agreeing to complete a Civil Rights
Compliance Questionnaire if so requested by the Commission.
2. Agreeing that compliance with this assurance constitutes a condition of continued receipt of
or benefit from federal financial assistance, and that it is binding upon the Coordinator, its
successors, subcontractors, transferee, and assignees for the period during which such
assistance is provided. Assure that all operators, subcontractors, subgrantee, or others with
whom the Coordinator arranges to provide services or benefits to participants or employees
in connection with any of its programs and activities are not discriminating against those
participants or employees in violation of the above statutes, regulations, guidelines, and
standards. In the event of failure to comply, the Coordinator agrees that the Commission
may, at its discretion, seek a court order requiring compliance with the terms of this
assurance or seek other appropriate judicial or administrative relief, to include assistance
being terminated and further assistance being denied..
L. To the extent allowed by Section 768.28, Florida Statutes, and only to the monetary and other
limitations contained therein„ indemnify and hold harmless the Commission and all of the
Commission's members, officers, agents, and employees; purchasing agency /entity officers, agents,
and employees; and the local, state, and federal governments from any claim, loss, damage, cost,
charge or expense arising out of any act, action, neglect or omission by the Coordinator during the
performance of this Agreement, whether direct or indirect, and whether to any person or property to
which the Commission or said parties may be subject, except that neither the Coordinator nor any of
its sub - contractors will be liable under this section for damages arising out of injury or damage to
persons or property directly caused or resulting from the sole negligence of the Commission or any
of its members, officers, agents or employees; purchasing agency /entity, officers, agents, and
employees; and local, state, or federal governments. Nothing herein is intended to serve as a waiver
of sovereign immunity by any agency /entity or Coordinator to which sovereign immunity may be
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12/11/2012 Item 16.D.11. '
applicable. Nothing herein shall be construed as consent by a state ageWWt9 � r�l+�al
subdivision of the State of Florida or the federal government to be sued 4 third parties to any
matter arising out of any Agreement or contract. Notwithstanding the foregoing, pursuant to Section
768.28, Florida Statutes, no agency or subdivision of the state shall be required to indemnify, insure,
or assume any liability for the Commission's negligence.
M. Comply with standards and performance requirements of the Commission, the local Coordinating
Board approved Transportation Disadvantaged Service Plan, and any purchase of service
contracting agencies /entities. Failure to meet the requirements or obligations set forth in this MOA,
and performance requirements established and monitored by the local Coordinating Board in the
approved Transportation Disadvantaged Service Plan, shall be due cause for non - payment of
reimbursement invoices until such deficiencies have been addressed or corrected to the satisfaction
of the Commission.
N. Comply with subcontracting requirements by executing or negotiating contracts for transportation
services with Transportation Operators and Coordination Contractors, and assuring that the
conditions of such contracts are maintained. The requirements of Part 1, Paragraph E.S. through M
are to be included in all contracts, subcontracts, coordination contracts, and assignments made by
the Coordinator for services under this Agreement. Said contracts, subcontracts, coordination
contracts, and assignments will be reviewed and approved annually by the Coordinator and local
Coordinating Board for conformance with the requirements of this Agreement.
O. Comply with the following requirements concerning drivers and vehicles:
Drivers for paratransit services, including coordination contractors, shall be required to
announce and identify themselves by name and company in a manner that is conducive to
communications with the specific passenger, upon pickup of each rider, group of riders, or
representative, guardian, or associate of the rider, except in situations where the driver
regularly transports the rider on a recurring basis. Each driver must have photo identification
that is in view of the passenger. Name patches, inscriptions or bulges that affix to driver
clothing are acceptable. For transit services, the driver photo identification shall be in a
conspicuous location in the vehicle.
2. The paratransit driver shall provide the passenger with boarding assistance, if necessary or
requested, to the seating portion of the vehicle. The boarding assistance shall include opening
the vehicle door, fastening the seat belt or utilization of wheelchair securement devices,
storage of mobility assistive devices, and closing the vehicle door. in certain paratransit
service categories, the driver may also be required to open and close doors to buildings,
except in situations in which assistance in opening/closing building doors would not be safe
for passengers remaining on the vehicle. Assisted access must be in a dignified manner.
Drivers may not assist wheelchair up or down more than one step, unless it can be performed
safely as determined by the passenger, guardian, and driver.
3. All vehicles shall be equipped with two -way communications in good working order and be
audible to the driver at all times to the base.
Rev. +06/01/67
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12/11/2012 Item 16.D.11.
4. All vehicles providing service within the coordinated system, shall have working air
conditioners and heaters in each vehicle. Vehicles that do not have a working air conditioner
or heater will be scheduled for repair or replacement as soon as possible.
P. Comply with other requirements as follows:
Transport an escort of a passenger and dependent children as locally negotiated and
identified in the local Transportation Disadvantaged Service Plan.
2. Determine locally in the Transportation Disadvantaged Service Plan, the use, responsibility,
and cost of child restraint devices.
3. Transport with the passenger at no additional charge, passenger property that can be carried
by the passenger and/or driver in one trip and can be safely stowed on the vehicle. Additional
requirements may be negotiated for carrying and loading rider property beyond this amount.
Passenger property does not include wheelchairs, child seats, stretchers, secured oxygen,
personal assistive devices, or intravenous devices.
4. Provide shelter, security, and safety of passengers at vehicle transfer points.
Post a local or other toll-free number for complaints or grievances inside each vehicle. The
local complaint process shall be outlined as a section in the local Transportation
Disadvantaged Service Plan including advising the dissatisfied person about the
Commission's Ombudsman Program as a step within the process as approved by the local
Coordinating Board.
6. Provide out -of- service -area trips, when determined locally and approved by the local
Coordinating Board, except in instances where local ordinances prohibit such trips.
7. Keep interior of all vehicles free from dim grime, oil, trash, tom upholstery, damaged or
broken seats, protruding metal or other objects or materials which could soil items placed in
the vehicle or provide discomfort for the passenger.
8. Determine locally by the local Coordinating Board and provide in the local Transportation
Disadvantaged Service Plan the billing requirements of the Community Transportation
Coordinator. All bills shall be paid to subcontractors within 7 calendar days after receipt of
said payment by the Coordinator, in accordance with Section 287.0585, Florida Statutes.
9. Maintain or have access to a passenger/trip database on each rider being transported within
the system.
10. Provide each rider and escort, child, or personal care attendant adequate seating for
paratransit services. No more passengers than the registered passenger seating capacity shall
be scheduled or transported in a vehicle at any time. For transit services provided by transit
vehicles, adequate seating or standing space will be provided to each rider and escort, child,
or personal care attendant, and no more passengers than the registered passenger seating or
standing capacity shall be scheduled or transported in a vehicle at any time.
F.&'2 06/01/07
Packet Page -3183-
12/11/2012 Item 16.D.11.
11. First Aid shall be determined locally and provided in the local Transportation
Disadvantaged Service Plan.
12, Cardiopulmonary Resuscitation shall be determined locally and provided in the local
Transportation Disadvantaged Service Plan.
11. The Commission Shall:
A. Recognize the Coordinator as the entity described in Section 427.011(5), Florida Statutes,
and Rule 41- 2.002(4), F.A.C.
A. Attempt to insure that all entities with transportation disadvantaged funds will purchase
transportation disadvantaged services through the Coordinator's system.
111. The Coordinator and the Commission Further Agree:
A. Nothing in this Agreement shall require the Commission to observe or enforce compliance
with any provision thereof, perform any other act or do any other thing in contravention of
any applicable state law. If any of the provisions of this Agreement is found by a court of law
to violate any applicable state law, the purchasing agency /entity will at once notify the
Commission in writing in order that appropriate changes and modifications may be made by
the Commission and the Coordinator to the end that the Coordinator may proceed as soon as
possible with the provision of transportation services.
B. If any part or provision of this Agreement is held invalid, the remainder of this Agreement
shall be binding on the parties hereto.
C. Termination Conditions:
Termination at Will - This Agreement may be terminated by either party upon no less
than thirty (30) days notice, without cause. Said notice shall be delivered by certified
mail, return receipt required, or in person with proof of delivery.
2. Termination for Breach - Unless the Coordinator's breach is waived by the
Commission in writing, the Commission may, by written notice to the Coordinator,
terminate this Agreement upon no less than twenty -four (24) hours notice. Said notice
shall be delivered by certified mail, return receipt requested, or in person with proof
of delivery. Waiver by the Commission of breach of any provision of this Agreement
shall not be deemed to be a waiver of any other breach and shall not be construed to
be a modification of the terms of this Agreement, and shall not act as a waiver or
estoppel to enforcement of any provision of this Agreement. The provisions herein do
not limit the Commission's right to remedies at law or to damages.
D. This agreement will expire unless an extension is granted to the Coordinator in writing by the
Commission for the Transportation, in accordance with Chapter 287, Florida Statutes.
E. Renegotiations or Modifications of this Agreement shall only be valid when they have been
reduced to writing, duly approved by the Commission, and signed by both parties hereto.
Rev. 06/01/07
Packet Page -3184-
12/11/2012 Item 16.D.11.
F. Notice and Contact:
The name and address of the contract manager for the Commission for this Agreement is: Executive
Director, 605 Suwannee Street, MS49, Tallahassee, FL 32399 -0450. The representative /position
of the Coordinator responsible for administration of the program under this Agreement is:
In the event that either parry designates different representatives after execution of this Agreement,
notice of the name and address of the new representative will be rendered in writing to the other
party and said notification attached to originals of this Agreement.
This document has been reviewed in its entirety and approved by the local Coordinating Board at its
official meeting held on . 1Jµ fie? , = "'`:•
Coordinating Board Chairperson
WITNESS WHEREOF, the parties hereto have caused these presents to be executed.
COMMUNITY TRANSPORTATION
COORDINATOR:
Collier County Board of County Commissioners
Agency Name
g0 - 4 . C.20, r';' V.*** I -
o 4 'W-- -: �7—A F, W'..; f�-24f
Title:_ Cliairman
ATTEST: ::....._.kkl. .
Co qr� to_�C?ffi .oL�' lard Public
lignetwi art) -
APPROVED AS TO Ft` RM NNtt
tats( EtE c k� � "y, Assistant �..r_.� �.. _..-.. �_..,..... _.
t C € unl� Attc mev
Rev. 06/01/07
STATE OF FLORIDA, COMMISSION FOR
THE -TRANSPORTATION DISADVANTAGED:
Ty
pad Name` utho individual
Signature:
Title: Executive Director m
Attest?.±' a EAL, j
Notary Public
. Doris i.. Parker
Ca'wn � pp40+1192
N
Packet Page - 3185 -
12/11/2012 Item 16. D.11.
FEDERAL FISCAL YEAR 2012 FTA CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE
(Required of all Applicants for FTA funding and all FTA Grantees with an active capital or formula n
project)
AFFIRMATION OF APPLICANT
Name of Applicant:COLLIER COUNTY BOARD OF COUNTY COMMISSIONERS
Name and Relationship of Authorized Representative: Norman Feder
BY SIGNING BELOW, on behalf of the Applicant, 1 declare that the Applicant has duly authorized me to
make these certifications and assurances and bind the Applicant's compliance. Thus, the Applicant
agrees to comply with all Federal statutes and regulations, and follow applicable Federal directives, and
comply with the certifications and assurances as indicated on the foregoing page applicable to each
application it makes to the Federal Transit Administration (FTA) in Federal Fiscal Year 2012.
FTA intends that the certifications and assurances the Applicant selects on the other side of this
document, as representative of the certifications and assurances, should apply, as provided, to each
project for which the Applicant seeks now, or may later seek FTA funding during Federal Fiscal Year
2012.
The Applicant affirms the truthfulness and accuracy of the certifications and assurances it has made in
the statements submitted with this document and any other submission made to FTA, and
acknowledges that the Program Fraud Civil Remedies Act of 1986, 31 U.S.C. 3801 et seq., and
implementing U.S. DOT regulations, "Program Fraud Civil Remedies," 49 CFR part 31 apply to any
certification, assurance or submission made to FTA. The criminal provisions of 18 U.S.C. 1001 apply to
any certification, assurance, or submission made in connection with a Federal public transportation
program authorized in 49 U.S.C. chapter 53 or any other statute
In signing this document, I declare under penalties of perjury that the foregoing certifications and
assurances, and any other statements made by me on behalf of the Applicant are true and accurate.
Signature: Norman Feder Date:11/14/2011
Name:Norman Feder
Authorized Representative of Applicant
AFFIRMATION OF APPLICANT'S ATTORNEY
For (Name of Applicant):COLLIER COUNTY BOARD OF COUNTY COMMISSIONERS
As the undersigned Attorney for the above named Applicant, I hereby affirm to the Applicant that it has
authority under State, local, or tribal government law, as applicable, to make and comply with the
certifications and assurances as indicated on the foregoing pages. I further affirm that, in my opinion,
the certifications and assurances have been legally made and constitute legal and binding obligations on
the Applicant.
Packet Page -3186-
12/11/2012 Item 16. D.11.
I further affirm to the Applicant that, to the best of my knowledge, there is no legislation or litigation
pending or imminent that might adversely affect the validity of these certifications and assurances, or of
the performance of the project.
Signature:Scott R Teach Date:11/7/2011
Name:Scott R Teach
Attorney for Applicant
Each Applicant for FTA funding and each FTA Grantee with an active capital or formula project must
provide an Affirmation of Applicant's Attorney pertaining to the Applicant's legal capacity. The Applicant
may enter its signature in lieu of the Attorney's signature, provided the Applicant has on file this
Affirmation, signed by the attorney and dated this Federal fiscal year.
Packet Page -3187-
12/11/2012 Item 16. D.11.
EXHIBIT H
APPLICANT CERTIFICATION AND ASSURANCE TO FDOT
To be completed and signed by an individual authorized by the governing board
of the applicant agency and submitted with the grant application.
The Collier County BCC certifies and assures to the Florida Department
of Transportation in regard to its Application for Assistance under 49 U.S.C. Section 5310 dated
December 11, 2012:
Date:
1) It shall adhere to all Certifications and Assurances made to the federal government in
its Application.
2) It shall comply with Section 341.051 Florida Statutes and Chapter 14 -73 Florida
Administrative Code.
3) It has the fiscal and managerial capability and legal authority to file the application.
4) Local matching funds will be available to purchase vehicles /equipment at the time an
order is placed.
5) It will carry adequate insurance to maintain, repair, or replace project
vehicles /equipment in the even of loss or damage due to an accident or casualty.
6) It will maintain project vehicles /equipment in good working order for the useful life
of vehicles /equipment.
7) It will return project vehicles /equipment to the Department if, for any reason, they are
no longer needed or used for the purpose intended.
8) It recognized the Department's authority to remove vehicles /equipment from its
premises, at no cost to the Department, if the Department determines the
vehicles /equipment are not used for the purpose intended, improperly maintained,
uninsured, or operated unsafely.
9) It will not enter into any lease of project vehicles /equipment or contract for
transportation services with any third party without prior written approval of the
Department.
10) It will notify the Department within 24 hours of any accident or casualty involving
project vehicles /equipment, and submit related reports as required by the Department.
11) It will submit an annual financial audit report to the Department, if required by the
Department.
Signature:
Packet Page -3188-
Fred W. Coyle, Chairman
Typed name and title
12/11/2012 Item 16.D.11.
EXHIBIT K
Coordinated Public Transit -Human Services Transportation Plan
To be completed and signed by an individual authorized by the governing board of the
applicant agency and submitted with the grant application.
The Collier County Board of County Commissioners certifies and assures to the Florida Department of
Transportation in regard to its Application for Assistance under U.S.C. Section 5310 dated December
11, 2012
1) This grant request is derived from a coordinated plan compliant with Federal Transit
Administration Circular FTA C 9070.1F.
2) The name of this coordinated plan is provided below.
Collier Counjy Transportation Disadvantaged service p1�TDSP)
3) The agency that adopted this coordinated plan is provided below.
Collier County , Collier Area Transit & Paratransit
1.1 , 4) The date the coordinated plan was adopted is provided below.
May 12.2012
5) The page number of the coordinated plan that this application supports.
Date:
Page 7 Goal #2 Objective 2.11 and 2.12
Signature:
Fred W. Coyle, Chairman
Typed name and title
Packet Page -3189-
12/11/2012 Item 16.D.11.
CHECKLIST FOR APPLICATION COMPLETENESS
Name of Applicant: Collier County Board of County Commissioner (BCC
Check One: New Applicant Recurring Applicant ✓
The following documents must be included in section 5311 Operating Assistance Applications in the
order listed:
✓ This checklist.
✓ Applicant's cover letter (use FDOT provided cover letter).
✓ Two (2) copies of the governing board's Resolution.
✓ Forms B -1 and B -2 (Operating and Administrative Expense & Revenues; Grant Request.)
✓ Application for Federal Assistance (Form 424, Code 20.509).
✓ Exhibit A -1: Fact Sheet.
✓ Exhibit E: Single Audit Act, and a copy of the latest completed audit, if applicable.
N/A Exhibit E -1: Certification of Exemption from Single Audit Act, if applicable.
✓ Exhibit F: Federal Certifications and Assurances.
✓ Exhibit I: FTA Section 5333(b) Assurance.
✓ Exhibit K: Applicant Certification of Transportation Disadvantaged Service Plan (TDSP).
Date Application submitted to Local Clearinghouse Agency /RPC: December 11, 2012
Additional documents required from New Applicants:
✓ Exhibit A — Current System Description.
✓ Exhibit B — Proposed Project Description.
Packet Page -3190-
December 11, 2012
Terry Beacham,
FDOT District 1 Manager
P.O. Box 1249
801 North Broadway
Bartow, FL 33830 -1249
Subject: 2013 U.S.C. Section 5311, Formula Grants for Rural Areas - 20.509
2311 Grant Application Submission
Dear Mr. Beacham:
Collier County agency name) submits this Application for the Section 5311 Program Grant and agrees to
comply with all assurances and exhibits attached hereto and by this reference made a part thereof, as
10—N, itemized in the Checklist for Application Completeness.
Collier County further agrees, to the extent provided by law (in case of a government agency in
accordance with Sections 129.07 and 768.28, Florida Statutes) to indemnify, defend and hold harmless
the Department and all of its officers, agents and employees from any claim, loss, damage, cost, charge,
or expense out of the non - compliance by the Agency, its officers, agents or employees, with any of the
assurances stated in this Application.
This Application is submitted on this 11"` day of December, 2012 with two (2) original resolutions or
certified copies of the original resolution authorizing Fred W. Coyle, Chairman of the Collier County
Board of County Commissioners to sign this Application.
Sincerely,
Michelle Edwards Arnold, Director
Alternative Transportation Modes Department
cc: Julia Davis, District 1 Transit Unit
AkerriaM Transpxtation Wdes • 3299 Tamiami Trail East, Suite 103 • Naples, Florida 34112- 5746.235- 252 -5840 • FAX 239- 252 -6628 - tiw wzo9iiergov.net
Packet Page -3191-
12/11/2012 Item 16.D.11.
RESOLUTION NO. 2012-
A RESOLUTION BY THE BOARD OF COUNTY COMMISSIONERS,
COLLIER COUNTY, FLORIDA, AUTHORIZING ITS CHAIRMAN TO
SIGN AND SUBMIT A SECTION 5311 GRANT APPLICATION,
INCLUDING ALL RELATED DOCUMENTS AND ASSURANCES, TO THE
FLORIDA DEPARTMENT OF TRANSPORTATION, TO ACCEPT A
GRANT AWARD IN CONNECTION WITH THAT APPLICATION, AND
AUTHORIZING THE EXPENDITURE OF GRANT FUNDS PURSUANT TO
THE GRANT AWARDED.
WHEREAS , 49 U.S.C. § 5311 authorizes the Secretary of Transportation to make
grants and loans to local government authorities such as Collier County to help provide rural
transit services; and
WHEREAS, each year, through an application process administered by the Florida
Department of Transportation, Collier Area Transit has obtained funds that are used for
providing Waal transportation services to the residents of Collier County; and
WHEREAS, the Board of County Commissioners of Collier County, Florida, has the
authority to apply for and accept grants and make purchases and expend funds pursuant to
grant awards made by the Florida Department of Transportation as authorized by Chapter
341, Florida Statutes and by the Federal Transit Administration Act of 1964, as amended.
NOW THEREFORE, BE IT RESOLVED by the Board of County Commissioners,
Collier County, Florida, that:
1. The BOARD authorizes and approves its Chairman, Fred W. Coyle, to sign and submit
any and all documents required m connection with the Federal Transit Administration 49
U.S.C. § 5311 Grant Application and Award including, but not limited to: (a)
authorizing the Chairman to accept and execute any required certifications and
assurances and all supporting documents relating to the grant awarded to the County, (b)
approving all necessary budget amendments to receive and use grant dollars received
above or below the target grant award referenced in the Section 5311 grant application,
and (c) authorize the expenditure of grant funds pursuant to the grant awarded, unless
specifically rescinded
2. The BOARD'S Registered Agent in Florida is Jefrrey A. Klatzkow, County Attorney.
The registered Agent's address is 3299 East Tamiami Trail, Naples, FL 34112.
3. This Resolution shall be effective immediately upon signature by the Chairman.
I
Packet Page -3192-
12/11/2012 Item 16.D.11.
This Resolution adopted after motion, second and majority vote favoring same, this
11th day of December, 2012.
ATTEST:
DWIGHT E. BROCK, Clerk
LN
, Deputy Clerk
Approved as to form and legal sufficiency:
Scott Teach
Deputy County Attorney
BOARD OF COUNTY COMMISSIONERS
COLLIER COUNTY, FLORIDA
:
0A
Fred W. Coyle, Chairman
Packet Page -3193-
12/11/2012 Item 16. D.11.
Form 424
APPLICATION FOR FEDERAL ASSISTANCE Version 7103
1. TYPE OF SUBMISSION:
Application — place an x in the box
Pre - application — place an x in the box
[ ] construction
[ ] construction
Ex I non - construction
I non- construction
2. DATE SUBMITTED
Applicant Identi'f'ier
3. DATE RECEIVED BY STATE
State Application Identifier
4. DATE RECEIVED BY FEDERAL AGENCY
I Federal Identifier
5. APPLICANT INFORMATION
Legal Name: Collier County Board of County Commissioners
Organizational Unit:
Department: Alternative Transportation Modes Department
Organizational DUNS: 076997790
Division: Public Services Division
Address:
Name and telephone number of person to be contacted on
matters involving this application (give area code)
Street: 3299 East Tamiami Trail
Prefix: Mrs, First Name: Michelle
City: Naples
— - ...----- ......
