Loading...
HomeMy WebLinkAboutCOM 0477.001 2020-2022O NtYfOP H,, 1 Mitchell D.Roth Mayo r John C.Andoh Interim Mass Transit Administrator r¢oFHn County of Hawaii Mass Transit Agency 25 Aupuni Street Hilo,Hawaii 96720 • (808)961-8744 • Fax(808)961-8745 www.heleonbus.org • heleonbLWt,hawaiicounty.Pov December 3, 2021 To: Honorable Councilmembers Heather Kimball, Aaron Chung, Sue Lee Loy,ZE Ashley Kierkiewicz, Matt Keneali'i-Kleinfelder, Maile David, Rebecca Vilas, Holeka Inaba, Tim Richards. From: John Andoh Interim Mass Transit Administrator Subject: Presentation Regarding Mass Transit Agency's Implementation of the Transit and Multi-Modal Transportation Plan In Reference to Communication 477 At the request of Councilmember Sue Lee Loy, this memorandum being provided is a summary of where the Mass Transit Agency stands with the implementation of Transit and Multi-Modal Transportation Plan since the last update in August 2021. Attached is a power point presentation on where the Mass Transit Agency stands and the direction we are going to implement all aspects of the Transit and Multi-Modal Transportation Plan. Additionally, the FTA State Management Review of Hawai'i Department of Transportation compliance with the Federal Transit Administration funds (of which the County utilizes) is also being provided for review. Please review the power point presentation and contact john.andoh@a hawaiicoanty.gov, or call 808) 961-8555 with any questions. Comm. No. Ref. To: Hawaii County is an Equal Opportunity Employer and Provider Ref. 7 2027Date 3Ntr^GsN,hqO ' Mitchell D.Roth Mayor John C.Andoh Interim Mass Transit Administrator Fof N N County of Hawaii Mass Transit Agency 25 Aupuni Street • Hilo,Hawaii 96720 • (808)961-8744 • Fax(808)961-8745 www.heleonbus.org • heleonbuskhawaficoun1y.gov December 3, 2021 To:Honorable Councilmembers Heather Kimball, Aaron Chung, Sue Lee Loy, Ashley Kierkiewicz, Matt Keneali'i-Kleinfelder, Maile David, Rebecca Villegas, Holeka Inaba, Tim Richards. From: John Andoh, Interim Mass Transit Administrator Subject: Presentation Regarding Mass Transit Agency's Implementation of the Transit and Multi-Modal Transportation Plan In Reference to Communication 477 At the request of Councilmember Sue Lee Loy, this memorandum being provided is a summary of where the Mass Transit Agency stands with the implementation of Transit and Multi-Modal Transportation Plan since the last update in August 2021. Attached is a power point presentation on where the Mass Transit Agency stands and the direction we are going to implement all aspects of the Transit and Multi-Modal Transportation Plan. Additionally, the FTA State Management Review of Hawai'i Department of Transportation compliance with the Federal Transit Administration funds (of which the County utilizes) is also being provided for review. Please review the power point presentation and contact john.andohghawaiicoun ov or call 808) 961-8555 with any questions. Hawai'i County is an Equal Opportunity Employer andProvider FINAL REPORT FISCAL YEAR 2021 COMBINED TRIENNIAL AND STATE MANAGEMENT REVIEW of Hawaii Department of Transportation HDOT) Honolulu, Hawaii ID: 1623 Performedfor: U.S. DEPARTMENT OF TRANSPORTATION FEDERAL TRANSIT ADMINISTRATION REGION IX Prepared By: RLS & Associates, Inc. Scoping Meeting Dates: February 11 - 13, 2020 Virtual Site Visit Date: July 8, 2021 — July 27, 2021 Report Date: September 29, 2021 Table of Contents I. Executive Summary............................................................................................................... 1 II. Review Background and Process ......................................................................................... 3 1. Background........................................................................................................................ 3 2. Process ............................................................................................................................... 3 3. Metrics................................................................................................................................ 4 III. Recipient Description............................................................................................................ 5 1. Organization ...................................................................................................................... 5 2. Award and Project Activity............................................................................................... 5 IV. Results of the Review ............................................................................................................ 9 1. Legal ................................................................................................................................... 9 2. Financial Management and Capacity............................................................................... 9 3. Technical Capacity-Award Management.................................................................... 10 4. Technical Capacity- Program Management&Subrecipient Oversight..................... 17 S. Technical Capacity- Project Management....................................................................20 6. Transit Asset Management............................................................................................. 20 7. Satisfactory Continuing Control..................................................................................... 20 8. Maintenance..................................................................................................................... 21 9. Procurement.................................................................................................................... 22 10. Disadvantaged Business Enterprise (DBE)................................................................... 24 11. Title VI.............................................................................................................................. 25 12. Americans with Disabilities Act (ADA) - General......................................................... 26 13. ADA - Complementary Paratransit................................................................................ 26 14. Equal Employment Opportunity.................................................................................... 27 15. School Bus........................................................................................................................ 28 16. Charter Bus ...................................................................................................................... 28 17. Drug-Free Workplace Act............................................................................................... 28 18. Drug and Alcohol Program............................................................................................. 31 19. Section 5307 Program Requirements ........................................................................... 32 20. Section 5310 Program Requirements ........................................................................... 32 21. Section 5311 Program Requirements ........................................................................... 32 V. Summary of Findings........................................................................................................... 34 VI. Attendees.............................................................................................................................. 39 VII. Appendices........................................................................................................................... 40 I.Executive Summary This report documents the