Middle Name:
County: Collier
_
Last Name: Arnold
State: Florida Zip Code 34112
Suffix:
Country: USA
Email: MichelieArnold @colliergov.net
6. EMPLOYER IDENTIFICATION NUMBER (EN):
Phone Number (give area code)
(Re /ace these boxes with numerals) 59- 6000558
239.252 -5841
Fax Number (give area code) :239-252-3929
8. TYPE OF APPLICATION:
7. TYPE OF APPLICANT: (See back of form for Application Types)
,"New L1 Continuation 'Revision
County
If Revision, enter appropriate letter(s) in box(es) C... f._
(See back of form for description of letters.)
Other (specify)
Other (specify
10. CATALOG OF FEDERAL DOMESTIC ASSISTANCE NUMBER:
9. NAME OF FEDERAL AGENCY:
(Replace these boxes with numerals) 20 -509
Federal Transit Administration Section 5312
TITLE (Name of Program):
20.509 — Program Title: "Formula Grants for Rural Areas Program"
12. AREAS AFFECTED BY PROJECT (Cities, Counties, States,
11. DESCRIPTIVE TITLE OF APPLICANT'S PROJECT:
etc.): Unincorporated Collier County, Immokolee Community, Golden Gate
Operating Assistance to offset cost of public transportation provided in
Estates, Marco Island
the rural (non- urban) areas of Collier County
13. PROPOSED PROJECT
14. CONGRESSIONAL DISTRICTS OF:
Start Date:
Ending
a. Applicant
b. Project
Date:
15. ESTIMATED FUNDING:
16. IS APPLICATION SUBJECT TO REVIEW BY STATE
EXECUTIVE ORDER 12372 PROCESS?
a. Federal
$ 295,600.00
a_. Yes. ✓THIS PREAPPLICATION /APPLICATION WAS
MADE AVAILABLE TO THE STATE EXECUTIVE ORDER 12372
PROCESS FOR REVIEW ON:
b. Applicant
$ 00
DATE:
c. State
$
b. No. ❑ PROGRAM IS NOT COVERED BY E. 0. 12372.
d. Local
$ 295,600.00
❑ PROGRAM HAS NOT BEEN SELECTED BY STATE
FOR REVIEW
e. Other
$ 00
17. IS THE APPLICANT DELINQUENT ON ANY FEDERAL
DEBT?
f. Program Income
$ .00
1 Yes. If "Yes" attach an explanation.
No
g. TOTAL
$ 5 11,200.00
18. TO THE BEST OF MY KNOWLEDGE AND BELIEF, ALL DATA IN THIS APPLICATION /PREAPPLICATION ARE TRUE AND
CORRECT. THE DOCUMENT HAS BEEN DULY AUTHORIZED BY THE GOVERNING BODY OF THE APPLICANT AND THE
APPLICANT WILL COMPLY WITH THE ATTACHED ASSURANCES IF THE ASSISTANCE IS AWARDED.
a. Authorized Representative
Prefix: First Name:
Middle Name:
Last Name:
Suffix:
b. Title:
c. Telephone Number (give area code)
d. Signature of Authorized Representative:
e. Date Signed:
Previous Edition Usable. Standard form 424 (Rev.9 -2003)
Authorized for Local Reproduction. Prescribed by OMB Circular A -102
6
Packet Page -3194-
n
12/11/2012 Item 16.D.11.
FORM B -1
TRANSPORTATION - RELATED OPERATING and ADMINISTRATIVE EXPENSES
Name of Applicant: Collier County Board of County Commissioner (BCC)
State Fiscal period requesting funding for, from 7/1/13 to 6/30/14
EXPENSE CATEGORY
TOTAL EXPENSE
FTA ELIGIBLE EXPENSE
Labor (501)
$139,200
$34,800
Fringe and Benefits 502
$49,500
$12,400
Services (503 )
$110,900
$27,800
Materials and Supplies 504
$8,500
$2,100
Vehicle Maintenance 504.01
$1,929,800
$482,500
Utilities 505
$11,500
$2,900
Insurance 506
$9,900
$2,500
Licenses and Taxes 507
$0
$0
Purchased Transit Service 508
$3,445,500
$861,400
Miscellaneous (509 )
$25,000
$6,300
Leases and Rentals 512
$40,000
$10,000
Depreciation 513
TOTAL
$5,769,800
$1,442,700 (a)
SECTION 5311 GRANT REQUEST
Total FTA Eligible Expenses (from Form B -1, above)
Rural Passenger Fares (from Form B -2)
Operating Deficit
[FTA Eligible Expenses (a) minus Rural Passenger Fares (b)]
Section 5311 Request
(No more than 50% of Operating Deficit)
Grant Total All Revenues (from Form B -2)
$ 1,442,700 (a)
$ 216,400 (b)
$ 1,226,300 (c)
$ 613,150 (d)
Note: If Grand Total Revenues (e) exceeds FTA Eligible Expenses (a), reduce the Section 5311 Request (d) by
that amount.
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12/11/2012 Item 16. D.11.
FORM B -2
TRANSPORTATION - RELATED OPERATING and ADMINISTRATIVE REVENUES
Name of Applicant: Collier County Board of County Commissioner BCC)
State Fiscal period requesting funding for, from 7/1/13 to 6/30/13
OPERATING REVENUE
CATEGORY
TOTAL REVENUE
REVENUE USED AS
FTA MATCH
Passenger Fares for Transit Service (401)
Total= $1,205,000
Rural = $216,400
Special Transit Fares (402)
School Bus Service Revenues (403)
Freight Tariffs (404)
Charter Service Revenues (405)
Auxiliary Transportation Revenues (406)
Non - transportation Revenues (407)
Total Operating Revenue
$1,205,000
$
OTHER REVENUE
CATEGORY
Taxes Levied directly by the Transit
System 408
Local Cash Grants and Reimbursements
409
$1,880,300
Local Special Fare Assistance (410)
State Cash Grants and Reimbursements
411
$888,200
State Special Fare Assistance (412)
Federal Cash Grants and Reimbursements
413
$1,796,300
Interest Income (414)
Contributed Services (430)
Contributed Cash (43 1)
Subsidy from Other Sectors of Operations
440
Total of Other Revenue
$4,564,800
$
GRAND TOTAL
ALL REVENUE
$5,769,800
$ (e)
Packet Page -3196-
EXHIBIT A
Current System Description
12/11/2012 Item 16.D.11.
Collier County is located in southwest Florida and is bordered on the north by Lee and Hendry counties, on
the south by Monroe County, on the east by Broward and Dade counties, and on the west by the Gulf of
Mexico. The county consists of three incorporated areas: Naples, Everglades City, and Marco Island.
Collier County is approximately 2,025.3 square miles. At least 80 percent of the Collier County land
area has been set aside as preserve lands, including Big Cypress National Preserve, Everglades National
Park, two national wildlife refuges, one national research reserve, three state parks, one state forest, and
a number of other public and private parks and nature preserves. In addition, Collier County has nearly 50
miles of public beaches and a vast area of Agricultural lands.
The Collier County Board of County Commissioner is the governing body for the Public Transportation system
in Collier County. The Public Transportation system, Collier Area Transit (CAT), operates under the supervision
of the Collier County Department of Alternative Transportation Modes (ATM) for the Collier County Public
Service Division. CAT serves as the public transit provider for Collier County, serving the Naples, Marco Island,
and Immokalee areas. It is the mission of CAT to provide safe, accessible and courteous public transportation
services to our customers.
�-� Collier County is considered a complete brokerage system, contracting all fixed route and paratransit
operation services to Keolis Transit America who is responsible for the day to day transit operations
of the transit system including hiring, training and management of the bus operators and customer
service personnel. Keolis currently employees 92 staff to run the operations. The management of
the Keolis contract is conducted by the ATM Department, who has a total of 4.5 employees within
the Transit section. Collier Area Transit provides ADA and Transportation Disadvantaged trips to the
citizens of Collier County, including those with disabilities, low income, and elderly in both the urbanized and
non - urbanized areas of the County.
Description of service, routes and ridership numbers
Section 5311 funding for operating assistance is essential if service is to continue for the non - urbanized
areas of the County. Collier County currently provides about $1.5 million dollars each year from local funds
to provide fixed route services. Collier Area Transit, as many other transit agencies across the nation, is
facing tough financial times and local funds contribution is stagnate. Should the State not approve this grant,
CAT maybe forced to reduce routes. With a reduction in service, many passengers would not have access to
medical, work, recreational, and other life sustaining activities that public transit n o w makes possible. It is
critical that Collier Area Transit receives these 5311 funds to continue providing services in the non- urbanized
area of Collier County.
The 5311 grant helps fund four (4) non - urbanized /rural routes; Route 5 (Immokalee Shuttle — provides a
shuttle to and from the Immokalee area to the transfer point on Radio Road), Route 7 (Immokalee Express —
provides an early morning and late evening express service between Immokalee and Marco Island), Route 8A
Packet Page -3197-
12/11/2012 Item 16.D.11.
and Route 8B (Immokalee Circulator — provides a circulator within the rural Immokalee community).
The Collier County Board of County Commissioners, Collier Area Transit (CAT) is requesting FTA Section
5311 funds in the total project amount of $591,200. State match funds in the amount of $295,600 (50 %).
This will be matched with local funds in the amount of $295,600 (50 %). Funds from this grant will be used
to continue operation of fixed route in the non - urbanized area of Collier County to continue providing the
existing level of service. These funds will be used to fund routes that are open to the general public and are
not subject to the prioritization process as described in the Transportation Disadvantaged Service Plan (TDSP).
See Exhibit A -1 (below) — Fact Sheet
Ridership graphs are provided under Exhibit B of this grant application.
Packet Page -3198-
12/11/2012 Item 16.D.11.
EXHIBIT A -1
FACT SHEET
County Fiscal Year Data
CURRENTLY
IF GRANT IS
AWARDED
1. Number of one -way passenger trips.
PER YEAR
1,207,900
1,210,000
2. Number of individuals served unduplicated
(first ride per rider per fiscal year).
1,207,900
1,210,000
PER YEAR
3. Number of vehicles used for this
service. ACTUAL
16 er day
P Y
16 per da
P Y
4. Number of ambulatory seats.
AVERAGE PER VEHICLE
(Total ambulatory seats divided by total
24 per vehicle
24 per vehicle
number of fleet vehicles
5. Number of wheelchair positions.
AVERAGE PER VEHICLE
(Total wheelchair positions divided by total
2 per vehicle
2 per vehicle
number of fleet vehicles
6. Vehicle Miles traveled.
PER YEAR
1,303,988
1,315,000
7. Average vehicle miles
PER DAY
3,622.19
3,700
8. Normal vehicle hours in operation.
1 93
193
PER DAY
9. Normal number of days in operation.
PER WEEK
7
7
10. Trip length (roundtrip).
AVERAGE
32
32
• Estimates are acceptable.
Packet Page -3199-
12/11/2012 Item 16.D.11.
EXHIBIT B
Proposed Project Description (not to exceed three (3) pages)
Section 5311 Funding for operating assistance is essential to continue the existing level of service being
provided for the non - urbanized areas of the County. The 5311 grant helps fund four (4) non - urbanized /rural
routes; Route 5 (Immokalee Shuttle — provides a shuttle to and from the Immokalee area to the transfer
station on Radio Road), Route 7 (Immokalee Express — provides an early morning and late evening express
service between Immokalee and Marco Island), Route 8A and Route 8B (Immokalee Circulator — provides a
circulator within the rural Immokalee community). The above described service will provide access to
employment for rural area residents.
The Collier County Board of County Commissioners functions as the Community Transportation Coordinator
(CTC) and provides public transportation services as Collier Area Transit (CAT). CAT is requesting FTA Section
5311 funds in the total project amount of $591,200. The State contribution to the project would be $295,600
(50 %) while the County would be required to provide a local match in the amount of $295,600 (50 %). Funds
for the grant will be used to continue operation of fixed route in the non - urbanized area of Collier County to
continue providing the existing level of service.
This grant request does not include the purchase of vehicles or equipment for the continued operation of this
service. The existing vehicle inventory will be utilized as provided for below. All vehicles utilized for the
County public transportation system is maintained by the County's Fleet Management Department. The Fleet
Management Department provides for regular preventative maintenance of all vehicles at the CAT Operations
center located at 8300 Radio Road.
As previously noted, the County is under contract with Keolis Transit America, Inc. to provide the transit
operations for the system. Keolis hires all bus operators, customer service staff, and administrative personnel
to run the operations. The County compensates the vendor by the revenue hour including minor
reimbursable. The Contractor is responsible for providing recommendations related to all fixed route bus
service planning activities related to operations of CAT fixed route bus services including, but not limited to:
bus routes, schedules, days and hours of operations, bus stop locations, location of bus stop improvements,
preparation of all planning documents, cost estimates and other such activities relative to overall system
administration, pending the County's review and approval. Periodic contract monitoring to ensure continued
compliance with the service contract is the responsibility of the Contractor.
Safety Program
A written safety program has been developed and is maintained by the Contractor which includes safety
policies and practices, accident procedures and reporting, and other training materials and documented in the
System Safety Program Plan (SSP) and the System Security Emergency Preparedness Plan (SSEPP). Collier
County conducts an annual System Safety review of the Contractor to comply with safety requirements of
Chapter 14 -90, Florida Administrative Code (FAC). The Contractor's documented safety program includes the
following components:
• Accident Response Plan
• Accident Review Process and Analysis
• Determination of an Accident as Preventable or Non - Preventable, Utilizing the National Safety
Council (NSC) Guidelines
• Employee Retraining Provisions
Packet Page -3200-
12/11/2012 Item 16.D.11.
■ Driver Incentive Provisions
■ Programs and Methods to be Utilized to Promote Safety Awareness
■ Employee Training and Required Certifications
The Contractor shall participate in tabletop, emergency preparedness training exercise as requested by the
County. The contractor is considered essential personnel and shall be available upon request for evacuation
and transportation for any emergency events 24/7.
Drug & Alcohol Testing Program
The Contractor administers a Drug and Alcohol (D &A) Program which meets all of the Federal and Collier
County requirements. In addition, the Contractor requires all subcontractors providing services for the fixed
route service to adhere to the testing requirements of this D &A program. CAT performs D &A testing in
accordance with United Stated Department of Transportation (US DOT) and Federal Transit Administration
(FTA) regulations, as defined in Title 49 Code of Federal Regulations (CFR), Parts 40 and 655. The Contractor
produces documentation necessary to establish its compliance with Title 49 CFR, Parts 653 and 654.
Indicator /Measure 2006 2007 2008 2009
2010 2011
Performance Indicators
SERVICE AREA STATISTICS
Service Area Population
317,788
326,6581
333,8581
333,0321
333,0321
333,032
Service Area Size (square miles)
1,5131
1,5131
1,5131
1,5131
1,5131
1,513
OPERATING STATISTICES
Passenger Trips
1,052,536
1,180,147
1,166,358
1,109,710
1,064,910
1,154,702
Vehicle Miles
921,050
1,156,658
1,299,452
1,329,594
1,314,112
1,298,764
Revenue Miles
870,424
1,090,385
1,214,814
1,244,756
1,230,055
1,225,975
Revenue Hours
49,479
59,503
66,183
67,043
66,475
66,850
OPERATI NG COSTS'
Total Operating Expense $3,264,698.00 $4,678,982.00 1 $5,362,710.00 $5,048,082.00 $5,490,980.00 1 $5,300,989.00
VEHICLE FLEET
Vehicles Available for Maximum Service 20 19
23 23 24 23
Vehicles Operated in Maximum Service 13 14
16 16 16 16
Spare Ratio 54% 36%
449j. 44% 44% 44%
Effectiveness Measures
SERVICE SUPPLY
Vehicle Miles per Capita 1 2.91 3.51 3.91 4.01 3.91 3.9
SERVICE CONSUMPTION
Passenger Trips per Capita 3.3 3.6 3.5 3.31 3.2 3.5
Passenger Trips per Revenue Mile 1.21 1.08 0.96 0.89 0.87 0.94
Passenger Trips per Revenue Hour 21.27 19.83 17.62 17.621 16.551 17.27
Efficiency Measures
COST EFFICIENCY
Operating Expense per Capita
$10.27
$14.32
$16.06
$15.16
$16.49
$15.92
Operating Expense per Passenger Trip
$3.10
$3.96
$4.60
$4.55
$5.16
$4.59
Operating Expense per Revenue Mile
$3.75
$4.29
$4.41
$4.06
$4.46
$4.32
Operating Expense per Revenue Hour
$65.98
$78.63
$81.03
$75.30
$82.60
$79.30
Packet Page -3201-
12/11/2012 Item 16.D.11.
Vehicle Inventory
Equipment
ID#
Year
Manufacturer
` Model
Serial ber
30989
2003
FREIGHTLINER
CHAMPION CTS
4UZAACBV43CM15848
42925
2004
FREIGHTLINER
CHAMPION CTS
4UZAACBV54CN64822
42927
2004
FREIGHTLINER
CHAMPION CTS
4UZAACBV54CN64819
42928
2004
FREIGHTLINER
CHAMPION CTS
4UZAACBV34CN64821
50382
2005
GILLIG
G29E102R2
15GGE291951091092
50383
2005
GILLIG
G29E102R2
15GGE291051091093
50384
2005
GILLIG
G29E102R2
15GGE291251091094
60091
2006
GILLIG
G29E102R2
15GGE291661091164
60092
2006
GILLIG
G29E102R2
15GGE291661091165
60093
2006
GILLIG
G29E102R2
15GGE291X61091166
60094
2006
GILLIG
G29E102R2
15GGE291161011167
CC2 -240
2007
GILLIG
G27E102N2
15GGE271471091586
CC2 -242
2007
GILLIG
G27E102N2
15GGE271671091587
CC2 -241
2007
GILLIG
G27E102N2
15GGE271871091588
CC2 -243
2007
GILLIG
G27E102N2
15GGE271X71091589
CC2 -497
2010
GILLIG
G27B102N4
15GGB2719A1177671
CC2 -498
2010
GILLIG
G27B102N4
15GGB2710A1177672
CC2 -499
2010
GILLIG
G27B102N4
15GGB2712A1177673
CC2 -513
2010
GILLIG
G3061021\14
15GG133014A1178484
CC2 -514
2010
GILLIG
G3061021\14
15GG63016A1178485
CC2 -620
2012
GILLIG
G27B102N4
15GGB271OC1180347
CC2 -619
2012
GILLIG
G27B102N4
15GGB271OC1180348
CC2 -621
2012
GILLIG
G27B102N4
15GG132714C1180349
Packet Page -3202-
12/11/2012 Item 16. D.11.
System Ridership
1 100,000
50,000
CAT Ridership FY 2005 - FY 2012
0 = z
ROUTE 10
ROUTE 9*
ROUTE 8* ROUTE 7-
ROUTE 6 * ROUTE 5/ ROUTE 4 � ^ zozb °s06
Notes: ROUTE 3 ROUTE 2
ROUTE 11, M
*Please note that ridership data was omitted forroutes implemented during the mid -year (Routes 6, 7, 8, and 9).
Packet Page -3203-
2005
2006
2007
2008
2009
2010
2011
2012
ROUTE 1
124,288
150,030
212,947
250,873
247,183
231,156
238,507
234,190
ROUTE 2
289,830
251,012
214,605
193,332
177,325
174,669
191,523
187,848
ROUTE 3
222,089
260,015
289,357
268,126
230,415
199,961
227,560
240,742
ROUTE 4
226,051
181,193
156,876
127,884
123,468
115,521
126,035
132,1o8
ROUTE 5
27,671
37,428
56,870
69,897
69,953
68,679
86,471
105,655
ROUTE 6*
26,221
44,891
41,368
40,015
49,878
71,268
35,045
27,986
ROUTE 7*
33,273
38,391
45,963
51,671
49,690
45,666
47,919
48,914
ROUTE 8*
#N /A
63,830
68,619
91,978
88,091
81,339
96,390
1o6,234
ROUTE 9*
#N /A
#N /A
93,542
72,582
73,707
76,651
77,823
80,391
ROUTE 10
#N /A
#N /A
#N /A
#N /A
#N /A
#N /A
27,429
43,798
1 100,000
50,000
CAT Ridership FY 2005 - FY 2012
0 = z
ROUTE 10
ROUTE 9*
ROUTE 8* ROUTE 7-
ROUTE 6 * ROUTE 5/ ROUTE 4 � ^ zozb °s06
Notes: ROUTE 3 ROUTE 2
ROUTE 11, M
*Please note that ridership data was omitted forroutes implemented during the mid -year (Routes 6, 7, 8, and 9).
Packet Page -3203-
eROUTE 1
300,000 "®
ROUTE2
'-
■ ROUTE 3
oROUTE4
250,000
®ROUTES
a ROUTE 6*
200,000
OROUTE 7*
M ROUTE 8*
150,000
■ROUTE 9*
: ROUTE 10
1 100,000
50,000
CAT Ridership FY 2005 - FY 2012
0 = z
ROUTE 10
ROUTE 9*
ROUTE 8* ROUTE 7-
ROUTE 6 * ROUTE 5/ ROUTE 4 � ^ zozb °s06
Notes: ROUTE 3 ROUTE 2
ROUTE 11, M
*Please note that ridership data was omitted forroutes implemented during the mid -year (Routes 6, 7, 8, and 9).
Packet Page -3203-
12/11/2012 Item 16.D.11.
F.u..v_FY 12 4.6% Increase
Packet Page -3204-
�1
IV
CAT Fixed Route Passenger Boarding's
(non- cumulative per quarter)
Total
Total Total Total Total
1166,358
_ .
1,109,710 1,064,910 1,154,702 1,27,E --------
1�ppr000
C
3
2
1.200,WG
w-
900,000
600,0
.._..,.......
.... "8.
300 ,OW
e
FY08 YE
FY09 YE FY10 YE FY 11 YE FY 12
9
■Q1 RQ2 NIQ3 ■Q4
F.u..v_FY 12 4.6% Increase
Packet Page -3204-
�1
/O-I*N
12/11/2012 Item 16.D.11.
POPULATION CHARACTERISTICS
According to BEBR, the population of Collier County is expected to incrftse from 251,377 in
2000 to 331,800 in 2010- an increase of 32 Percent, The data for 2000 throuti 2020
were compiled using the 2000 Census, 2009 `SA, and 2009 ESR] demographic data. Table
2-1 provides selected Population characteristics for Collier County for 2000, 2•08, 213I0'
2015, and 2020.
Table 2-1
As t popuiar tourist destihdtion, Codiier County has as large number of seasonal residents and
tourists, Accordind to the Economic Development Council of Collier County, CollieT County's
Population rises by an estimated 20 percent during the winter season, which traditionally last
from November through April- The BEBR projections included in Table 2-1 refer soLely to
permanent residents and do not include tourists or sedsondt residents. (Note: The population
estimates and projections provided by BEBR may not exactly match those provided by the lJ,S.
Census- ESRI demographic data is higher than BEBR and Gensus demographic information;
however, ESRI projections tire tine most current ptp*cbms avaiiable for mapping purpose-.. As
2010 Census datu sets are tsvuflable, annual TDP progress reports and the next TDP Major
Update will be revised to reflect the poPultition projections reported in the 2010 Census. Staff
of CAT and the Coll; er WO will review available ddtb sets and ensure consistency of population
data witen completing future plan updtit-to the TDP and LRTP, as feasible-)
Oilier Area Transit
Avg4st 2010 2-3 Trtimsft. Development Pism
Packet Page -3205-
12/11/2012 Item 16.D.11.
Map 2-22 displays 0offier County's 2009 population by block. group and Map 2-3 displays tkie
County's 2020 projected population liy block group. The majority of the County Population
density s 0-2 persons per acre. Block groups containing population densities greater than 4
persons per acre are located within the 04 of Naples, East Naptes. Marco Island,
immokalee, Golden Gate, Na-ples. Manor, and Naples Park. As shown in Maps 2-2 and 2-3,
the 2020 projected population distribution is similar to the 2009 popuiatmi distribution-
in general, Wli�er CouMes residents are older then the average Florida resideriL Figure 2-1
displays population trends that suggest mobiliV needs will increase as the County's
population of seniors and others continue to age. Twenty four percent of Collier Cou"t)(s
population is over 64 yeam, old, while the same group only makes tip 17 percent of Florida's
total population-
Figure 2-1
popuWjon under Age .18 and over Age 64
Urxier IS :DJ--r 54
/1—N
Collioer Oren TNrtsit
7ith"le-Mil.w L Asr-,30`8tr=s, '7 Tniftsit Develofattent Nei
August 2010
Packet Page -3206-
12/11/2012 Item 16.D.11.
Packet Page -3207-
2010 Collier Area Transit
Transit Developnumt Plan
Legend
^.w Prone to
.. Pew tB
�� Pioule tC
Pew U
�/ Route 3A
• Rauee 7B
r . � Pouts R
�T Route 5
Route C
T ExPieu
�..e Nwae tU
r . ^' Route lB
�pq/ Poute 9
161rd Eex0lades Cal'
UrbuN2aa A-
Conurneon AnaR
Tindaio OlivcT
&
.ifi!VCtnrCS,inG
Map 2 -1
Study Area and
Existing Bus Routes
2010 Colter Area Transit
Transit Development Plan
Legend
R— to
n— to
�1.r Row 1C
�✓ RwN U
v.. Route 2e
�i A— 3A
. RwR Oe
Route N
�i Roun 5
.....:.. P— 6
Route r
ft— ]E,
' ""..• Rwx m
Roble.e
^r Pow 0
E %U— City
2003 PopnbOOn Oaniry
PenonWAon
0 -2
z•�
1.6
0-te
ta.
Tindaie- Oliver
&
Assosiares, Inc,
Map 2 -2
2009 Population
Density
12/11/2012 Item 16.D.11.
Packet Page -3208-
2010 Coiner Area Transit
Transit DevelOPnWnt Plan
Legend
to
R— 7
R-7E.
--R u
R .ve
--R-9
Is Evwon CHY
0-2
2-4
4-g
Inc.
Map 2-3
2020 POpUlatiOn
Density
itunwitalee
Inuno ee IwAt
LEE
Kaples
t'ENDRY
Marco island
Marro Isla Inset
Packet Page -3208-
2010 Coiner Area Transit
Transit DevelOPnWnt Plan
Legend
to
R— 7
R-7E.
--R u
R .ve
--R-9
Is Evwon CHY
0-2
2-4
4-g
Inc.
Map 2-3
2020 POpUlatiOn
Density
12/11/2012 Item 16.D.11.
Collier County's demograptiic characteristics were cOmPiled from the 2000 Census, the
2009 FSA, and the 2008 American COmmunM�, Survey (ACS). Both the epensus and the ACS
base these estimates, on a sampling of the total Population. Jowrney-to-Work jnfonrwtion is
not projected by, BEBR in the 2009 FSA, therefore, 2000 Censits and 2008 ACS data were
used to illustrate tl te JDurney-to-Work characteristics.
Figure 2-2 provides selected demographic data for Collier CouftLy, and Figure 2-3 illustrates,
JcurfteY-to-Work ctiarticteristcs for Collier County. Many of the characteristics provided in
Figure 2-.2 and Figure 2-3 were chosen muse el ttxwir known influence on transit use.
Figure 2-29 show, that Collier Counues demographics have not cignificantly gaged from
2000 to 200 8 in terms of gender, education, and age. The percent of the population of
Hispanic origin has increased slightly from 19.6 percent in 2000 to 25,5 percent in 2008-
The percent of rev dents with incomes greuterthan $100,000; also increased. In `2000,18.1
percent of resideitts earned greater than $100,000 and in 2008 27-8 percent of the
POPufation was in this category-
Figure 2-3 shows to at public transit mode shbTe has sfig[rdy decreased since 2000- In 2000,
1-9 percent c1 residents utilized public transit as as mettris & transportation to work
compared to Ll percent of the population in 2008. Driving alone has -slightly increased.
Gbrpoolihg and ".Ikihg decreased; however, bicycling and working from home increased.
Travel, times have slightly increased, with 26.2 percent of people traveling between 20 and
29 minutes in 2008 compared to 21-4 percent in 2000.
Maps 22-4 through 2-8 provide selected c[miracteristiCS, for Allier County that are particulariv
relevant to the T 1 process. The maps display 2009 emp"ent densities. low-income
populations, dwelling . unit densities, population under age -145, and population over age 60 by
biock group. Employment densities are higliest in immokailee and the City of Naples- The
lc - income populations are highest in Immokalee- Similar to tf te population density , ti
ie
maj," of the County's dwelling unito density is, 0-2 dwelling units per acre. Block groups
containing high percerAdges of the population under age 15 are located in the northern
porfion of the County and the City of Naples. Block groups containing 11 igi I percentages of
the population over age 60 are located in the southern portion of tie County. Marco Island,
throughout the ft, of Naples, and nordi of the City & Naples.
Based on the availability of demographic date, maps depicting the disabled POPUISti0h, tie
number of vehicles per household, and commute times were developed utilizing 2000
C-eensus dath and tire included as Appendix A-
Tindale-04vet & Asso-ziates, im.
Collier Arew Trash
August 201.0 -1-7 Transit Development Plan
Packet Page -3209-
12/11/2012 Item 16.D.11.
6s+ Yeas
Le" cry
Hkp SOW
1 ONege, 1 yeW to ASSO=E1
or DMMF3e
Levis Mv, $I0,006
S1D= D S14:
515= to 3'S'vm
SaA bD 04,24 -�+
a�
MD m W;
S5D.9 tD S344,
1� toWSW
S 1MDM ar ffm
77,v%
■ 2000 Census
■ 2008 ACS
❑ 2009 FSA
$stave: --MW Carmpia, 20ok der can Cams n,V su"j, and -doe BWR Fiords matet m, Abetract
Tttatlale -Glia er & Associates, file. Collier Amw Transit
August 2010 28 Twist Developmeht Plai
Packet Page -3210-
�p
6s+ Yeas
Le" cry
Hkp SOW
1 ONege, 1 yeW to ASSO=E1
or DMMF3e
Levis Mv, $I0,006
S1D= D S14:
515= to 3'S'vm
SaA bD 04,24 -�+
a�
MD m W;
S5D.9 tD S344,
1� toWSW
S 1MDM ar ffm
77,v%
■ 2000 Census
■ 2008 ACS
❑ 2009 FSA
$stave: --MW Carmpia, 20ok der can Cams n,V su"j, and -doe BWR Fiords matet m, Abetract
Tttatlale -Glia er & Associates, file. Collier Amw Transit
August 2010 28 Twist Developmeht Plai
Packet Page -3210-
12/11/2012 Item 16.D.11.
Exhibit E
Copy of the latest completed audit
Packet Page -3211-
12/11/2012 Item 16. D.11.
Ernst & Young LLP
Suite 500
5100 Town Center Circle
Boca Raton, FL 33486
Tel: +1. 561 955 8000
Fax: � 1 561 955 8200
www.•ey.com
Report of Independent Certified Public Accountants on
Internal Control Over Financial Reporting and on Compliance
and Other Matters Based on an Audit of the Financial Statements
Performed in Accordance with Government Auditing Standards
Members of the Board of County Commissioners
Collier County, Florida
We have audited the financial statements of the governmental activities, the business -type
activities, the aggregate discretely presented component units, each major fund, and the
aggregate remaining fund information of Collier County, Florida (the County) as of and for the
year ended September 30, 2011, which collectively comprise the County's basic financial
statements and have issued our report thereon dated February 29, 2012. We conducted our audit
in accordance with auditing standards generally accepted in the United States and the standards
applicable to financial audits contained in Government Auditing Standards, issued by the
Comptroller General of the United States.
Internal control over financial reporting
Management of the County is responsible for establishing and maintaining effective internal
control over financial reporting. In planning and performing our audit, we considered the
County's internal control over financial reporting as a basis for designing our auditing
procedures for the purpose of expressing our opinion on the financial statements, but not for the
purpose of expressing an opinion on the effectiveness of the County's internal control over
financial reporting. Accordingly, we do not express an opinion on the effectiveness of the
County's internal control over financial reporting.
A deficiency in internal control exists when the design or operation of a control does not allow
management or employees, in the normal course of performing their assigned functions, to
prevent, or detect and correct misstatements on a timely basis. A material weakness is a
deficiency, or combination of deficiencies, in internal control, such that there is a reasonable
possibility that a material misstatement of the entity's financial statements will not be prevented,
or detected and corrected on a timely basis.
Our consideration of internal control over financial reporting was for the limited purpose
described in the first paragraph of this section and was not designed to identify all deficiencies in
internal control that might be deficiencies, significant deficiencies or material weaknesses. We
did not identify any deficiencies in internal control over financial reporting that we consider to
be material weaknesses, as defined above.
1205- 1362396 163
Packet Page -3212- A �,. rt,_ f,mof Ernst &Young _imAteV,
12/11/2012 item 16. D.11.
�Ji����'llillll
J ERNST & YOUNG
Compliance and Other Matters
As part of obtaining reasonable assurance about whether the County's financial statements are
free of material misstatement, we performed tests of its compliance with certain provisions of
laws, regulations, contracts and grant agreements, noncompliance with which could have a direct
and material effect on the determination of financial statement amounts. However, providing an
opinion on compliance with those provisions was not an objective of our audit and, accordingly,
we do not express such an opinion. The results of our tests disclosed no instances of
noncompliance or other matters that are required to be reported under Government Auditing
Standards.
We noted certain matters that we reported to management of the County in a separate letter dated
February 29, 2012.
This report is intended solely for the information and use of management, the Board of County
Commissioners, others within the entity, the Auditor General of the State of Florida, federal and
state awarding agencies and pass - through entities and is not intended to be and should not be
used by anyone other than these specified parties.
February 29, 2012
1205- 1362396
Packet Page -3213-
t "7 LLB
164
A mie,Thr firm of E!rst & Young Gioi;al unl.itea
0 ERNST car YOUNG
12/11/2012 Item 16.D.11.
Ernst & Young LLP
Suite 500
5100 -own Center Circle
Boca Raton, FL 33486
Tel: +1 561 955 8000
Fax: +1 561 955 8200
www.ey.com
Report of Independent Certified Public Accountants on Compliance With
Requirements That Could Have a Direct and Material Effect on Each Major
Federal Program and State Project and on Internal Control Over Compliance in
Accordance With OMB Circular A -133, Section 215.97, Florida Statutes, and
Chapter 10.550, Rules of the Auditor General
Members of the Board of County Commissioners
Collier County, Florida
Compliance
We have audited Collier County, Florida's (the County) compliance with the types of
compliance requirements described in the US Office of Management and Budget (OMB)
Circular A -133 Compliance Supplement, and the requirements described in the Executive Office
of the Governor's State Projects Compliance Supplement, that could have a direct and material
effect on each of County's major federal programs and state projects for the year ended
September 30, 2011. The County's major federal programs and state projects are identified in the
summary of auditor's results section of the accompanying schedule of findings and questioned
costs. Compliance with the requirements of laws, regulations, contracts and grants applicable to
each of its major federal programs and state projects is the responsibility of the County's
management. Our responsibility is to express'an opinion on the County's compliance based on
our audit.
We conducted our audit of compliance in accordance with auditing standards generally accepted
in the United States; the standards applicable to financial audits contained in Government
Auditing Standards, issued by the Comptroller General of the United States; OMB Circular
A -133, Audits of States, Local Governments, and Non - Profit Organizations; Section 215.97,
Florida Statutes (Section 215.97); and Chapter 10.550, Rules of the Auditor General, State of
Florida (Chapter 10.550). Those standards, OMB Circular A -133, Section 215.97 and Chapter
10.550 require that we plan and perform the audit to obtain reasonable assurance about whether
noncompliance with the types of compliance requirements referred to above that could have a
direct and material effect on a major federal program or state project occurred. An audit includes
examining, on a test basis, evidence about the County's compliance with those requirements and
performing such other procedures as we considered necessary in the circumstances. We believe
that our audit provides a reasonable basis for our opinion. Our audit does not provide a legal
determination of the County's compliance with those requirements.
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Illm�i
IIIIIIIIIIIIfIIIIIIIIIIIIIIIUI�� "��
Ill ERNST& YOUNG
The County did not comply with the types of compliance requirements that are applicable to
each major federal program as described in the accompanying schedule of findings and
questioned costs and referenced by finding number below:
Compliance
CFDA Number Major Program Requirement Finding Reference
CDBG —
14.218, ARRA- Entitlement Grants
14.253 Cluster
Cash Management
2011 -1, 2011 -6
Allowable Costs /Cost
Principles
2011 -1, 2011 -8
Reporting
2011 -2
Subrecipient
Monitoring
2011 -3
Special Tests and
Provisions
2011 -4
Procurement,
Suspension and
Debarment
2011 -5
Program Income
2011 -6
Summer Food Service
Allowable Costs /Cost
10.559 Program for Children
Principles
2011 -10, 2011 -11
Cash Management
2011 -11
Compliance with such requirements is necessary, in our opinion, for the County to comply with
the requirements applicable to those programs.
In our opinion, because of the effects of the noncompliance described in the table above, the
County did not comply in all material respects, with the requirements referred to above that
could have a direct and material effect on the CDBG — Entitlement Grants Cluster (CFDA
No. 14.218 and CFDA No. ARRA — 12.253) and the Summer Food Service Program for
Children (CFDA No. 10.559) federal programs for the year ended September 30, 2011.
The County did not comply with the types of compliance requirements that are applicable to
each major federal program or state project as described in the accompanying schedule of
findings and questioned costs and referenced by the finding numbers below:
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CFDA/CSFA Compliance
Number Major Program Requirement Finding Reference
Community
Development Block
Grant/State's Program
and Non - Entitlement
Grants in Hawaii
(State - Administered
14.228 Small Cities Program)
ARRA: Homelessness
Prevention and Rapid
14.257 Re- Housing Program
State Housing
Initiatives Partnership
52.901 Program
Florida Boating
77.006 Improvement Program
Community Care for
65.010 the Elderly Program
Cash Management
Allowable Costs /Cost
Principles
Reporting
Special Tests and
Provisions
Allowable Costs /Cost
Principles
Subrecipient
Monitoring
Cash Management
Allowable Costs /Cost
Principles
Reporting
Allowable Costs /Cost
Principles
Matching
Reporting
Allowable Costs /Cost
Principles
2011 -1
2011 -2
2011 -4
2011 -8
2011 -3
2011 -1
2011 -2
2011 -8
2011 -7
2011 -9
2011 -8
Compliance with such requirements is necessary, in our opinion, for the County to comply with
the requirements applicable to those programs.
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A nemb_r firm, of Ernsi & You; q Gio4a1 :united
���II!lillil!Illlii
JERNST& YOUNG
12/11/2012 Item 16. D.11.
Also, in our opinion, except for the noncompliance described in the table above, the County
complied, in all material respects with the compliance requirements referred to above that could
have a direct and material effect on the following federal programs and state projects:
Community Development Block Grant/State's Program and Non - Entitlement Grants in Hawaii
(State - Administered Small Cities Program) (CFDA No. 14.228), ARRA: Homelessness
Prevention and Rapid Re- Housing Program (CFDA No. 14.257), State Housing Initiatives
Partnership Program (CSFA No. 52.901), Florida Boating Improvement Program (CSFA
No. 77.006), and Community Care for the Elderly Program (CSFA No. 65.010) for the year
ended September 30, 2011.
Moreover, in our opinion, the County complied, in all material respects, with the compliance
requirements referred to in the first paragraph that could have a direct and material effect on each
of its other major federal programs and state projects other than those referred to in the two
preceding tables for the year ended September 30, 2011.
This report replaces the previously issued report dated February 29, 2012 in order to reflect the
unqualified opinion on the Energy Efficiency and Conservation Block Grant Program (EECBG)
(Recovery Act Funded) as now indicated on the Schedule of Findings and Questioned Costs.
^ Internal control over compliance
The management of the County is responsible for establishing and maintaining effective internal
control over compliance with the requirements of laws, regulations, contracts and grants
applicable to federal programs and state projects. In planning and performing our audit, we
considered the County's internal control over compliance with requirements that could have a
direct and material effect on a major federal program or state project to determine the auditing
procedures for the purpose of expressing our opinion on compliance and to test and report on
internal control over compliance in accordance with OMB Circular A -133, Section 215.97, or
Chapter 10.550, but not for the purpose of expressing an opinion on the effectiveness of internal
control over compliance. Accordingly, we do not express an opinion on the effectiveness of the
County's internal control over compliance.
Our consideration of internal control over compliance was for the limited purpose described in
the preceding paragraph and was not designed to identify all deficiencies in internal control over
compliance that might be significant deficiencies or material weaknesses and therefore, there can
be no assurance that all deficiencies, significant deficiencies, or material weaknesses have been
identified. However, as discussed below, we identified certain deficiencies in internal control
over compliance that we consider to be material weaknesses.
1205- 1362396 168
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12/11/2012 Item 16.D.11.
A deficiency in internal control over compliance exists when the design or operation of a control
does not allow management or employees, in the normal course of performing their assigned
functions, to prevent, or detect and correct, noncompliance with a type of compliance
requirement of a federal program or state project on a timely basis. A material weakness in
internal control over compliance is a deficiency, or combination of deficiencies, in internal
control over compliance, such that there is a reasonable possibility that material noncompliance
with a type of compliance requirement of a federal program or state project will not be
prevented, or detected and corrected, on a timely basis. We consider the deficiencies in internal
control over compliance described in the accompanying schedule of findings and questioned
costs as items 2011 -1 to 2011 -11to be material weaknesses.
The County's responses to the findings identified in our audit are described in the accompanying
schedule of findings and questioned costs. We did not audit the County's responses and,
accordingly, we express no opinion on the responses.
This report is intended solely for the information and use of management, the Board of County
Commissioners, others within the entity, the Auditor General of the State of Florida, federal and
state awarding agencies, and pass - through entities and is not intended to be and should not be
used by anyone other than these specified parties.
(/ o UP
February 29, 2012, except for the Energy Efficiency and Conservation Block Grant Program
(EECBG) (Recovery Act Funded), the date of which is June 1, 2012.
1205- 1362396
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A. niembe- firm:; of Ems` 3 Youn_; G1o^;lI iimitec
12/11/2012 Item 16.D.11.
COLLIER COUNTY, FLORIDA
SCHEDULE OF EXPENDITURES OF
FEDERAL AWARDS AND STATE PROJECTS
FOR THE FISCAL YEAR ENDED SEPTEMBER 30, 2011
Federal or State Grantor/Pass- Through Grantor Program Title
CFDA #/ CSFA #
Grant/Contract Number
Disbursements
Expenditures
Subrecipients
Department of A rindture
Direct Programs:
Rural Development:
Rural Business Enterprise Grams
10.769
09 -011- 596000558
$ 378,147
$ —
Indirect Programs:
Florida Department of Education:
Summer Food Service Program for Children
10.559
04
-0804
617,280
—
Florida Department of Agriculture and Consumer Services:
Cooperative Forestry Assistance
10.664
16421
12,248
—
Cooperative Forestry Assistance
10.664
Collier County - Isle of Capri
4,680
—
Cooperative Forestry Assistance
10.664
Collier County - Ochopee
2,063
—
Total CFDA
18,991
Total Department of Agriculture
1,014,418
Department of Commerce
Indirect Programs:
Florida Department of Community Affairs:
Public Safety Imeroperable Communications Grant Program
11.555
11 -DS-8D-09-21-01-291
1,376,565
Total Department of Commerce
1,376,565
Department of Housing and Urban Develooment
Direct Programs:
Office of Community Planning and Development:
CDBG - Entitlement Grants Cluster:
Community Development Block Grants / Entitlement Grants
14.218
B- 02 -UC -12 -0016
$ 5,160
$ _
Community Development Block Grants / Entitlement Grants
14.218
B- 04 -UC -12 -0016
2,650
Community Development Block Grants / Entitlement Grants
14.218
B- 08 -UC -12 -0016
73,234
73,200
Community Development Block Grants / Entitlement Grants
14.218
B- 08 -1.114-12 -0003
2,086,331
—
Community Development Block Grants / Entitlement Grants
14.218
B- 09 -UC -12 -0016
308,272
303,324
Community Development Block Grants / Entitlement Grants
14.218
B- 10 -UC -12 -0016
668,253
242370
Total CFDA
3,143,900
618,894
Community Development Block Grant ARRA Entitlement Giant
ARRA (CDBG) (Recovery Act Funded)
14.253
ARRA B- 09 -UY -12 -0016
34,930
27.000
Total CDBG- Emitlemcnt Grants Cluster
3,178,830
645,894
Emergency Shelter Grants Program
14.231
S- 09 -UC -12 -0024
6,405
6,405
Emergency Shelter Grants Program
14.231
5- 10 -UC -12 -0024
87,684
87,684
Total CFDA
94,089
94,089
Supportive Housing Program
14.235
FL0294B4D06080I
231
_
Supportive Housing Program
14.235
FL0294B4D060802
65,617
—
Supportive Housing Program
14.235
FL0294B4D061003
28,309
Supportive Housing Program
14.235
F1,0295B413060801
19,133
19,133
Supportive Housing Program
14.235
FL0295B4D060802
49,383
49,383
Supportive Housing Program
14.235
FL0296B4D060801
41,984
39,294
Supportive Housing Program
14.235
FL0296B4D060802
31,943
29,523
Supportive Housing Program
14.235
FL0296B4D061003
156
Total CFDA
236,756
137,333
Home Investment Partnerships Program
14.239
M- 07 -UC -12 -0217
6,954
_
Home Investment Partnerships Program
14.239
M- 09 -UC -12 -0217
139,333
138,710
Home Investment Partnerships Program
14.239
M- 10 -UC -12 -0217
110,249
61,673
Total CFDA
256,536
200,383
ARRA Homelessness Prevention and Rapid Re- Housing Program (HPRP)
14.257
ARRA S09 -UY -12 -0024
382,268
382,219
See accompanying notes to the schedule of expenditures of federal awards and state projects.
Indirect Programs:
Florida Department of Community Affairs:
Community Development Block Grants / State's Program Won -
Entitlement Grants in Hawaii (State Administered Small Cities Program)
14.228
07DB3V092101ZOI
$ (1,254)
$ —
Community Development Block Giants / State's Program \Non -
Entitlement Grants in Hawaii (State Administered Small Cities Program)
14.228
08DBD309210IA03
10,088
—
Community Development Block Grants / State's Program Won -
Entitlement Grants in Hawaii (State Administered Small Cities Program)
14.228
10- D13-134 -09- 21.01 -K09
645,610
Total CFDA
654,444
Total Department of Housing and Urban Development
4,802,923
1,459,918
(Continued)
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12/11/2012 Item 16.D.11.
COLLIER COUNTY, FLORIDA
SCHEDULE OF EXPENDITURES OF
FEDERAL AWARDS AND STATE PROJECTS
FOR THE FISCAL YEAR ENDED SEPTEMBER 30, 2011
171
Packet Page -3220-
CFDA #/
Disbursements
Federal or State Grantor/Pass- Through Grantor Program Title
CSFA M
Grant/Contract Number
Expenditures Subrecipients
Department of the Interior
Direct Programs:
Bureau of Land Management:
Payments in Lieu of Taxes
15.226
Collier County
1,240,307 —
Fish and Wildlife Service:
Coastal Program
15.630
401815JO21
50,000 —
Partners for Fish and Wildlife
15.631
4018151021
449145 —
Total Department of the interior
1,334,452 —
Department of Justice
JAG Program Cluster.
Direct Programs:
ARRA Recovery Act - Edward Byrne Memorial Justice Assistance Grant
(JAG) Program/ Grants to Units Of Local Government
16.804
ARRA 2009 -SB -B9 -1969
8,107 —
Bureau of Justice Assistance:
Edward Byme Memorial Justice Assistance Grant Program
16.738
2008 -DJ -BX -0340
S 2,312 S —
Edward Byme Memorial Justice Assistance Grant Program
16.738
2009 -DJ -BX -0335
132,272 —
Edward Byrne Memorial Justice Assistance Grant Program
16.738
2010 -DJ -BX -0576
109,052 —
Indirect Programs:
Florida Department of Law Enforcement:
Edward Byme Memorial Justice Assistance Grant Prgram
16.738
2010 -JAGC- COLL -I AX -221
12,265 —
Edward Byrne Memorial Justice Assistance Grant Program
16.738
2011- JAGC- COLL-I -B2 -213
157,202 —
Total CFDA
413,103 —
ARRA Recovery Act - Edward Byrne Memorial Justice Assistance Grant
(JAG) Program/ Grants to States and Territories
16.803
ARRA 2010 - ARRC - COLL -I -W7
36,374 —
Total JAG Program Cluster
457,584 —
Direct Programs:
Office of Victims of Crime:
Services for Trafficking Victims
16.320
2005 -VT -BX -0002
1,107 —
Services for Trafficking Victims
16.320
2010 -VT -BX -0004
136.502 —
Total CFDA
137,609 —
Violence Against Women Office:
Supervised Visitation, Safe Havens for Children
16.527
2007CWAX0007
(715) —
Supervised Visitation, Safe Havens for Children
16.527
2009CWAXKOI1
119,170 —
Total CFDA
118,455 —
Bureau of Justice Assistance:
Drag Court Discretionary Grant Program
16.585
2010 -DC -BX -0016
40,632 —
State Criminal Alien Assistance Program
16.606
2008 -AP -BX -0859
11,900 —
Office of Community Oriented Policing Services:
Public Safety Partnership and Community Policing Grants
16.710
2009CKWX0204
S 2,165 S —
Public Safety Partnership and Community Policing Grants
16.710
2010CKWX0107
185,036 —
Total CFDA
187,201 —
Indirect Programs:
Florida Office of Attorney General:
Crime Victim Assistance
16.575
V10129
131,657 —
Florida Department of Children and Families:
Violence Against Women Formula Grants
16.588
12- 8008 -LE
35,795 —
Violence Against Women Formula Grants
16.588
LN916
111,911 —
ARRA Violence Against Women Formula Grants
16.588
ARRA LN947
28,164 —
Total CFDA
175,870 —
Florida Department of Law Enforcement:
Project Safe Neighborhoods
16.609
2008 - PMAG - COLL- I -R6 -005
10,041 —
Total Department of Justice
1270,949 —
(Continued)
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12/11/2012 Item 16.D.11.
COLLIER COUNTY, FLORIDA
SCHEDULE OF EXPENDITURES OF
FEDERAL AWARDS AND STATE PROJECTS
FOR THE FISCAL YEAR ENDED SEPTEMBER 30, 2011
Federal or State Grentor/Pass- Through Grantor Program Title
CFDA #/
CSFA #
Grant /Contract Number
Disbursements
Expenditures Subre¢ipients
Department of Transportation
Direct Programs:
Federal Aviation Administration (FAA):
Airport Improvement Program
20.106
3 -12 -0142 -006 -2009
101,741 _
Airport Improvement Program
20.106
3 -12 -0142 -008 -2010
3.599,931 -
Total CFDA
3,701,672
Federal Transit Administration (FTA):
Federal Transit Cluster:
Federal Transit - Capital Investment Grants
20.500
FL-03 -0264 -00
$ 63,636 $ -
federal Transit Capital Investment Grants
20.500
FL-04 -0047 -00
107,055 -
Federal Transit-Capital Investment Grants
20.500
FL-04 -0117 -00
26,314
Total CFDA
197:005
ARRA Federal Transit - Formula Grants
20.507
ARRA FL -96- X019 -00
65,300 -
Federal Transit- Formula Grants
20.507
FL-90- X665 -00
12,047 -
Federal Transit Formula Grants
20.507
FL-90- X699 -00
166,353 -
Federal Transit Formula Grants
20.507
FLr90- X731 -00
1,217,178
Total CFDA
1,460,878
Total Federal Transit Cluster
1,657,883
Indirect Programs:
Florida Department of Transportation:
Highway Planning and Construction
20.205
416237 -1 / AQ076
20,949 -
Highway Planning and Construction
20.205
420871 -1 /A4377
414,595 -
Highway Planning and Construction
20.205
423654 -1 / APD71
27,823 -
Highway Planning and Construction
20.205
423655 -1 / APM21
43.202 -
Highway Planning and Construction
20.205
425556 -1 / AQ382
76 -
Highway Planning and Construction
20.205
426836 -1 / AQ258
44,550 -
Highway Planning and Construction
20.205
427936 -1 / AQ383
8,757
Total CFDA
559,952
Metropolitan Transportation Planning
20.505
410113 -1 / AP031
37,964 -
Formula Grants for Other Than Urbanized Areas
20.509
410120 -1 / AOW89
505,749 -
ARRA Formula Grants for Other Than Urbanized Areas
20.509
ARRA 426772 -1 / API 19
23,819
�\ Total CFDA
529,568
Capital Assistance Program for Elderly Persons and
Persons with Disabilities
20.513
FL-16 -0035
$ 234,616 $
Total Department of Transportation
6,721,655
Department of Treasury
Direct Programs:
Department of Treasury:
Federal Equitable Sharing
21.UNK
Collier County Sheriff
24,300
Total Department of Treasury
24,300
Department of Enemy
Direct Programs:
ARRA Energy Efficiency and Conservation Block Grant Program (EECBG)
81.128
ARRA DE- EE0000783
1,628,355
Total Department of Energy
1,628,355
U.S. Election Assistance Commission
Indirect Programs:
Florida Department of State:
Help America Vote Act Requirements Payments
90.401
Collier County - FY 2006 -2007
2,439 -
Help America Vote Act Requirements Payments
90.401
Collier County - FY 2007 -2008
756 -
Help America Vote Act Requirements Payments
90.401
Collier County - FY 2008 -2009
53,534
Total U.S. Election Assistance Commission
56,729
(Continued)
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12/11/2012 Item 16.D.11.
COLLIER COUNTY, FLORIDA
SCHEDULE OF EXPENDITURES OF
FEDERAL AWARDS AND STATE PROJECTS
FOR THE FISCAL YEAR ENDED SEPTEMBER 30, 2011
CFDA #/
-
Disbursements
Federal or State Grantor/Pass- Through Grantor Program Title
CSFA #
Grant/Contract Number
Expenditures
Subrecipients
Department of Health and Human Services
Direct Programs:
Health Resources and Services Administration:
$
Health Care and Other Facilities
93.887
C76HF15996
S 46,475
-
Specially Selected Health Projects
93.888
DIARH20098
67,970
67,970
Specially Selected Health Projects
93.888
DIBIT10769
159,988
-
Total CFDA
2275958
67.970
Indirect Programs:
Florida Department of Elder Affairs - Area Agency on Aging for
Southwest Florida, Inc.:
Aging Cluster:
Special Programs for the Aging_Title III, Part B- Grants for
Supportive Services and Senior Centers
93.044
OAA 203.010
16,370
-
Special Programs for the Aging_Title III, Part B -Grits for
Supportive Services and Senior Centers
93.044
OAA 203.2011
541826
-
Total CFDA
71,196
-
Special Programs for the Aging_Title III, Part C Nutrition Services
93.045
OAA 203.010
64,659
-
Special Programs for the Aging_Title III, Part C- Nutrition Services
93.045
OAA 203.2011
278,266
-
Total CFDA
342,925
-
Nutrition Services Incentive Program
93.053
NSIP 203.10
35
-
Nutrition Services Incentive Program
93.053
NSIP 203.11
30,219
-
Total CFDA
30.254
-
Total Aging Cluster
444,375
-
National Family Caregiver Support, Title 111, Part E
93.052
OAA 203.010
S 2,680
$ -
National Family Caregiver Support, Title 111, Part 1
93.052
OAA 203.2011
41,904
-
Total CFDA
44.594
-
Florida Department of Revenue:
Child Support Enforcement
93.563
CD311
200.241
-
Florida Department of State:
Voting Access for Individuals with Disabilities _ Grants to States
93.617
2010- 2011 -OD02
9,912
-
Florida Department of Transportation - Commission for the
Transportation Disadvantaged
Medical Assistance Program
93.778
416043 -1 / BDM59
505,235
-
Total Department of Health and Human Services
1,478,780
67,970
Corporation for National and Community Service
Direct Programs:
Retired and Senior Volunteer Program
94.002
09SRSFL017
55,341
-
Total Corporation for National and Community Service
55,341
-
Department of Homeland Security
Indirect Programs:
Florida Department of Community Affairs:
Disaster Grans - Public Assistance (Presidentially Declared
Disasters)
97.036
06- WL$.K -09 -21 -01-692
187,271
-
Disaster Grans - Public Assistance (Presidentially Declared
Disasters)
97.036
08- FA- B9.09 -21 -00-509
17,915
-
Total CFDA
205,186
-
Hazard Mitigation Grant
97.039
IOHM- 88 -09 -21 -01-008
$ 63,550
$ -
Hamrd Mitigation Grant
97.039
11HM- 3E- 09 -21 -01 -005
47,082
-
Hazard Mitigation Grant
97.039
IOHM- 88- 09- 21 -01 -010
85,183
-
Hazard Mitigation Grant
97.039
I1HM- 3E- 09 -21 -01 -004
46,943
-
Total CFDA
242,758
-
Emergency Management Performance Grans
97.042
I1- FG- 7W- 09 -21 -01 -030
92,701
-
Homeland Security Grant Program
97.067
11- DS- 29- 09 -21 -01 -240
16,729
-
(Continued)
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12/11/2012 Item 16.D.11.
COLLIER COUNTY, FLORIDA
SCHEDULE OF EXPENDITURES OF
FEDERAL AWARDS AND STATE PROJECTS
FOR THE FISCAL YEAR ENDED SEPTEMBER 30, 2011
Federal or State Grantor/Pass-Through Grantor Pr ram Tit].
CFDA #/
CSFA #
Grant/Contract Number
Disbursements
Florida Deparmem of Lew Enforcement:
Ex nditures
Subredpients
Homeland Security Grant Program
97.067
2007 - LETP - LOLL- 1Q4-005
200,000
Homeland Security Grant Program
97.067
2007 - LETP- COLL2Q4 -003
200,000
Homeland Security Grant Program
97.067
2008- LETP -COLL IS3 -017
114,102
Homeland Security Grant Program
97.067
2008 - SHSP -COLLA S4 -010
25,562
Total CFDA
—
556,393
Total Department of Homeland Security
1,097,038
TOTAL EXPENDITURES OF FEDERAL AWARDS
$ 2� 0,8� -1,505
$ 1,527,888
Florida Department of Environmental Protection
Voluntary Cleanup Tax Credit (VCTC) Program
37.056
218
$ 25,790
$
Total Florida Department of Environmental Protection
25,790
Florida Department of State and Secretary of State
State Aid to Libraries
45.030
07 -ST -12
107,291
—
State Aid to Libraries
45.030
08 -ST -12
179,320
—
State Aid to Libraries
45.030
09 -ST -10
4,750
Total Florida Department of State and Secretary of State
291,361
Florida Department of Community Affairs
Emergency Management Programs
52.008
11- BG- 05- 09 -21 -01 -130
77,043
_
Emergency Management Programs
52.008
12- BG -05- 09- 21 -01 -011
43,511
Total CFDA
120,554
Emergency Management Projects
52.023
l I- CP- 03 -09 -21 -01 -221
7,300
Total Florida Department of Community Affairs
127,854
Florida Housine Finance Corporation
State Housing Initiatives Partnership (SHIP) Program
52.901
Collier County / Naples
466,690
42,701
Total Florida Housing Finance Corporation
466,690
42.701
Florida Department of Transport Lion
Commission fm the Transportation Disadvantaged (CTD) Trip and
Equipment Grant Program
55.001
20724618401/20724638401 / APZ63
$ 440,451
$ —
Commission for the Transportation Disadvantaged (CTD) Trip and
Equipment Grant Program
55.001
20724618401/20724638401 / AQB16
156,387
Total CSFA
596,838
Commission for the Transportation Disadvantaged (CTD) Planning
Grant Program
55.002
20724621401 / AQB39
92
—
Commission for the Transportation Disadvantaged (CTD) Planning
Grant Program
55.002
20724621401 / AQ034
17,402
Total CSFA
17,494
Aviation Development Grants
55.004
206430 -1 /A1935
6,615
—
Aviation Development Gmnts
55.004
414298- 1 /AOV99
14,481
—
Aviation Development Grants
55.004
414299 -1 / AOR09
37,279
—
Aviation Development Grants
55.004
414299 -1 / AOR09
106,775
—
Aviation Development Grants
55.004
425515 -1 /AQ122
400
Total CSFA
165,550
Public Transit Block Gmnt Program
55.010
410139- 1 /AOW93
902,706
—
intermodal Development Program
55.014
420353 -1 / APF60
156,209
—
State Infrastructure Bank
55.020
420655- 2 /EIF59
1,875,930
—
Ttansportation Regional Incentive Program (TRIP)
55.026
425477 -1
2,914,908
Total Florida Department of Transportation
6,629,635
Florida Department of Children and Families
Homeless Challenge Grant
60.014
HFZ1D
$ 25,887
$ 10,324
Public Safety, Mental Health, and Substance Abuse Local
Matching Grant
60.115
LHZ25
22,261
Total Florida Department of Children and Families
48,148
10,324
Florida Department of Health
County Grant Awards
64.005
C8011
18,936
—
County Grant Awards
64.005
C9011
16,090
Total Florida Department of Health
35,026
(Continued)
174
Packet Page -3223-
12/11/2012 Item 16.D.11.
COLLIER COUNTY, FLORIDA
SCHEDULE OF EXPENDITURES OF
FEDERAL AWARDS AND STATE PROJECTS
FOR THE FISCAL YEAR ENDED SEPTEMBER 30, 2011
Florida Fish and Wildlife Conservation Commission
Florida Boating Improvement Program 77.006 08079
Florida Boating Improvement Program 77.006 10235
Total Florida Fish and Wildlife Conservation Commission
TOTAL EXPENDITURES OF STATE FINANCIAL ASSISTANCE
Packet Page -3224-
S 276,492 S -
11,980
288,472
S 897391603 S 53,025
175
CFDA #1
Disbursements
Federal or State Grantor /Pass - Through Grantor Program Title
CSFA #
Grant/Contract Number
Expenditure Subrecipients
Florida Department of Elder Affairs
Area Agency on Aging for Southwest Florida, Inc:
Home Can for the Elderly
65.001
HCE 203.10
2.922 -
Home Care for the Elderly
65.001
HCE 203.11
317 -
Total CSFA
3.239 -
Alzheimer's Respite Services
65.004
ADI 203.10
101,842 -
Alzheimds Respite Services
65.004
ADI 203.11
41,356 -
Total CSFA
1431198
Community Care for the Elderly (CCE)
65.010
CCE 203.11
135,644 -
Community Care for the Elderly (CCE)
65.010
CCE 203.10
544,546 -
Total CSFA
680,190 -
Total Florida Department of Elder Affairs
826,627 -
Florida Fish and Wildlife Conservation Commission
Florida Boating Improvement Program 77.006 08079
Florida Boating Improvement Program 77.006 10235
Total Florida Fish and Wildlife Conservation Commission
TOTAL EXPENDITURES OF STATE FINANCIAL ASSISTANCE
Packet Page -3224-
S 276,492 S -
11,980
288,472
S 897391603 S 53,025
175
12/11/2012 Item 16.D.11.
Collier County, Florida
Notes to the Schedule of Expenditures of Federal
Awards and State Projects
Year Ended September 30, 2011
1. Basis of Presentation
The accompanying Schedule of Expenditures of Federal Awards and State Projects (the
Schedule) includes the Federal and State grant activity for Collier County, Florida (the County)
and is presented on the modified accrual basis of accounting for expenditures accounted for in
the governmental funds and the accrual basis of accounting for expenditures in proprietary funds.
Under the modified accrual basis, revenue is recognized if it is both measurable and available for
use during the fiscal year and expenditures are recognized in the period liabilities are incurred, if
measurable. Under the accrual basis, expenditures are recognized in the period liabilities are
incurred.
The information in the schedule is presented in accordance with the requirements of U.S. Office
of Management and Budget (OMB) Circular A -133, Audits of States, Local Governments, and
Non - Profit Organizations, and Section 215.97, Florida Statutes. Therefore, some amounts
presented in the Schedule may differ from amounts presented, or used in the preparation of, the
basic financial statements for the fiscal year ended September 30, 2011.
2. State Infrastructure Bank Loan
Collier County received a $12,000,000 State Infrastructure Bank Loan from the Florida
Department of Transportation in fiscal year 2008 for construction of the I- 75/Immokalee Road
interchange. The Florida Department of Transportation included this project with their
concurrent widening of I -75 and retained the loan proceeds to fund the project. Accordingly, the
County's expenditures for purposes of reporting on the Schedule consist of principal loan
repayments only ($1,875,930 for fiscal year 2011) as no proceeds were received under the loan
and no project expenditures were incurred or paid directly by the County. The current balance of
the loan as of September 30, 2011 is $6,327,545.
1205- 1362396 176
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12/11/2012 Item 16.D.11.
Collier County, Florida
Notes to the Schedule of Expenditures of Federal
Awards and State Projects (continued)
2. State Infrastructure Bank Loan (continued)
The repayment schedule for this loan is as follows:
Payment Date Principal
10/1/2008
1,957,377
10/1/2009
1,839,148
10/1/2010
1,875,930
10/1/2011
1,913,449
10/1/2012
4,414,096
$ 12,000,000
3. Contingency
Interest Total
82,623
200,852
164,070
126,551
88,282
$ 662,378
2,040,000
2,040,000
2,040,000
2,040,000
4,502,378
$ 12,662,378
The grant revenue amounts received are subject to audit and adjustment. If any expenditures or
expenses are disallowed by the grantor agencies as a result of such an audit, any claim for
reimbursement to the grantor agencies would become a liability of the County. In the opinion of
management, all grant expenditures are in compliance with the terms of the grant agreements and
applicable federal and state laws and regulations.
4. Negative Figures on the Schedule of Expenditures
Negative expenditures reported in the Schedules of Expenditures of Federal Awards and State
Financial Assistance are a result of corrections which reduced expenditures in one grant and
increased expenditures in another grant or funding source. Although the current expenditures on
a grant may be negative, the total of all expenditures on the grant is expected to be positive over
its total period of performance.
1205- 1362396
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177
12/11/2012 Item 16.D.11.
Collier County, Florida
Schedule of Findings and Questioned Costs
For the Year Ended September 30, 2011
Part I Summary of Auditor's Results
Financial Statements Section
Type of auditor's report issued: Unqualified
Internal control over financial reporting:
Material weakness(es) identified?
Significant deficiency(ies) identified
Noncompliance material to financial
statements noted?
Federal Awards and State Projects Section
Internal control over major programs:
Material weakness(es) identified?
Significant deficiency(ies) identified
Type of auditor's report issued on compliance
for major programs:
1205- 1362396
Yes X No
Yes X None reported
Yes X No
X Yes No
Yes X None reported
Adverse for the CDBG - Entitlement Grants
Cluster (CFDA# 14.218 and CFDA #
ARRA - 14.253) and the Summer Food
Service Program for Children (CFDA#
10.559); Qualified for the Community
Development Block Grant/State's Program
and Non - Entitlement Grants in Hawaii
(State- Administered Small Cities Program)
(CFDA# 14.228), the ARRA: Homelessness
Prevention and Rapid Re- Housing Program
(CFDA# ARRA- 14.257), the State Housing
Initiatives Partnership Program (CSFA#
52.901), the Florida Boating Improvement
Program (CSFA #77.006), and the
Community Care for the Elderly Program
(CSFA #65.010); and Unqualified for all
other major federal programs and state
projects
Packet Page -3227-
178
12/11/2012 Item 16.D.11.
Collier County, Florida
Schedule of Findings and Questioned Costs (continued)
Any audit fmdings disclosed that are required to
be reported in accordance with section .510(a) of
OMB Circular A -133, Section 215.97, Florida
Statutes, and Chapter 10.550, Rules of the
Auditor General, State of Florida? X Yes No
Identification of major federal programs:
Federal Programs
Federal Agency/Name of Federal
CFDA Number Program
1205- 1362396
14.218, ARRA- 14.253 U.S. Department of Housing and Urban
Development:
CDBG — Entitlement Grants Cluster
14.228 Community Development Block
Grant / State's Program and Non -
Entitlement Grants in Hawaii
(State - Administered Small Cities
Program) (DRI)
ARRA - 14.257 ARRA: Homelessness Prevention and
Rapid Re- housing Program (HPRP)
(Recovery Act Funded)
15.226 U.S. Department of the Interior Bureau of
Land
Management:
Payment in Lieu of Taxes
11.555 U.S. Department of Commerce:
Public Safety Interoperable
Communications Grant
Program
20.106 U.S. Department of Transportation:
Airport Improvement Program
Packet Page -3228-
179
n
1205- 1362396
12/11/2012 Item 16. D.11.
Collier County, Florida
Schedule of Findings and Questioned Costs (continued)
97.067 U.S. Department of Homeland Security:
Homeland Security Grant Program
10.559 U.S. Department of Agriculture:
Summer Food Service Program for
Children
81.128 U.S. Department of Energy
Energy Efficiency and Conservation
Block Grant
Program (EECBG) (Recovery Act
Funded)
Packet Page -3229-
I_:1
12/11/2012 Item 16.D.11.
Collier County, Florida
Schedule of Findings and Questioned Costs (continued)
Identification of major state projects:
State Projects
CSFA Number
State Agency/Name of State Project
52.901
Florida Housing Finance Corporation:
State Housing Initiatives Partnership Program
(SHIP)
55.001
Florida Department of Transportation:
Commission for the Transportation Disadvantaged
(CTD) Trip and Equipment Grant Program
55.020
State Infrastructure Bank Loan Program
55.026
Transportation Regional Incentive Program
(TRIP)
65.010
Florida Department of Elder Affairs:
Community Care for the Elderly
77.006
Florida Fish and Wildlife Conservation
Commission:
Florida Boating Improvement Program
Dollar threshold used to distinguish between
Type A and Type B programs:
• Federal Programs $ 625,845
• State Projects $ 300,000
Auditee qualified as low -risk auditee?
1205- 1362396
Packet Page -3230-
Yes X No
181
12/11/2012 Item 16. D.11.
^ Collier County, Florida
Schedule of Findings and Questioned Costs (continued)
Part II — Financial Statement Findings Section
This section identifies the significant deficiencies, material weaknesses, fraud, illegal acts,
violations of provisions of contracts and grant agreements, and abuse related to the financial
statements for which Government Auditing Standards require reporting.
No such matters were identified.
Part III — Federal Awards and State Projects
Findings and Questioned Costs Section
This section identifies the audit findings required to be reported by Circular A -133
section .510(a), Section 215.97, Florida Statutes, and Chapter 10.550, Rules of the Auditor
n General, State of Florida, such as material weaknesses, significant deficiencies, and material
instances of noncompliance, including questioned costs, as well as any abuse findings involving
federal awards or state projects that are material to a major program.
Finding 2011 -1
Federal Program Information
U.S. Department of Housing and Urban Development
CDBG — Entitlement Grants Cluster (CDBG)
CFDA No.'s 14.218, ARRA- 14.253
Award No. B- 04 -UC -12 -0016, Award Year —
2004
Award No. B- 02 -UC -12 -0016, Award Year —
2002
Award No. B- 08 -UC -12 -0016, Award Year —
2008
Award No. B- 08 -UN -12 -0003, Award Year —
2009
Award No. B- 10 -UC -12 -0016, Award Year —
2010
Award No. B- 09 -UC -12 -0016, Award Year —
2009
Award No. ARRA B- 09 -UY -12 -0016, Award
Year — 2009
1205- 1362396
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182
12/11/2012 Item 16.D.11.
Collier County, Florida
Schedule of Findings and Questioned Costs (continued)
Community Development Block Grant/State's Program and Non - Entitlement Grants in Hawaii
(State- Administered Small Cities Program) (DRI)
CFDA No. 14.228
Award No. 08DB- D3- 09- 21- 01 -A03, Award Year — 2008
Award No. 10- DB- D4- 09- 21- 01 -K09, Award Year — 2010
ARRA: Homelessness Prevention and Rapid Re- Housing Program (HPRP)
CFDA No. ARRA — 14.25'7
Award No. ARRA S09 -UY -12 -0024, Award Year — 2009
Criteria
Allowable Costs; Cash Management: In accordance with OMB Circular A -102 Common Rule,
the County's methods and procedures for transferring funds should minimize the time elapsing
between the transfer to the County of grant funds and when the disbursement was paid by the
County. In addition, when awards are funded on a reimbursement basis, costs for which ^
reimbursement was requested should be paid prior to the date of the reimbursement request.
Condition /Context
For the CDBG — Entitlement Grants Cluster program and the Community Development
Block/Grant State's Program and Non - Entitlement Grants in Hawaii (State - Administered Small
Cities Program) (DRI), we noted several instances listed below where there was a significant
time lag between when the County paid for disbursements and when the disbursement was
requested for reimbursement.
1205- 1362396 183
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12/11/2012 Item 16. D.11.
Collier County, Florida
Schedule of Findings and Questioned Costs (continued)
Grant
Amount of
Cash
Drawdown
Date of Request
for Cash
Drawdown
Date of Oldest
Expenditure
Paid by
County in
Cash
Drawdown
Difference
in Days
NSP CDBG
1,052,304.06
6/2/2011
1/31/2010
487
NSP CDBG
818,750.63
7/1/2011
6/24/2010
372
NSP CDBG
179,100.35
7/1/2011
7/8/2010
358
CDBG
233,839.26
2/24/2011
7/9/2010
230
CDBG
125,762.40
2/15/2011
9/28/2010
140
CDBG
319,009.64
2/15/2011
9/28/2010
140
CDBG
74,448.22
2/24/2011
4/24/2009
671
CDBG
55,000.00
2/15/2011
11/18/2010
89
CDBG
100,427.62
9/21/2011 1
4/28/2011
146
CDBG
103,474.00
9/23/2011
4/13/2011
163
DRI
40,741.48
3/3/2011
7/9/2010
237
Further for the CDBG — Entitlement Grants Cluster program, we noted items were certified to be
100% complete by contractors, were requested for full payment in signed affidavits, and
authorized for full payment by Housing, Human & Veteran Services (HHVS) staff, who certified
on the disbursement authorization form that a site inspection was conducted and the work was
100% complete, without all work having been completed for 24 homes, as observed during
physical inspections of the NSP properties by the Internal Audit Department of the Clerk of the
Circuit Court. The bid line value for incomplete work ranged from $1,038 to $12,101 across all
findings, and was not specific to one contractor.
Also, upon Internal Audit's review of new air conditioning systems installed versus the bid
specifications, it was noted that four systems did not conform to the bid requirements and one
could not be verified. The systems in question required SEER and/or heat kilowatt ratings that
were higher than the actual ratings of the systems installed by the contractors. The purpose of
using certain minimum Energy Star and SEER ratings for A/C systems used in the rehabilitation
process is to ensure the utility bills will remain affordable for the homeowner, as required by
HUD grant guidelines.
1205- 1362396 184
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12/11/2012 Item 16.D.11.
Collier County, Florida
Schedule of Findings and Questioned Costs (continued)
Other substitutions were also noted, for example: a sink base cabinet was not removed and
replaced per specifications in order to save the granite counter top from being damaged. The
project manager and contractor decided to install a new tub in one of the bathrooms as a
substitute for the work not performed in the kitchen, but a change order was never completed;
therefore, the substitution was not approved.
In addition, Internal Audit noted in their investigation report that five homeowners received lawn
care services for three months after their purchase of an NSP property with a value of $1,380.
The HHVS department found the error and requested the funds be reimbursed to the county for
the services from each homeowner in letters dated February 4, 2011. To date, no funds have been
reimbursed to the County from the homeowners; however, it was further noted that the
contractor was never paid for these services by the County.
During our compliance testing over the activities allowed or unallowed/allowable costs /costs
principles attributes, we noted 10 expenditures that were for rehabilitation work for properties
that were physically inspected by Internal Audit where the work was not completed or
unapproved substitutions were made.
Also, we noted per review of the details for the cash draw downs, that part of the request for
reimbursement were for rehabilitation expenditures on properties that were investigated by
Internal Audit and determined to have questioned costs associated with them for work that was
paid for, but was not complete.
Finally, for the "ARRA: Homelessness Prevention and Rapid Re- Housing Program (HPRP) ", we
noted that for one drawdown request dated July 5, 2011, the drawdown request was made prior
to the check date of the initial expenditure, which was July 6, 2011. As such, the funds were not
expended prior to the drawdown request.
Questioned Costs
For the CDBG — Entitlement Grants Cluster program, we noted total questioned costs of
$158,559 Further, for the ARRA: Homelessness Prevention and Rapid Re- Housing grant
program, we noted total questioned costs of $16,370.
1205- 1362396
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185
12/11/2012 Item 16.D.11.
Collier County, Florida
Schedule of Findings and Questioned Costs (continued)
Cause /Effect
Drawdown or reimbursement requests were submitted to the grantor significantly past the time
that the County paid for the qualifying expenditures. There is a lack of a process to minimize the
time between disbursement and reimbursement request. In addition, drawdown or reimbursement
requests were submitted to the grantor prior to the County incurring and paying for qualifying
expenditures. This could result in reimbursement for unallowable or unsupported costs. Overall,
these resulted in non - compliance with the cash management requirements of the grant programs.
In addition, expenditures were paid by the County for rehabilitation work that was incomplete.
Internal controls over rehabilitation activities and the related approval process were not designed
or operating effectively. Signing statements saying that work is 100% complete when it is not
could result in funds being expended and requested for reimbursement for work that is not
completed.
Recommendation
The County should implement procedures that minimize the time elapsing between the request
for a cash drawdown and the time that the disbursements are paid by the County and that the
personnel administering the grant program comply with the County's established process,
whereby qualifying expenditures are incurred and paid for prior to requesting reimbursement
from the grantor. Also, the County should implement internal control procedures to inspect all
work prior to authorizing any payment requests to ensure that contractors have completed all
work according to the bid specifications.
Views of Responsible Officials and Planned Corrective Action
Management concurs with the recommendation of the auditors. In light of continuing audit
findings, internal audit review and other actions management was made aware of, the County
replaced the prior Director in Housing, Human and Veteran Services (HHVS) with a top
management team member in late August 2011 to restructure the entire HHVS Department and
implement effective controls, processes and procedures.
Management concurs with the recommendation of the auditors. In light of continuing audit
findings, internal audit review and other actions management was made aware of, the County
replaced the prior Director in Housing, Human and Veteran Services (HHVS) with a top
management team member in late August 2011 to restructure the entire HHVS Department and
n
implement effective controls, processes and procedures.
1205- 1362396 186
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12/11/2012 Item 16.D.11.
Collier County, Florida
Schedule of Findings and Questioned Costs (continued)
Realizing that this alone was not enough and wanting to effect changes throughout the entire
organization, County Manager, Leo Ochs, submitted a grants reorganization plan to the Board of
County Commissioners on January 30, 2012. In effect, all administrative grant compliance
functions were centralized at the corporate level under the Office of Management and Budget
(OMB).
This centralization will allow the entire organization to benefit from the substantial grants
accounting and compliance expertise that exist within that operation. While responsibilities for
grant program management and service delivery will remain with the operating units, the key
areas of grant compliance such as cash management, procurement, monitoring, reconciliation,
and reporting will be centrally managed and monitored across the agency.
OMB will implement this centralized grants management model in several phases over time. The
immediate focus is bringing obvious noncompliant activities, such as identified in this Single
Audit Report and prior years' reports back into adherence with grantor requirements.
OMB staff will become fully imbedded in the Agency's day to day administrative grant
functions and existing grants accountants serving under the Administrative Services Division
will be reassigned to the OMB. These employees will be deployed in key operating units to
implement consistent business processes and internal controls and carry out corrective actions.
With specific reference to the CDBG -NSP program, on December 14, 2011, agenda item l0A
the Board of County Commissioners approved a NSP strategy and associated implementation
action plan presented by HHVS. The purpose of this process is to extract Collier County from
the day -to -day operations of the NSP program by outsourcing the remaining homes to a local
agency for continuance of the program by a qualified agent. On February 28, 2012, revised
Action Plans will be submitted to the Board for approval and subsequent submittal to the U.S.
Department of Housing and Urban Development.
OMB internal controls will be developed to monitor that draws are completed on a timely basis,
no less than quarterly with a documented review of the draw amount and backup to verify that
checks have cleared prior to drawing federal funds, the draw amount reconciles to the general
ledger, work has been completed with no outstanding concerns by the Clerk, and appropriate
program income has been applied if applicable. The authorization form which verifies that work
is 100% completed will include additional backup of photos to document the work as complete
and a second attestation that the verification of work completed is true and accurate by support of
photos.
1205- 1362396 187
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12/11/2012 Item 16.D.11.
Collier County, Florida
Schedule of Findings and Questioned Costs (continued)
Finding 2011 -2
Federal Program Information
U.S. Department of Housing and Urban Development
CDBG — Entitlement Grants Cluster (CDBG)
CFDA No.'s 14.218, ARRA - 14.253
Award No. B- 04 -UC -12 -0016, Award Year —
2004
Award No. B- 02 -UC -12 -0016, Award Year —
2002
Award No. B- 08 -UC -12 -0016, Award Year —
2008
Award No. B- 08 -UN -12 -0003, Award Year —
2009
Award No. B- 10 -UC -12 -0016, Award Year —
2010
Award No. B- 09 -UC -12 -0016, Award Year —
2009
Award No. ARRA B- 09 -UY -12 -0016, Award
Year — 2009
Community Development Block Grant/State's Program and Non - Entitlement Grants in Hawaii
(State- Administered Small Cities Program) (DRI)
CFDA No. 14.228
Award No. 08DB- D3- 09- 21- 01 -A03, Award Year — 2008
Award No. 10- DB- D4- 09- 21- 01 -K09, Award Year — 2010
Florida Housing Finance Corporation (the Corporation)
State Housing Initiatives Partnership Program (SHIP)
CSFA No. 52.901
Award No. FY08 -09, Award Year — 2008
Criteria
Reporting. For the CDBG — Entitlement Grants Cluster program, per the NSP program
regulations contained in the Federal Register, each grantee must submit a quarterly performance
report, as HUD prescribes, no later than 30 days following the end of each quarter, beginning 30
days after the completion of the first full calendar quarter after grant award and continuing until
the end of the 15th month after initial receipt of grant funds. In addition to this quarterly
performance reporting, each grantee will report monthly on its NSP obligations and expenditures
beginning 30 days after the end of the 15th month following receipt of funds, and continuing
until reported total obligations are equal to or greater than the total NSP grant. After HUD has
1205- 1362396 188
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12/11/2012 Item 16.D.11.
Collier County, Florida
Schedule of Findings and Questioned Costs (continued)
accepted a report from a grantee showing such obligation of funds, the monthly reporting
requirement will end and quarterly reports will continue until all NSP funds (including program
income) have been expended and those expenditures are included in a report to HUD.
The County received Federal program funds as a subgrantee of the State under the Community
Development Block/Grant State's Program and Non - Entitlement Grants in Hawaii (State-
Administered Small Cities Program) (DRI). Per review of the State's reporting guidelines, the
subgrantee is required to submit a monthly status report.
For the State Housing Initiatives Partnership Program (SHIP), we noted the following reporting
requirements:
• In accordance with Section 420.9075(10), Florida Statutes, each county or eligible
municipality shall submit to the Corporation by September 15 of each year a report of its
affordable housing programs and accomplishments through June 30, immediately
preceding submittal of the report.
• Annual report for the Closeout Fiscal Year (2010/2011).
• The local SHIP administrator's tracking system and annual reports must exactly match
the information recorded in the local city or county's general ledger.
• SHIP administrators, therefore, are required to regularly reconcile their tracking system
with the local finance department's general ledger. They should meet with the director of
their finance department to create a process that will ensure compliance with the single
audit act.
Condition /Context
For the CDBG — Entitlement Grants Cluster program, we selected quarterly reports for the NSP
program to test and noted that the reports were submitted by the County and then rejected to be
modified as the amounts reported did not agree to the County's general ledger, therefore, the
reports could not be audited.
We noted that for 6 of our testing selections for the Community Development Block/Grant
State's Program and Non - Entitlement Grants in Hawaii (State- Administered Small Cities
Program), which were for months prior to July 2011, the monthly status reports were not
reconciled to the general ledger and a reconciliation was not provided. Subsequent to July 2011
we noted that these reports were reconciled to the general ledger.
1205- 1362396 189
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12/11/2012 Item 16.D.11.
^ Collier County, Florida
Schedule of Findings and Questioned Costs (continued)
Finally, for the SHIP grant program, the County received a letter from the Florida Housing
Finance Corporation stating that the County was not in compliance with SHIP statutory
guidelines as the Annual Report was not submitted by the deadline. Further, we obtained a copy
of the Annual Report and noted that the financial information included in the report was not
reconciled to the County's general ledger. Accordingly, we were unable to validate the amount
of expenditures reported in the Annual Report.
Questioned Costs
N/A
Cause /Effect
The reports submitted were not subjected to a thorough supervisory review to ensure accuracy
and completeness, including verification that amounts reported agreed to the accounting records
or were appropriately reconciled, if necessary. This could result in incorrect and/or inconsistent
information between the reports filed and the underlying financial records and indicates that the
County may not be in compliance with the provisions of the grant programs. Further, the SHIP
grant program Annual Report was not submitted by the deadline. Internal controls with respect to
reporting were not operating effectively.
Recommendation
The County should implement internal control procedures that require that reports be reconciled
to the general ledger and reviewed and approved prior to being filed with the grantor. In addition,
procedures should be in place to ensure that the reports are submitted by the deadline.
Views of Responsible Officials and Planned Corrective Action
Management concurs with this recommendation. With specific reference to the SHIP program,
under the direction of the newly placed Director in HHVS, one of our grant accountants worked
closely with the SHIP Technical Advisor to complete, revise and re- submit annual reports for
Fiscal Years 2006/2007, 2007/2008, and 2008 /2009. These reports were presented to and
approved by the Board of County Commissioners on February 14, 2012. HHVS will continue the
use of the Technical Advisor as directed by HUD in conjunction with the Office of Management
and Budget.
With respect to the NSP program, all prior reports have been resubmitted and are awaiting
^ review by the grantor agency.
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12/11/2012 Item 16.D.11.
Collier County, Florida
Schedule of Findings and Questioned Costs (continued)
Overall, centralization of our key areas of grant compliance, internal controls, general ledger
reconciliations and reporting will be implemented by the County through our newly revamped
Grants Management Office under the Office of Management and Budget. See Finding 2011 -1 for
complete action plan.
Finding 2011 -3
Federal Program Information
U.S. Department of Housing and Urban Development
CDBG — Entitlement Grants Cluster (CDBG)
CFDA No.'s 14.218, ARRA- 14.253
Award No. B- 04 -UC -12 -0016, Award Year —
2004
Award No. B- 02 -UC -12 -0016, Award Year —
2002
Award No. B- 08 -UC -12 -0016, Award Year —
2008
Award No. B- 08 -UN -12 -0003, Award Year —
2009
Award No. B- 10 -UC -12 -0016, Award Year —
2010
Award No. B- 09 -UC -12 -0016, Award Year —
2009
Award No. ARRA B- 09 -UY -12 -0016, Award Year — 2009
ARRA: Homelessness Prevention and Rapid Re- Housing Program (HPRP)
CFDA No. ARRA — 14.257
Award No. ARRA S09 -UY -12 -0024, Award Year — 2009
Criteria
Subrecipient Monitoring: OMB Circular A -133 requires that the County maintain internal
controls over subrecipients to ensure that subrecipient activities are monitored, audit findings are
resolved, and the impact of any noncompliance on the County is evaluated. Additionally, the
County should perform procedures to provide reasonable assurance that the subrecipient
obtained required audits and takes appropriate corrective action on audit findings.
Condition /Context
Per review of two subrecipient files under CDBG, we noted that the 2009 audits that had been
obtained showed that both subrecipients had findings in their Single Audits, however, the County
did not address management responses and corrective actions related to the audit findings and
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how they may impact the funding that the County subawards them under the grant program. In
addition, we noted that other audits since the 2009 audits had either not been obtained or
disclosed findings that were not appropriately addressed.
For the HPRP grant program, the County was not obtaining and reviewing audits of
subrecipients, although, the subrecipient stated that they had audited financial statements as part
of their application for the grant subaward.
Therefore, the County did not comply with the subrecipient monitoring requirements of OMB
Circular A -133 and did not have proper internal controls in place over the process.
Questioned Costs
N/A
1001N Cause /Effect
County personnel administering the grant program were not aware of the specific subrecipient
monitoring requirements of OMB Circular A -133. Failure to perform proper monitoring
activities can result in non - compliance with subrecipient monitoring requirements of OMB
Circular A -133 and misuse /misappropriation of grant funding.
Recommendation
We recommend that the County implement internal control policies and procedures to ensure
that proper monitoring of subrecipients occur on an on -going basis including the timely
submission of audit reports and resolution of any audit findings.
Views of Responsible Officials and Planned Corrective Action
Management concurs with this recommendation. An internal control for subrecipient monitoring
will be developed and implemented by OMB. This will include a master schedule of all
subrecipients' fiscal year end dates to assess the appropriate times to request single audit reports.
Collection of reports will be monitored by OMB through an electronic file system no less than
quarterly to ensure subrecipient audit reports have been collected and reviewed. Reviews will be
documented through the development of a review form completed by HHVS staff to assess the
need for further action including any corrective actions plans and a timeline. The follow -up
timeline will become part of the master subrecipient master schedule.
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Finding 2011 -4
Federal Program Information
U.S. Department of Housing and Urban Development
CDBG — Entitlement Grants Cluster (CDBG)
CFDA No.'s 14.218, ARRA- 14.253
Award No. B- 04 -UC -12 -0016, Award Year —
2004
Award No. B- 02 -UC -12 -0016, Award Year —
2002
Award No. B- 08 -UC -12 -0016, Award Year —
2008
Award No. B- 08 -UN -12 -0003, Award Year —
2009
Award No. B- 10 -UC -12 -0016, Award Year —
2010
Award No. B- 09 -UC -12 -0016, Award Year —
2009
Award No. ARRA B- 09 -UY -12 -0016, Award Year — 2009
Community Development Block Grant/State's Program and Non - Entitlement Grants in Hawaii
(State- Administered Small Cities Program) (DRI)
CFDA No. 14.228
Award No. 08DB- D3- 09- 21- 01 -A03, Award Year — 2008
Award No. 10- DB- D4- 09- 21- 01 -K09, Award Year — 2010
Criteria
Special Tests and Provisions: When CDBG funds or CDBG -R funds are used for rehabilitation,
the grantee must ensure that work is properly completed per 24 CFR section 570.506.
Any NSP- assisted rehabilitation of a foreclosed -upon home or residential property shall be
completed to the extent necessary to comply with applicable laws, codes and other requirements
relating to housing safety, quality, or habitability, in order to sell, rent or redevelop such homes
and properties.
Condition /Context
We noted for one of the properties in our testing, 3061 Areca Avenue, there was no evidence that
a pre - rehabilitation inspection was conducted describing the deficiencies to be corrected. Further
we noted 11 properties in our testing, 3061 Areca Avenue, 3402 Seminole Avenue, 3502
Caloosa St., 2224 50th Terrace SW, 4420 19th Avenue SW, 4471 32nd Avenue SW, 3870 4th
Avenue NE, 4814 30th Place SW, 5300 17th Place SW, 2975 4th St. NE, and 3671 18th Avenue
NE, that were certified to be 100% complete by contractors, were requested for full payment in
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signed affidavits, and authorized for full payment by Housing, Human & Veteran Services staff,
who certified on the disbursement authorization form that a site inspection was conducted and
the work was 100 % complete, without all work having been completed, as observed during
physical inspections of the properties by the Internal Audit Department of the Clerk of the
Circuit Court.
Questioned Costs
N/A
Cause /Effect
County personnel did not thoroughly inspect all work prior to authorizing any payment requests,
therefore, did not have effective internal controls in place over this process Signing statements
certifying that work is 100% complete without having performed a sufficient inspection could
result in funds being dispersed and requested for reimbursement for work not performed.
Recommendation
The County should implement internal control procedures to inspect all work prior to authorizing
any payment requests to ensure that contractors completed all work according to the bid
specifications, contract specifications, and carried out the work in accordance with rehabilitation
standards per 24 CFR section 570.506.
Views of Responsible Officials and Planned Corrective Action
Management concurs with this recommendation. This finding was brought to our attention
during the review by our Internal Auditors. Management took immediate action and internal
control procedures have been implemented within HHVS to address the payments to contractors.
We believe future payments pertaining to the NSP program will be in compliance with special
tests and provisions clauses.
The primary procedural change is to require photos of the components of work being invoiced.
The second signatory will utilize these photographs and proofs of inspections as evidence on
every request for payment, and also, periodically, will perform unscheduled site inspections to
further verify.
Additionally, there will be another layer of oversight due to the centralization of grant
^ compliance functions under the OMB. See Finding 2011 -1 for full corrective action plan.
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Finding 2011 -5
Federal Program Information
U.S. Department of Housing and Urban Development
CDBG — Entitlement Grants Cluster (CDBG)
CFDA No.'s 14.218, ARRA- 14.253
Award No. B- 04 -UC -12 -0016, Award Year —
2004
Award No. B- 02 -UC -12 -0016, Award Year —
2002
Award No. B- 08 -UC -12 -0016, Award Year —
2008
Award No. B- 08 -UN -12 -0003, Award Year —
2009
Award No. B- 10- UC -12- 001.6, Award Year —
2010
Award No. B- 09 -UC -12 -0016, Award Year —
2009
Award No. ARRA B- 09 -UY -12 -0016, Award Year — 2009
Criteria
Procurement, Suspension and Debarment: Verify that procurements provide full and open
competition pursuant to the requirements of OMB Circular A -102.
Condition /Context
We noted one of our testing selections was part of a group bidding process for the rehabilitation
of five homes where draft specifications were given to contractors for bidding, and then later
revised after the bids were awarded to one contractor. These were titled "pencil bids" by the
Housing Department Rehabilitation Specialist who later made revisions to bid specifications and
allowed the winning contractor to adjust its line item pricing. It was further noted that the
winning contractor increased certain line items within the bid even when the specifications on
the final bid were unchanged from the first set. The bid totals for the jobs did not increase or
decrease, only line items within the bid were changed. Further, this was also found by the
Internal Audit Department of the Clerk of the Circuit Court in their investigation over 24 NSP
properties owned by the County to rehabilitate as there were instances of invoices that were paid
for work that was not complete (see finding 2011 -2).
Questioned Costs
N/A
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Cause /Effect
This process is considered to be in violation of the County's procurement policy and not in
compliance with the procurement, suspension and debarment requirements of OMB Circular
A -102 since all contractors were not given the opportunity to competitively bid on the same set
of specifications. If all interested parties were given the opportunity to re -bid on the final
specifications, the job(s) may have been awarded to a different contractor at a lower cost.
Therefore, internal controls over the procurement, suspension, and debarment requirement were
not operating effectively.
Recommendation
We recommend that the County implement proper internal controls to ensure that the bid process
is competitive and fair to all interested parties by allowing them to bid on the same specifications
as required by the County's procurement policy and OMB Circular A -102.
Views of Responsible Officials and Planned Corrective Action
Management concurs with this recommendation. This finding was brought to our attention
during the review by our Internal Auditors. Management took immediate action and internal
control procedures have been implemented within HHVS to address proper procurement
procedures.
Additionally, OMB and the County Purchasing Department has begun development of a
coordination plan for all grant procurements which includes OMB review of all formal
solicitations and further rollout of the Grants Requisition process to HHVS. The Grants
Requisition process serves as an additional review by OMB staff versed in grant compliance
against grants agreements to ensure any special grantor procurement requirements have been
met.
Finding 2011 -6
Federal Program Information
U.S. Department of Housing and Urban Development
CDBG — Entitlement Grants Cluster (CDBG)
CFDA No.'s 14.218, ARRA - 14.253
Award No. B- 04 -UC -12 -0016, Award Year — 2004
Award No. B- 02 -UC -12 -0016, Award Year — 2002
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Award No. B- 08 -UC -12 -0016, Award Year
— 2008
Award No. B- 08 -UN -12 -0003, Award Year
— 2009
Award No. B- 10 -UC -12 -0016, Award Year
— 2010
Award No. B- 09 -UC -12 -0016, Award Year
— 2009
Award No. ARRA B- 09 -UY -12 -0016, Award Year — 2009
Criteria
Program Income and Cash Management: Revenue received by a state, unit of general local
government, or subrecipient (as defined at 24 CFR 570.500(c)) that is directly generated from the
use of CDBG funds (which term includes NSP grant funds) constitutes CDBG program income.
To ensure consistency of treatment of such revenue, the defmition of program income at 24 CFR
570.500(a) shall be applied to amounts received by states, units of general local government, and
subrecipients. However, Section 2301(d)(4) imposes certain limitations and requirements that
necessitate an alternative requirement to govern the use of program income generated by
activities carried out pursuant to Section 2301(c). The limitations and requirements are based on
the NSP activity that generated the program income and on the date the income is received. In
addition, Section 2301(d)(4) requires any revenue from the sale, rental, redevelopment,
rehabilitation or any other eligible use of NSP funds to be provided to and used by the state or
unit of local general government. This includes revenue received by a private individual or other
entity that is not a subrecipient. Program income received before July 30, 2013, may be retained
by the state or unit of general local government if it is treated as additional CDBG funds and
used in accordance with the requirements of Section 2301. Furthermore, as provided under 24
CFR 85.21 for entitlements, grantees and subrecipients shall disburse program income before
requesting additional cash withdrawals from the U.S. Treasury.
Condition /Context
At the end of FY 2010 there was a total of $725,320.37 of program income that had not been
considered and adjusted against future cash draws that was generated from CDBG activities.
During FY 2011, we noted there were three CDBG cash drawdowns that occurred during FY
2011. Per review of the first draw, the date of the request for reimbursement was on June 2,
2011. Based on this date and review of the program income population for CDBG, we noted
additional program income received during FY 2011 as of 6/2/11 of $259,378.63, resulting in a
total amount of program income (FY 2010 & FY 2011) prior to this cash draw of $984,699.00.
We noted per review of the cash drawdown details that the County only applied $725,315.86 of
program income to the request as oppose to the whole amount reflected in the general ledger of
$984,699.00. Further, the last two cash draws related to CDBG during FY 2011 were requested
on July 1, 2011 and did not have any program income that was drawn against.
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Schedule of Findings and Questioned Costs (continued)
Questioned Costs
$259,378.63
Cause /Effect
It appears that CDBG program income not adjusted from (reduced) future cash draws. Internal
controls with respect to program income were not operating effectively.
Recommendation
We recommend that the County implement procedures to verify that program income received is
properly adjusted to future cash draw downs.
Views of Responsible Officials and Planned Corrective Action
Management concurs with the recommendation. As of February 1, 2012 the Office of
Management and Budget has been expanded to oversee grants compliance countywide.
Standardized project to date tracking protocols and forms will be implemented to support
accurate general ledger reconciliations and application of program income prior to
reimbursement (draw down) requests in a manner which supports a successful audit trail
including proper backup that any grantor system failures are consistently documented and if
possible acknowledged by the grantor agency.
Finding 2011 -7
State Program Information
Florida Fish and Wildlife Conservation Commission
Florida Boating Improvement Program
CSFA No. 77.006
Award No. 08079, Award Year — 2008
Criteria
Matching: Per Florida Boating Improvement Program guidelines, applicants must furnish some
form of non -cash match (in -kind service) to the project. Non -cash match may include the cost of
administrative /contract management, engineering /construction management, labor, materials,
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and equipment provided through in -house resources of the Applicant. Applicants may not
provide more than 5% of the total project cost for project administration and 10% of the total
project cost for project engineering/construction management.
Condition /Context
We noted that there were in -kind contributions of $20,000 and $60,000 for administration and
project management, respectively, included in the final submitted report for the FBIP grant
program. However, we were unable to obtain evidence to substantiate the valuation and
calculation of the in -kind contributions.
Questioned Costs
Cause /Effect
The final report submitted was not adequately reviewed to ensure accuracy and completeness,
including verification that in -kind contribution amounts reported were appropriately
substantiated by accounting records. Internal controls with respect to matching were not
operating effectively.
Recommendation
The County should implement internal control procedures that require that amounts included in
final submitted reports be adequately substantiated and reconciled to the accounting records and
reviewed and approved prior to being filed with the grantor.
Views of Responsible Officials and Planned Corrective Action
Management concurs with this recommendation. The Coastal Zone Management office is
preparing a revised invoice for reimbursement and assistance will be provided to staff by our
Grants Management Office to facilitate their understanding correct substantiation and
reconciliation of accounting records prior to submission of the revised invoice.
Specifically, OMB will implement the use of standard in -kind tracking forms and protocols
(consistent with the payroll calendar schedule) for staff to document staff time used as in -kind.
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OMB will meet with CZM staff to develop roles and responsibilities as well as central electronic
file location to monitor no less than quarterly that appropriate documentation is completed for
staff time, materials and supplies.
Finding 2011 -8
Federal /State Program Information
Federal Agencies/Program:
U.S. Department of Housing and Urban Development
CDBG — Entitlement Grants Cluster (CDBG)
CFDA No.'s 14.218, ARRA- 14.253
Award No. B- 04 -UC -12 -0016, Award Year —
2004
n Award No. B- 02 -UC -12 -0016, Award Year —
2002
Award No. B- 08 -UC -12 -0016, Award Year —
2008
Award No. B- 08 -UN -12 -0003, Award Year —
2009
Award No. B- 10 -UC -12 -0016, Award Year —
2010
Award No. B- 09 -UC -12 -0016, Award Year —
2009
Award No. ARRA B- 09 -UY -12 -0016, Award Year — 2009
Community Development Block Grant/State's Program and Non - Entitlement Grants in Hawaii
(State - Administered Small Cities Program) (DRI)
CFDA No. 14.228
Award No. 08DB-D3-09-21 -01 -A03, Award Year — 2008
Award No. 10- DB- D4- 09- 21- 01 -K09, Award Year — 2010
State Agencies/Programs:
Florida Department of Elder Affairs
Community Care for the Elderly (CCE)
CSFA No. 65.010
Award No. CCE 203.11, Award Year — 2011
Award No. CCE 203. 10, Award Year — 2010
Florida Housing Finance Corporation
State Housing Initiatives Partnership Program (SHIP)
CSFA No. 52.901
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Award No. FY08 -09, Award Year — 2008
Criteria
Allowable Costs: Compensation for personnel services rendered in connection with Federal
awards must be documented and supported as described in OMB Circular A -87, Cost Principles
for State, Local and Indian Tribal Governments (A -87). Additionally, pursuant to the SHIP
Program Manual and the State of Florida's Part Four Compliance Supplement for the CCE
program, administrative costs for the SHIP and CCE state programs should also be in
conformance with A -87. According to A -87, the standards regarding time distribution are in
addition to the payroll documentation and require the following:
Charges to Federal awards for salaries and wages, whether treated as direct or indirect
costs, will be based on payrolls documented in accordance with the generally accepted
practice of the governmental unit and approved by responsible official(s) of the
governmental unit.
Where employees are expected to work solely on a single Federal award or cost
objective, charges for their salaries and wages will be supported by periodic certifications
that the employees worked solely on the program for the period covered by the
certification. These certifications will be prepared at least semi - annually and will be
signed by the employee or supervisory official having first -hand knowledge of the work
performed by the employee.
Where employees work on multiple activities or cost objectives, a distribution of their
salaries or wages will be supported by personnel activity reports or equivalent
documentation which meets the following standards (unless a statistical system or other
substitute system has been approved by the cognizant Federal agency):
a) must reflect an after -the -fact distribution of the actual activity of each employee,
b) must account for the total activity for which each employee is compensated,
c) must be prepared at least monthly and must coincide with one or more pay periods,
and
d) must be signed by the employee.
e) Budget estimates or other distribution percentages determined before the services are
performed do not qualify as support for charges to Federal awards but may be used
for interim accounting purposes.
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Condition /Context
During our testing over payroll, we could not obtain sufficient evidence that the time allocated
towards grant programs per time sheets was actual time the employee spent working on the grant
programs.
Questioned Costs
Total salaries and related costs for the FY 2011 time period are summarized as follows:
CDBG (CFDA No. 14.218)
$
577,627
DRI (CFDA No. 14.228)
$
162,652
SHIP (CSFA N0. 52.901)
$
37,822
CCE (CSFA No. 65.010)
$
251,771
n Cause /Effect
Payroll allocations to grant programs were not supported by detailed time records. As such, these
payroll costs are unsupported. This could result in reimbursement for unallowable or
unsubstantiated costs.
Recommendation
We recommend that the County implement effective internal controls to ensure that actual time
worked by an employee is charged to the grant programs.
Views of Responsible Officials and Planned Corrective Action
HHVS continues to follow the procedure for charging grants staff time via biweekly timesheets,
signed by the employee and management, and reflecting actual time spent on the grants.
However, it was determined by this finding that the procedures were not working as some of the
staff were changing formulas within the spreadsheets and estimating their time. The department
has implemented one spreadsheet that will be used by all staff members and the account strings
will be verified by the accounting supervisor prior to forwarding to Human Resources for entry
into SAP. Additionally, assistance will be provided by OMB via review of the current processes
and procedures and the tools used by staff to perform their grant payroll reporting.
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Finding 2011 -9
State Program Information
Florida Fish and Wildlife Conservation Commission
Florida Boating Improvement Program
CSFA No. 77.006
Award No. 08079, Award Year — 2008
Criteria
Reporting: Per review of the State's reporting guidelines, the subgrantee is required to submit
monthly progress reports from the award date of the grant until such time as the Contractor's
Certification of Completion is signed by the contractor and submitted to the Florida Fish and
Wildlife Conservation Commission. The compliance supplement requires that performance
reports are complete and accurate, which includes a requirement that amounts reported be in
agreement with accounting records that support the audited financial statements and the SEFA.
Condition /Context
We noted during our review and testing of the final invoice that the Contractor's Certification of
Completion, which was signed by the contractor, was submitted to the Florida Fish and Wildlife
Conservation Commission on November 9, 2011, however, no progress reports were submitted
after January 2011, during which month construction was completed. As such, no monthly
progress reports were submitted for approximately 10 months.
Questioned Costs
N/A
Cause /Effect
Failure to submit the required monthly progress reports resulted in non - compliance with the
reporting requirements of the grant program. Internal controls with respect to reporting were not
operating effectively.
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Schedule of Findings and Questioned Costs (continued)
Recommendation
The County should establish policies and procedures necessary to ensure that all required reports
are prepared and filed in a timely manner including developing a checklist of required reports
and due dates.
Views of Responsible Officials and Planned Corrective Action
Management concurs with this recommendation. A centralized electronic file system will be put
into place that will serve as a monitoring tool by OMB staff. A master report schedule will
outline all reporting requirements by grantor program and grant contract. Reminders will be sent
to CZM staff to draft required reports. Standard protocol will implement that all reports receive a
documented review by OMB staff prior to submission to the grantor agency. This internal
control will serve to ensure reports are filed timely and that the audit trail includes a copy of the
final submission and documented review.
Finding 2011 -10
Federal Program Information
U.S. Department of Agriculture
Florida Department of Education
Summer Food Service Program for Children
CFDA No. 10.559
Award No. 04 -0804, Award Year — 2011
Criteria
Allowable Costs: Compensation for personnel services rendered in connection with Federal
awards must be documented and supported as described in OMB Circular A -87, Cost Principles
for State, Local, and Indian Tribal Governments (A -87).
Condition /Context
We noted upon review of payroll timecards from the Parks and Recreation Department, the
County Clerk's Finance Department identified and investigated an error noted in the computation
and data entry of overtime hours worked by Summer Food Program personnel. We note that the
fiscal technician that was inputting the time for the Summer Food Program was responsible for
111—N entering the hours worked by each employee. The fiscal technician would enter and approve in
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the SAP general ledger system for payroll processing and payment, the data provided by the
manual time card signed by the employee and supervisor of the program. The fiscal technician,
when entering overtime hours into the system, multiplied all overtime hours by 1.5, as they were
unaware that the County's payroll system automatically calculated the increase in rate for hours
classified as overtime hours. Additionally, we noted that an overpayment for the time resulted in
additional employer taxes and Florida Retirement System contributions, as these expenditures
are calculated as a percentage of total pay.
Questioned Costs
$8,517.
Cause /Effect
The cause is due to a clerical error going undetected due to the lack of effective supervisory
oversight, which resulted in an overcharge of payroll costs to the program. As such, unallowable
costs were charged to the program. In addition, permissions for both entering data and approving
time in the SAP system was granted to this employee.
Recommendation
We recommend an additional level of review, to compare the hours per the manual timecards to
the timekeeper's entry into the system, and that the timekeeper's access to the payroll module
should not also include approval of time entry. We also recommend proper training of payroll
personnel
Views of Responsible Officials and Planned Corrective Action
Management concurs with this recommendation. The Human Resource Department (HR) has
implemented additional training to staff entering payroll and supervisors. The content of the first
session included review of federal laws (Fair Labor Standards Act), Compensation CMA, Leaves
of Absence CMA, deadlines, best practices, productive vs. non - productive time, holidays,
compensatory time and overtime. In addition to the training, HR has reviewed all time entries for
the Summer Food Program and is working with the Clerk of Court to resolve the overpayments.
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Finding 2011 -11
Federal Program Information
U.S. Department of Agriculture
Florida Department of Education
Summer Food Service Program for Children
CFDA No. 10.559
Award No. 04 -0804, Award Year — 2011
Criteria
Allowable Costs; Cash Management: In accordance with OMB Circular A -102 Common Rule, the
related expenditures should be in compliance with the applicable funding techniques as described
in the agreement and when awards are funded on a reimbursement basis, the costs for which
n reimbursement was requested were paid prior to the date of the reimbursement request. In
addition, in accordance with OMB Circular A -87, Cost Principles for State, Local, and Indian
Tribal Governments (A -87), costs need to be supported by adequate documentation.
Condition /Context
We note that the meals served on a daily basis are tracked manually at each meal site, and the
manual tracking sheets are sent to the Parks & Recreation Administration Office. Personnel at
the office enter the manual data into an excel spreadsheet, which is then used to summarize the
total meals served and to prepare the cash drawdown requests. We obtained the excel tracking
spreadsheet for the month of June 2011, and while clerically testing it, we noted that the total
number of meals served, plus the total number of meals left over, was more than the total number
of meals delivered for the Naples locations. Additionally, we noted that the total number of
meals left over for both locations were not equal to the total number of meals delivered during
the period, less the number of meals served. As such, we were unable to determine whether the
excel tracking spreadsheet appropriately reflected the number of meals delivered or the number
of meals served. Further, we were unable to obtain sufficient evidence to verify the number of
meals served and reported, and therefore reimbursed, during July 2011 and August 2011.
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Questioned Costs
Unable to determine.
Cause /Effect
Drawdown or reimbursement requests were submitted to the grantor that could not be fully
substantiated with evidence that they were qualifying paid expenditures. This could result in
reimbursement for unsubstantiated meals served.
Recommendation
We recommend that the personnel administering the grant program implement procedures to
ensure that reimbursement requests are supported by actual meals served.
Views of Responsible Officials and Planned Corrective Action
Management concurs with the recommendation. Deficiencies in the operation of this program
were brought to our attention during the summer of 2011. Management took immediate action
and implemented a very detailed corrective action plan. A summation of the plan is as follows:
1. Staff has been re- trained to ensure that an understanding of the requirements of the
program and delivery of these requirements to participants are carried out in accordance
with United States Department of Agriculture Summer food Service Program guidelines
without exception. Subsequent training will be held routinely.
2. As mentioned previously, staff are assigned to count the amount of food coming back to
correspond with the POS forms for left -over meals.
All meals will contain the required elements for lunch and breakfast and no other foods
will be substituted or added.
4. Current program manager was removed immediately and his responsibilities were
reassigned to his supervisor.
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Collier County, Florida
Schedule of Findings and Questioned Costs (continued)
5. The supervisor will be the contact person for all future contacts between the Parks and
Recreation Department and representatives of the Florida Department of Education and
the Director of Collier County Parks and Recreation will be added to all future
communications between the Collier County Parks and Recreation Department and the
Florida Department of Education.
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12/11/2012 Item 16.D.11.
Collier County, Florida
Summary Schedule of Prior Audit Findings
For the Year Ended September 30, 2011
The current status of findings reported for the years ended September 30, 2010 and 2009 related
to major federal programs and state projects is as follows:
Finding 2010 -1
State Program Information
Florida Housing Finance Corporation (the Corporation)
State Housing Initiatives Partnership Program (SHIP)
CSFA No. 52.901
Award No. FY08 -09, Award Year — 2008
Compliance Requirement: Reporting
Condition /Context
The financial information included in the submitted Annual Report was not reconciled to the
County's general ledger. Accordingly, we were unable to validate the amount of expenditures
and program income reported in the Annual Report.
Recommendation
The County should implement procedures that require that the statutory reports be reconciled to
the general ledger and reviewed and approved prior to being filed with the State.
Views of Responsible Officials and Planned Corrective Action
Management concurs with the recommendations of the auditors. On July 1, 2010, Collier County
entered into a contract with the Florida Housing Coalition, the technical assistance provider for
Florida Housing Finance Corporation. The purpose was to receive assistance in reconciling the
annual reports to the general ledger and establishing best practices to capture, reconcile, and
report data.
Current Status
The previously submitted Annual Reports for 06/07 07/08 and 08/09 were voided and have been
revised and resubmitted with the assistance of the Florida Housing Corporation's Technical
Advisor. The Technical Advisor determined that the historical practice of maintaining separate
projects in our accounting system created problems when attempting to reclassify expenditures to
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Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
a previous period. She suggested we no longer attempt to reconcile to SAP, but rather use the
SHIP tracking forms as the basis for recording the date of SHIP transactions and SAP to support
that the expenditures occurred.
Consequently, HHVS staff is in the process of creating "bridge" reports to tie the information
provided in the Annual Reports to SAP. These bridge reports would be analogous with a request
for reclassifications, showing where expenditures currently reside in SAP and where they are in
the Annual Report.
SHIP funding for 11/12 will be placed in a new fund/project and maintained for the duration of
the SHIP program. Staff is reviewing various options for maintaining and tracking future SHIP
funds to ensure the integrity of the data in SAP and to make reconciliations to the SHIP tracking
forms possible and help ensure the integrity of Annual Reports.
As of February 1, 2012 the Office of Management and Budget has been expanded to oversee
n grants compliance countywide and will serve to assist in proper reconciliation and tracking of
SHIP funding.
Finding 2010 -2
Federal Program Information
U.S. Department of the Interior
Payments in Lieu of Taxes (PILT)
CFDA No. 15.226
Compliance Requirement: Reporting
Condition /Context
The County was not aware of the requirement noted in (d) above and did not certify to the
Department that it had made an appropriate distribution of the funds within 120 days of receiving
payments.
Recommendation
The County should implement procedures to identify all types of reporting requirements
indicated in the federal regulations and to ensure all such reports or certifications are submitted
as required and on a timely basis.
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Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
Views of Responsible Officials and Planned Corrective Action
The Clerk's Department of Finance and Accounting (Finance) determined that this program was
considered a Federal grant in July 2010. At that time, Finance contacted the Department of
Interior and was told that there were no reporting requirements for this program. All funds were
properly distributed. Upon reviewing CFR 44.5(d) with the auditors, it was determined that a
certification confirming the appropriate distribution of funds was required. The confirmation was
sent and this requirement had been added to the PILT procedures for future years.
Current Status
The procedures for processing the PILT receipt and subsequent distributions have been updated.
All funds were properly distributed. The certification confirming the appropriate distribution of
funds was submitted to the Department of the Interior as required.
Finding 2010 -3
Federal Program Information
U.S. Department of Homeland Security
Disaster Grants — Public Assistance (Presidentially Declared Disasters)
CFDA No. 97.036
Award No. 08- FA- B9- 09 -21 -00 -509, Award Year — 2009
Compliance Requirement: Procurement, Suspension and Debarment
Condition /Context
We selected the largest vendor included in the population which comprised the majority of the
expenditures incurred under the Federal program for testing. The expenditures were incurred
during prior years although the Federal reimbursement was sought and received in the current
year. We noted no documentation evidencing that the County had checked the EPLS, and a
certification from the vendor was not collected or clause or condition included in the contract.
We noted that the County's current policy it to document the EPLS check; however, as this
vendor contract pertained to prior years, there was no documentation of the EPLS check being
performed.
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^ Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
Recommendation
The County should perform the required verification by checking the EPLS (and documenting
evidence of the verification, when it was performed and by whom), collecting a certification
from the entity, or adding a clause or condition to the contract with that entity in accordance with
the Federal requirements.
Views of Responsible Officials and Planned Corrective Action
Management concurs with and has successfully implemented the procedure of performing EPLS
checks on all vendors associated with grant activities. This contract was procured in July of
2005, prior to any damage done to Naples beaches and initial submission to FEMA for
reimbursement. This contract bid process was intended for payment under non -grant revenue
sources and accordingly, our procurement procedures do not require debarment checks for non-
grant related vendors. The bid process did include the following language with regards to Public
Entity Crimes: `By its submitting a Bid, Bidder acknowledges and agrees to and represents it is
in compliance with the terms of Section 287.133(2)(a) of the Florida Statutes." Said statute
prohibits a vendor from bidding on a contract when they have been convicted of a public entity
crime.
An after -the -fact EPLS check was performed on this vendor for the period of January 1, 2005
through and including September 30, 2010 and was found to be in good standing. At the time the
County submits their second request for scope change with FEMA regarding the increased beach
costs, all vendors submitted for reimbursement will be checked after -the -fact.
Current Status
The County continues to educate staff on EPLS checks as well as other grant procurement
procedures to ensure compliance. On this particular item, EPLS checks were performed on all
vendors associated with the grant.
As of February 1, 2012 the Office of Management and Budget has been expanded to oversee
grants compliance countywide. Additional controls will be implemented during FY 2012
including a grants requisition system that will allow grants compliance staff to verify an EPLS
check has been completed prior to execution of a purchase orders against a contract funded with
federal or state funds. In addition, grants compliance staff in coordination with Purchasing will
review grant related procurements at several control points. Prior to advertisement to review
procurement packages for required grantor provisional language, at the time of Board approval
by way of the SIRE agenda system, and again at the time of purchase order execution.
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Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
Finding 2010 -4
Federal Program Information
U.S. Department of Homeland Security
Disaster Grants — Public Assistance (Presidentially Declared Disasters)
CFDA No. 97.036
Award No. 08- FA- B9- 09 -21 -00 -509, Award Year — 2009
Compliance Requirement: Reporting
Condition /Context
For one of the two quarterly reports selected for testing on a large project we noted amounts
were not reported accurately for the anticipated final amount and the amount expended to date.
The accounting records reflected a total amount of $12.9 million whereas the report reflected
$3.1 million. Further, we selected the next quarterly report and noted that the amounts reported
were the same and had not been updated to reflect the actual activity based on the County's
accounting records.
Recommendation
We recommend that all reports submitted to grantor agencies be subjected to a thorough
supervisory review for accuracy and completeness prior to submission.
Views of Responsible Officials and Planned Corrective Action
The Florida Public Assistance quarterly reporting is done electronically without any intermittent
check points for review. Management will work around this by having staff create a spreadsheet
prior to quarterly reporting submission and submit to Management for approval.
Staff inquired about submitting revised quarterly reports for the periods in question and was
advised that there are no options for doing this within the system.
Current Status
Staff generates a spreadsheet from the Florida Public Assistance system quarterly and it is
reviewed and approved by Management prior to submission in the actual Florida Public
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10-IN Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
Assistance portal. Additionally, staff monitoring each of the on -going projects is responsible for
reporting the amounts to the employees who perform the report preparation and submission.
Finding 2010 -5
Federal Program Information
U.S. Department of Homeland Security
Disaster Grants — Public Assistance (Presidentially Declared Disasters)
CFDA No. 97.036
Award No. 08- FA- B9- 09 -21 -00 -509, Award Year — 2009
Compliance Requirement: Allowable Activities /Costs
Condition /Context
The large project PW that was finalized during fiscal year 2010 and which set forth the allowable
activities and costs for the project included approximately $10.5 million for costs associated with
one vendor and $2.2 million related to various other vendor related costs. The County was
reimbursed under the Federal program for the full amount of the approved PW (approximately
$3.1 million was collected in prior years and approximately $9.7 million was collected during
fiscal year 2010). For the other vendors included in the PW totaling $2.2 million, we selected
three of the largest vendors to test covering over 60% of the other vendor total amount. We noted
that for one of the vendors selected, the amount billed by the vendor and paid by the County was
less than the amount in the PW by $27,997, which at the Federal reimbursable share per the PW
of 55% equates to $15,398.
Recommendation
We recommend that the County implement procedures to ensure that amounts reimbursed are
based upon actual expenditures incurred.
Views of Responsible Officials and Planned Corrective Action
As discussed in previous meetings, this Project Worksheet 2700 (PW) was the scope change and
Collier County was allowed a much larger reimbursement for the damages done to Collier
County Beaches. This is an on -going process and involves three Named Events (Tropical Storm
Gabrielle on 9/12/2001; Hurricane Katrina on 8/29/2005; and Hurricane Wilma on 10/24/2005).
At 9/30/2010, Collier County was half -way through this process.
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Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
The invoice selected for testing on this project was incorrectly referenced in the written
discussion on PW 2700 by State personnel at $682,000, the PO amount. There is a spreadsheet
that FEMA, State personnel and Collier personnel are working with for the entire $33.9 million
dollar scope change. The actual invoice amount of $654,002.73 is included on the spreadsheet.
Current Status
As of February 1, 2012 the Office of Management and Budget has been expanded to oversee
grants compliance countywide. Standardized report submission forms and protocols will be
implemented to support segregation of duties as well as accurate reporting to ensure the general
ledger reconciles to any financial activity within the report prior to submission.
Finding 2010 -6
Federal Program Information
U.S. Department of Housing and Urban Development
CDBG — Entitlement Grants Cluster (CDBG)
CFDA No. 14.218 and CFDA No. ARRA- 14.253
Award No. B- 08 -UN -12 -0003, Award Year — 2009
Award No. B- 07 -UC -12 -0016, Award Year — 2007
Award No. B- 08 -UC -12 -0016, Award Year — 2008
Award No. B- 09 -UC -12 -0016, Award Year — 2009
Award No. B- 10 -UC- 120016, Award Year — 2010
Award No. ARRA B- 09 -UY -12 -0016, Award Year — 2009
Compliance Requirement: Program Income
Condition /Context
We noted a total of approximately $732,000 of program income generated during fiscal year
2010 under the Neighborhood Stabilization Program (NSP) which is part of the CDBG program.
Per review of the general ledger expenditure detail provided, we noted that the program income
had been applied against specific program expenditures in determining the net amount of
program expenditures reported in the SEFA. From the detail of program income provided, we
selected a sample of specific program income transactions for testing and the first selection of
approximately $66,000 was recorded in May 2010. The remaining five selections included in our
sample were recorded during September 2010. There were no NSP program cash draws made
subsequent to the receipt of the program income recorded in September 2010. We attempted to
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^ Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
ascertain whether the amounts received as program income in May 2010 were properly offset
against program expenditures in determining the amount of federal funds drawn for the next
draw request occurring subsequent to the date the program income was received in order to
satisfy the requirement that program income is used before requesting additional cash draws.
However, we were informed that the May 2010 program income of $66,000 had not been
deducting in subsequent cash draw requests made during fiscal year 2010.
Recommendation
We recommend that the County implement procedures to verify that program income received is
properly offset against expenditures incurred when making draw requests under the federal
program.
Views of Responsible Officials and Planned Corrective Action
�-� Collier County concurs with the recommendation. Prior to making a request to draw new funds
under NSP, County fiscal staff will submit evidence to the program administrator that all
program income received will be, or has been, offset against expenditures. This requirement will
apply regardless of what NSP activity generated the program income or what activity Collier
County seeks to draw down against available program funds.
Current Status
As determined by the auditors in Finding 2011 -6, Collier County was still incorrectly drawing
program income. As of February 1, 2012 the Office of Management and Budget has been
expanded to oversee grants compliance countywide. Standardized project to date tracking
protocols and forms will be implemented to support accurate general ledger reconciliations and
application of program income prior to reimbursement (draw down) requests in a manner which
supports a successful audit trail.
Finding 2010 -7
Federal Program Information
U.S. Department of Housing and Urban Development
CDBG — Entitlement Grants Cluster (CDBG)
CFDA No. 14.218 and CFDA No. ARRA- 14.253
Award No. B- 08 -UN -12 -0003, Award Year — 2009
^ Award No. B- 07 -UC -12 -0016, Award Year — 2007
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12/11/2012 Item 16. D.11.
Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
Award No. B- 08 -UC -12 -0016, Award Year — 2008
Award No. B- 09 -UC -12 -0016, Award Year — 2009
Award No. B- 10- UC- 120016, Award Year — 2010
Award No. ARRA B- 09 -UY -12 -0016, Award Year — 2009
Compliance Requirement: Reporting
Condition /Context
We selected two quarterly reports for the NSP program to test and noted that amounts reported
for expenditures did not agree to the County's general ledger and a reconciliation was not
provided.
Recommendation
The County should implement procedures that require that the NSP reports be reconciled to the ^
general ledger and reviewed and approved prior to being filed with the grantor.
Views of Responsible Officials and Planned Corrective Action
Collier County concurs with the recommendation. Program staff will ensure expenditures and
program income have been reconciled to the general ledger. This item has been corrected and
appropriate controls and procedures have been implemented to reconcile to the general ledger
before submitting future Quarterly Performance Reports (QPR) to the grantor agency.
Furthermore, future reports will be approved by the program administrator and appropriate
documentation will be maintained prior to being filed with the grantor agency.
Current Status
Collier County received authorization from HUD to modify and correct past reports. To do so,
HUD rejected all previously submitted QPRs on October 25, 2011. HHVS staff has completed
modification of the six rejected QPRs from 2009 and 2010 and prepared and submitted the four
QPRs for 2011. All QPRs will be reviewed and approved by a grants accountant and supervisor
prior to the reports being submitted to the grantor. Also, see action plan submitted in finding
2011 -1.
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Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
Finding 2009 -1
Federal /State Program Information
Federal Agencies/Programs:
U.S. Department of Housing and Urban Development
Home Investment Partnerships Program (HOME)
CFDA No. 14.239
CFDA No. 14.218
Award No. M- 06 -UC -12 -0217, Award Year
— 2006
Award No. M- 07 -UC -12 -0217, Award Year
— 2007
Award No. M- 08 -UC -12 -0217, Award Year
— 2008
Award No. M- 09 -UC -12 -0217, Award Year
— 2009
CDBG — Entitlement Grants Cluster (CDBG)
CFDA No. 14.218
Award No. B- 08 -UN -12 -0003, Award Year —
2009
Award No. B- 02 -UC -12 -0016, Award Year —
2002
Award No. B- 04 -UC -12 -0016, Award Year —
2004
Award No. B- 05 -UC -12 -0016, Award Year —
2005
Award No. B- 06 -UC -12 -0016, Award Year —
2006
Award No. B- 07 -UC -12 -0016, Award Year —
2007
Award No. B- 08 -UC -12 -0016, Award Year —
2008
Award No. B- 09 -UC -12 -0016, Award Year —
2009
U.S. Department of Health and Human Services
Aging Cluster (AC)
CFDA No.'s 93.044, 93.045, 93.053, 93.705, 93.707
Award No. OAA 203.08, Award Year — 2008
Award No. OAA 203.09, Award Year — 2009
Award No. NISP 202.09, Award Year — 2009
Award No. NISP 203.08, Award Year — 2008
State Agencies/Programs:
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12/11/2012 Item 16.D.11.
Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
Florida Department of Elder Affairs
Community Care for the Elderly (CCE)
CSFA No. 65.010
Award No. 203.08, Award Year — 2008
Award No. 203.09, Award Year — 2009
Florida Housing Finance Corporation
State Housing Initiatives Partnership Program (SHIP)
CSFA No. 52.901
Award No. FY07, Award Year — 2006
Award No. FY08, Award Year — 2007
Award No. FY 08 -09, Award Year — 2008
Compliance Requirement: Allowable Costs
Condition /Context
We noted that from the beginning of the fiscal year through January 2009, the County's
documentation supporting payroll allocations for employees that work on multiple grants did not
meet federal standards as described in OMB Circular A -87 above. The County has used a
Personnel Activity Report (PAR) to allocate payroll salaries for employees who work on
multiple activities. These reports are prepared annually, at the beginning of each fiscal year,
based on an estimate of the time the employees are expected to work on a grant. The PAR does
not show the total activity for which an employee is compensated and does not require the
employee's signature.
The County's Department of Housing and Human Services initiated a timesheet process in fiscal
year 2006 whereby employees in the department indicate the projects to which their time relates
each week. These timesheets are signed by the employees and supervisors and kept in the
department for internal control purposes. For the first part of fiscal year 2009, these timesheets
were not provided to the County's payroll department to adjust the allocation of payroll costs
from the estimate as indicated in the annual PAR form to actual time spent. Thus, there is not an
"after the fact" accounting based on actual activity.
We noted that the HOME program had no payroll expenditures charged to the program during
the period noted above (although there should have been), and therefore, no question costs have
been reported for this program. The payroll charges related to the HOME program were instead
charged to other housing programs as a result of the lack of an after the fact accounting for the
period noted above.
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Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
Recommendation
The County should ensure that an effective and consistent process is in place to record payroll
charges to grant programs throughout the entire fiscal year. The process should entail providing
the timesheets to the payroll department on a periodic basis to match the related payroll allocated
to each grant (as based on the PAR), to the actual time spent working on the federal/state grant
based on the after -the -fact timesheet, and any adjustments necessary to true -up the estimated
payroll charged to the grant (based on the PAR) to the actual amount (based on the timesheets)
should be made. Alternatively, the payroll department could charge payroll costs to the grants
based on actual timesheets submitted weekly as opposed to using the budgeted PAR percentage
as the basis for allocating costs each pay period.
PAR reports should be signed by the employee and completed at least semi - annually for those
employees who work solely on one grant.
Views of Responsible Officials and Planned Corrective Action
The finding in question occurred during the lst quarter of FY09. The time was tracked correctly;
however, a manual step was missed. Effective January 17, 2009, the Human Resources
Department began processing bi- weekly time and effort entries for all Housing and Human
Services grant staff. Staff submits timesheets that are signed by the employee and management
to fiscal staff for review. The timesheets are forwarded to Human Resources to enter the actual
percentage of time and effort into SAP prior to payroll expenses actually posting to SAP. This
allows for "real time" charges directly to the appropriate grant in SAP, thereby eliminating the
need to process journal entries at all.
Current Status
HHVS continues to follow the procedure for charging grants staff time via biweekly timesheets,
signed by the employee and management, and reflecting actual time spent on the grants.
However, it was determined by finding 2011 -8 that the procedures were not working as some of
the staff were changing formulas within the spreadsheets and estimating their time. The
department has implemented one spreadsheet that will be used by all staff members and the
account strings will be verified by the accounting supervisor prior to forwarding to Human
Resources for entry into SAP.
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Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
Finding 2009 -2
Federal Program Information
U.S. Department of Housing and Urban Development
Community Development Block Grant/State's Program and Non - Entitlement Grants in Hawaii
(State- Administered Small Cities Program) (DRI)
CFDA No. 14.228
Award No. 07DB- 3V- 09- 21- 01 -ZOI, Award Year — 2007
Award No. 08DB- D3- 09- 21- 0 1 -A03, Award Year — 2008
U.S. Department of Agriculture
Summer Food Service Program for Children
CFDA No. 10.559
Award No. 04 -0804, Award Year — 2009
U.S. Department of Justice
Public Safety Partnership and Community Policing Grants
CFDA No. 16.710
Award No. 2008CKWX0170, Award Year — 2007
U.S. Department of Homeland Security
Homeland Security Cluster
CFDA No. 97.004, 97.067
Award No. 08DS- 51- 09 -21 -01 -322, Award Year — 2009
Award No. 09CC- 49- 09 -21 -01 -341, Award Year — 2008
Award No. 09CI- 49- 09 -21 -01 -350, Award Year — 2008
U.S. Department of Transportation
Airport Improvement Program
CFDA No. 20.106
Award No. 3 -12- 0142 - 004 -2007, Award Year —
2007
Award No. 3 -12 -0142- 002 -2006, Award Year —
2006
Award No. 3 -12- 0142 - 003 -2006, Award Year —
2006
Award No. 3 -12- 0142 - 005 -2008, Award Year —
2008
Award No. 3 -12 -0142- 007 -2009, Award Year —
2009
Award No. 3 -12 -0031- 005 -2009, Award Year —
2009
Compliance Requirement: Procurement, Suspension
and Debarment
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12/11/2012 Item 16.D.11.
Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
Condition /Context
Although the County indicated that its practice is to check the EPLS system, no documentation
evidencing that it had checked the EPLS was maintained, and a certification from the entity was
not collected or clause or condition included in the agreements, as applicable, for certain sample
transactions selected for testing.
Recommendation
The County should perform the required verification by checking the EPLS (and documenting
evidence of the verification, when it was performed and by whom), collecting a certification
from the entity, or adding a clause or condition to the contract with that entity in accordance with
the Federal requirements.
Views of Responsible Officials and Planned Corrective Action
Collier County will apply currently enacted controls and measures operating effectively in one
division agency -wide to ensure compliance.
The Grants Coordinator for the Collier County Sheriff's Office will be responsible for checking
EPLS and documenting the verification as recommended above for all Sheriff's grants with this
requirement.
Current Status
HHVS staff is responsible for ensuring all sub recipients, vendors and contractors are not
debarred by checking the EPLS web site and printing a copy of the screen indicating that the
party is not on file. Said screen prints proving verification and are included in the file.
The Fiscal Technician for Parks and Recreation working with the Food Grant staff checks that
EPLS documentation is present and includes it in file for corresponding purchase orders and
invoices.
The Collier County Department of Emergency Management's Sr. Administrative Assistant
checks the EPLS website, prints out the verification, and places it in the project files.
Airport Authority personnel check the EPLS web site ( https : / /www.epls.gov /epls /search.do) and
print documentation as verification for each vendor. This documentation is initialed, scanned and
attached to the requisition electronically within the county's accounting system.
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Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
The Grants Coordinator for the Collier County Sheriff's Office checks EPLS and documents the
verification as required for all Sheriff's grants.
Finding 2009 -3
State Program Information
Florida Housing Finance Corporation (the Corporation)
State Housing Initiatives Partnership Program (SHIP)
CSFA No. 52.901
Award No. FY07, Award Year — 2006
Award No. FY08, Award Year — 2007
Award No. FY 08 -09, Award Year - 2008
Criteria: Reporting
Condition /Context
The financial information included in the submitted Annual Report was not reconciled to the
County's general ledger. Accordingly, we were unable to validate the amount of expenditures
and program income reported in the Annual Report.
Additionally, we noted approximately $192,000 of reversal entries appearing in the detail we
were provided of SHIP projects completed during fiscal year 2009 and we were informed that
these credits represented prior period corrections dating back as far as 2003.
Recommendation
The County should implement procedures that require that the statutory reports be reconciled to
the general ledger and reviewed and approved prior to being filed with the State.
Additionally, should corrections to prior period expenditures be necessary, a process should be in
place to ensure that such items are identified and captured on a timely basis.
Views of Responsible Officials and Planned Corrective Action
Management concurs with the recommendations. Recognizing that internal attempts at
completing this difficult reconciliation have fallen short of the requirement, Housing and Human
Services has budgeted SHIP grant funds to receive onsite and offsite technical assistance (TA)
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Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
from the Florida Housing Coalition (FHC). FHC is the technical advisor designated by the
grantor agency, Florida Housing Finance Corporation. The TA will consist of reviewing current
reconciliation procedures, reports and data collection and maintenance. Any suggested
improvements will be implemented. As of this writing, the contract for TA is being review by
Housing and Human Services and the County Attorney's Office for form and legal sufficiency.
Current Status
HHVS staff and one of the grants accountants have worked closely with the SHIP technical
advisor to complete and resubmit Annual Reports for Fiscal Years 2006/2007, 2007/2008, and
2008/2009. See Current Status for Finding 2010 -1 above.
Finding 2009 -4
State Program Information
Florida Housing Finance Corporation (the Corporation)
State Housing Initiatives Partnership Program (SHIP)
CSFA No. 52.901
Award No. FY07, Award Year — 2006
Award No. FY08, Award Year — 2007
Award No. FY 08 -09, Award Year — 2008
Criteria: Special Tests and Provisions
Condition /Context
No advertisement was made for fiscal year 2009.
Recommendation
The County should adhere to the established SHIP rules with respect to advertising SHIP funds.
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Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
Views of Responsible Officials and Planned Corrective Action
The County will adhere to the established SHIP rules.
Current Status
Collier County received $431,868 in SHIP Funding for fiscal year 2009/10; however, it was not
advertised for the following reasons:
1. The funds were required to be used exclusively for loans of not more than $8,000 to
provide purchase assistance to applicants eligible to receive the federal first -time
homebuyer tax credit created through the American Recovery and Reinvestment Act of
2009 for the first year of funding;
2. The loans were intended to front the applicants the tax credit and were intended to be
paid back once the tax credit was received by the applicant; HHVS staff determined that
recapturing these funds would be difficult and would put the County at risk of non-
compliance if funds were not repaid;
3. SHIP guidelines allowed these funds to be used for all approved strategies once the tax
credit program expired, and assuming all loans were recaptured for the remaining two
years of the grant;
4. Since Collier County was already providing purchase assistance through SHIP in excess
of $8,000 per applicant, it was determined that another purchase assistance program
would be redundant, and coupled with the inability to guarantee recapturing the funds
from tax credit rebates, staff decided to leave the grant in the Trust Fund unused for FY
2009/10;
5. Since the funds would not be used for FY 2009/10 (no applications would be taken for
assistance), there were no new funds to advertise for this period; therefore, per the SHIP
Program Manual rules, no advertisement was published.
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12/11/2012 Item 16.D.11.
Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
Finding 2009 -5
State Program Information
Florida Department of Transportation (FDOT)
State Infrastructure Bank (SIB) Loan Program
CSFA No. 55.020
Award No. 420655 -2, Award Year — 2009
Criteria: Reporting
Condition /Context
The State compliance supplement for this program and the loan agreement require the
submission to FDOT of semi - annual progress reports on program and financial activities that
n occur each year following the award.
We noted that reports for December 2008 and June 2009 were not completed or submitted to the
FDOT until the time of our testing (September 2009).
Recommendation
The County should review agreements for reporting requirements and if questions arise as to
party responsible for completion, the County should promptly seek written clarification from the
grantor agency. Also, the County should ensure that reports are reviewed for accuracy and
completeness by someone other than the preparer.
Views of Responsible Officials and Planned Corrective Action
Originally the SIB agreement was for road construction considered to be a local Collier County
project. After the SIB agreement was executed, Federal Highway Administration (FHWA)
determined that the project would become a state project due to the procurement for a Design
Build Finance of I -75 (IROX). Collier's original local project became part of larger state IROX
project.
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12/11/2012 Item 16. D.11.
Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
The Grants Coordinator made a verbal inquiry to Florida Department of Transportation (FDOT)
during calendar year 2008 regarding the reporting requirements cited in the SIB agreement and
was advised the report was not Collier's responsibility since the project was not let by Collier nor
would any portion of the project be managed by Collier as originally anticipated. Subsequently, a
report was requested by FDOT for only the most recent six month period. Collier explained to
FDOT that if the report was now required, all reports due during the fiscal year 2009 would need
to be drafted and submitted as due diligence. All reports submitted were reviewed by the
Transportation Administrator though not formally documented as such. Subsequent report
reviews by the Transportation Administrator are documented before submission.
Collier has no access to FDOT's financial activity or financial system which is needed to
complete the report, nor does Collier receive any project status reports on a routine basis. Collier
only has access to the data on the amount of loan payback which Collier disburses. This loan
payment information can be populated by FDOT as well. Collier must request financial activity
and project status information proactively. Requests for data from the grantor on prior year
single audit reporting and CAFR data such as loan amortization schedules and project statuses to n
capture asset valuation has proven to be cumbersome and difficult.
Future financial activity requests will be made within 10 business days after the semi - annual
report period end to FDOT in order to verify and obtain correct data by the submission date. The
Division will prepare the report based on the information provided by FDOT. Prior to
submission, the Transportation Administrator will perform a documented review.
Current Status
The Growth Management Division (formerly Transportation Division) continues to follow the
corrective action plan as outlined above. The Acting Grants Accountant continues to draft the
SIB report on a biannual basis as required. The report is first submitted for review and approval
to the Division Administrator prior to final submission to FDOT by the required deadline.
Written procedures are in place to support any staff changes. Staff deems the internal controls
put in place have proven successful to resolve the audit concern.
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12/11/2012 Item 16.D.11.
Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
Finding 2009 -6
Federal Program Information
U.S. Department of Transportation
Airport Improvement Program
CFDA No. 20.106
Award No. 3 -12 -0142- 004 -2007, Award Year — 2007
Award No. 3 -12- 0142- 002 -2006, Award Year — 2006
Award No. 3 -12- 0142- 003 -2006, Award Year — 2006
Award No. 3 -12- 0142- 005 -2008, Award Year — 2008
Award No. 3 -12- 0142- 007 -2009, Award Year — 2009
Award No. 3 -12 -0031- 005 -2009, Award Year — 2009
Criteria: Davis -Bacon Act
Condition /Context
We noted a project during fiscal year 2009 that was subject to the Davis -Bacon requirements.
We noted that the required prevailing wage clauses were not included in the contract and the
weekly certified payrolls had not been submitted as required. We were informed that the County
planned to obtain the certified payrolls upon project completion; however, the requirements
dictate that weekly certified payrolls are to be submitted during the course of the project.
Recommendation
The County should ensure that the required prevailing wage clauses are included in all contracts
subject to the Davis -Bacon Act and that the required weekly certified payrolls are obtained.
Views of Responsible Officials and Planned Corrective Action
In order to rectify this deficiency Airport Authority personnel will review payroll submittals and
provide documentation to assure compliance with the Davis -Bacon Act. Additionally personnel
will work with any consultants and purchasing to include proper language in bids and contracts.
In addition our procedure manual will be updated.
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12/11/2012 Item 16.D.11.
Collier County, Florida
Summary Schedule of Prior Audit Findings (continued)
Current Status
The proper contract language regarding Davis -Bacon is included in bids and contracts. The
Airport Authority performs an examination, determination and documentation by noting on each
payroll statement that the wages paid by the contractor have been reviewed and that they are /are
not in compliance. A log is maintained for the payroll submitted each week by the vendors to
document compliance.
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12/11/2012 Item 16.D.11.
Exhibit F
Federal Certifications and Assurances
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12/11/2012 Item 16.D.11.
FEDERAL FISCAL YEAR 2012 FTA CERTIFICATIONS AND ASSURANCES SIGNATURE PAGE
(Required of all Applicants for FTA funding and all FTA Grantees with an active capital or formula
project)
AFFIRMATION OF APPLICANT
Name of Applicant:COLLIER COUNTY BOARD OF COUNTY COMMISSIONERS
Name and Relationship of Authorized Representative:Norman Feder
BY SIGNING BELOW, on behalf of the Applicant, I declare that the Applicant has duly authorized me to
make these certifications and assurances and bind the Applicant's compliance. Thus, the Applicant
agrees to comply with all Federal statutes and regulations, and follow applicable Federal directives, and
comply with the certifications and assurances as indicated on the foregoing page applicable to each
application it makes to the Federal Transit Administration (FTA) in Federal Fiscal Year 2012.
FTA intends that the certifications and assurances the Applicant selects on the other side of this
document, as representative of the certifications and assurances, should apply, as provided, to each
project for which the Applicant seeks now, or may later seek FTA funding during Federal Fiscal Year
2012.
The Applicant affirms the truthfulness and accuracy of the certifications and assurances it has made in
the statements submitted with this document and any other submission made to FTA, and
acknowledges that the Program Fraud Civil Remedies Act of 1986, 31 U.S.C. 3801 et seq., and
implementing U.S. DOT regulations, "Program Fraud Civil Remedies," 49 CFR part 31 apply to any
certification, assurance or submission made to FTA. The criminal provisions of 18 U.S.C. 1001 apply to
any certification, assurance, or submission made in connection with a Federal public transportation
program authorized in 49 U.S.C. chapter 53 or any other statute
In signing this document, I declare under penalties of perjury that the foregoing certifications and
assurances, and any other statements made by me on behalf of the Applicant are true and accurate.
Signature: Norman Feder Date:11/14/2011
Name:Norman Feder
Authorized Representative of Applicant
AFFIRMATION OF APPLICANT'S ATTORNEY
For (Name of Applicant):COLLIER COUNTY BOARD OF COUNTY COMMISSIONERS
As the undersigned Attorney for the above named Applicant, I hereby affirm to the Applicant that it has
authority under State, local, or tribal government law, as applicable, to make and comply with the
certifications and assurances as indicated on the foregoing pages. I further affirm that, in my opinion,
the certifications and assurances have been legally made and constitute legal and binding obligations on
the Applicant.
e-�
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12/11/2012 Item 16.D.11.
I further affirm to the Applicant that, to the best of my knowledge, there is no legislation or litigation
pending-or imminent that might adversely affect the validity of these certifications and assurances, or of
the performance of the project.
Signature:Scott R Teach Date:11/7/2011
Name:Scott R Teach
Attorney for Applicant
Each Applicant for FTA funding and each FTA Grantee with an active capital or formula project must
provide an Affirmation of Applicant's Attorney pertaining to the Applicant's legal capacity. The Applicant
may enter its signature in lieu of the Attorney's signature, provided the Applicant has on file this
Affirmation, signed by the attorney and dated this Federal fiscal year.
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12/11/2012 Item 16.D.11.
EXHIBIT I
FTA Section 5333 (b) Assurance
(Note: By signing the following assurance, the recipient of Section 5311 and/or 5311(f) assistance assures it will
comply with the labor protection provisions of 49 U.S.C. 5333(b) by one of the following actions: (1) signing the
Special Warranty for the Non - urbanized Area Program; (2) agreeing to alternative comparable arrangements
approved by the Department of Labor (DOL); or (3) obtaining a waiver from the DOL.)
The Collier County Board of County Commissioners (hereinafter referred to as the "Recipient ") HEREBY ASSURES
that the "Special Section 5333 (b) Warranty for Application to the Small Urban and Rural Program" has been reviewed
and certifies to the Florida Department of Transportation that it will comply with its provisions and all its provisions
will be incorporated into any contract between the recipient and any sub - recipient which will expend funds received as a
result of an application to the Florida Department of Transportation under the FTA Section 5311 Program.
Dated
Fred W. Colye, Board of County Commissioner Chairman
(Name and Title of Authorized Representative)
(Signature of Authorized Representative)
Note: All applicants must complete the following form and submit it with the above Assurance.
LISTING OF RECIPIENTS, OTHER ELIGIBLE SURFACE TRANSPORTATION PROVIDERS, AND
LABOR ORGANIZATIONS REPRESENTING EMPLOYEES OF SUCH PROVIDERS, IF ANY
(See Appendix for Example)
1
Identify Recipients of
Transportation Assistance
Under this Grant.
2
Site Project by Name,
Description, and Provider
(e.g. Recipient, other
Agency, or Contractor )
3
Identify Other Eligible
Surface Transportation
Providers (Type of Service
4
Identify Unions (and
Providers) Representing
Employees of Providers in
Columns 1 2 and 3
Collier County
Application for FTA
Collier Area Transit for
Transport Workers Union
Section 5311 Operating
urban Transit Service
122 Dixie Lane
Board of County
Assistance funding for FY
Coco Beach, Fla. 32931
Commissioners
13/14 for Collier Area
Transit to provide
continuing public
transportation services to
residents of the non -
urbanized areas of Collier
County traveling within the
rural area and/or the
adjacent urban area and
returning to rural domicile.
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12/11/2012 Item 16. D.11.
EXHIBIT K
Coordinated Public Transit -Human Services Transportation Plan
To be completed and signed by an individual authorized by the governing board of the applicant
agency and submitted with the grant application.
The Collier County Board of County Commissioners certifies and assures to the Florida Department of Transportation in
regard to its Application for Assistance under U.S.C. Section 5311 dated
1) This grant request is derived from a coordinated plan compliant with Federal Transit Administration Circular FTA
C 9040.1 F.
2) The name of this coordinated plan is provided below.
Collier County Transportation Disadvantage Service Plan (TDSP)
3) The agency that adopted this coordinated plan is provided below.
Collier Metropolitan Planning Organization (MPO)
4) The date the coordinated plan was adopted is provided below.
n May 8, 2012 — Annual Update Approved by MPO -
5) The page number of the coordinated plan that this application supports.
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12/11/2012 Item 16.D.11.
Public. Notice
l
Na es Dail News
Naples Public Notice is hereby given that Collier County will apply to the Florida.
English Version Department of Trarnportatron fora capital grant under Section 5310 of the Federal �\
Transit Act of 1991, as amended for the purchase of four (4) paratran sit vehicles to
be . used for the provision of pAlic'transit services within collier County, FL. Collier
County will also be applying to the Florida Department of Transportation for a
grant under section 5311 of the Federal Transit Act of 1991, as amended fot fatal
operating expenses in the amount of $591,200 to be used for the provision of
public transit services in Collier County's non- urbanized areas.
Any interested party may request a public hearing by the Collier County Board of
County Commissioners reggarding the Program of Pro)ects for these grant
applications: This hearing will be conducted if and only If a written request for the
hearing tsteceived within 10 (ten) days of this notice Requests for a hearing must
be sent to Florida Department of Transportation District One Modal Deveicipment
Office/Public Transit Southwest Urban Area Office at the Fort Myers Operations
Center 2981 North East Pine Island Road; Cape Coral, Florida 33909 and copy,
Michelle E. Arnold Collier Area Transit, 2885 South Horseshoe Drive, Naples, Florida
34104. Any Interested party may obtain more information about-these grants by
visiting our website at www.colliergovatet/cat 2883 South Horseshoe Drive, Naples,
Fiorida 34104 in parson or by,.contacting Ms, Michelle E..Arnold. Public Transit
Director, at (239.) 252 -5841 between the hours of 8:00 a.m. to S -DO p m.. Monday
throu44h Friday. Public comment period will open Monday, October 22, 2012:
through Thursday, NovemberZ2, 2012;
.:Persons who require special accommodations under the Americans With Disabilities"
Act or persons who require translation services should contact Michelle E. Arnold at
michellearnold0cotliergov.net, Collier County Public Services Division, Alternative
Transportation Modes'Department Public Transit Section 2885 South Horseshoe.
Drive, Naples, FL 34104; (239) 252-5841.
Collier Area Transit operates in compliance with teaeral i tans ivAammiscrauon,
(FTA) program requirements and ensures that transit services are made available
and equitably distributed, and provides equal access and mobility to any person
without regard to race, color, or national origin, disability, g9ender or age. Title VI
of the Civil Rights Art of 1964: FTA'Circular 4702.1A, 'Title VI and Title VI
Dependent Guidelines for Federal Transit Administration Recipients.' Airy person
who believes he./she has been discriminated because of race, color, religion, sex,
age, national origin, disability or family status may file a complaint with the Florida'
Department of Transportation, District One, Title VI Coordinator. Robin Parrish, at
(863) 5192675 or by,writing her at P,O. Box 1249, Bartow, Florida 33831 Collier
Area Transit has a Disadvantaged Business Enterprise (DBE) goal of 5.6%
Anundo Pbblico
El siguiente es tin Anuncio publico de.que el Condado de Collier aplicara en el
Departamento de Transportacibn de is Florida pot una beta capital bajo Ia Section'
Naples Daily News 5310 del Acto Federal de Transito del 1991, como enmendado, Para la compra de
cuatro (4) vehiculas del pparatransito Para ser usedos para la rovisrbn de tramporte
Spanish Version publico dentro delCandado de Collier de la Florida. El Condado de Coilier tambien
estara aplicando al Departamento de Transportaci6n de la Florida pot una beta
bajo laseccibn 5311 del Acto Federal de Transito, del 1991, coma enmendado pot
un total de gastas capitales de $591,200 que seran usadas para la provision de
serviaa de transporter pubhco in las areas no- urbanas del Condado de Collier.
Toda grupo interesado ppuede requerir una audiencia publica pot la Junta de
Comisionados del Condado de Collier con respecto al programa de proyecto en Ias
aplicaciones de betas. Este audiencia sera conducida si ysolo si una ppeticionescrita
es recibida dentra de'los '10 (diez) Bias de este anuncio, La petition par una
audiencia deben set enviadas al Florida Department of Transportation, District One
Modal Development Office/Public Transit Southwest Urban Area Office at the Fort
Myers Operations Center 2.981 North East Pine island Road; Cape Coral, Florida
33909 con copia a Giama Carter Collier: Area Transit, 2885 South Rorseshoe Drive,
Naples, Florida 34104. Todo grupo interesado puede obtener mas informacion
acerca de esta beta visitando nuestra ofiuna.01 2885.5outh Horseshoe Drive,
Naples, Florida 34104 en persona o contactando a Ms. Michelle E. Arnold, Dlrectora
del Transito Publico, al (239)252 -8192 entire ]as horas de 8:00 a.m; a 5:00 p.m.. de
dunes a viernes. Sus preguntas..ppueden set dirigidastambien par correo electr6nico
a Ms. Arnold al michellearnold�colllergov.net a a altransmodesecollierggov.net. El
periodo de comentario piiblica abrira el lunes, 22 de octubre del 2012ha5ta el
)ueves, 22 de noviembre del 2012.
Aquellas personas que necesiten acomodo especial ba o el Acta deAmencanos con
Incapacidad (Americans with Disabilities Act ADA) o ppersonas que necesiten
servicio de traduccion favor de contactar a michellearnold0colliergov: net, Collier
County Public Services_ Division, Alternative Transportation Modes
Department- Section de Transportation Publica. 2885 South Horsehoe Drive,
Naples, FL 34104; (239) 252 -5841 antes de la teunien.
Collier Area Transit opera en conjunto condos requisttos del progr,arna de
Administracien'de Transito Federal; (FTA) y asequra que los servictos detransito
sewn aquitativamente distribuidos , proporciona igualdad de acceso y movilidad a
cualquler persona sin distind6n to raza. color u arigen national, ineapacidad,
oenero o edad. Titule VI de la Ley de derechos civiles de 1964; TLC circular 4702.1A,
Titulo Vi y titulo VI dependientes dlrectrices para lo: destinatarios de la
Administracion Federal de Transito". Cualquier persona que crea habe.rsido
discriminada pot razbn de raza, color, religift, sexo, edaci, origen national';
incapacidad, o situation familiar puede ppresentar una reclamac16n con: Collier Area
Transit, Michelle E. Arnold (239) 252 -5841 o el Departamento de Transportacidin del
estado de Florida, Distrito Uno, Coordinador del Titulo VI, Robin Parrish, at ($63)
519- 2675 o escribiendo al P.O. Box 1249, Bartow, Florida 33831. Collier Area
Transit tierce una meta de 5.6% Para ios Empresas de negocios on desventaja
*Disadvantaged Business Enterprise'..
Publicar: lunes, octubre 22, del 2012
October 22, 2012 No, 196547.3
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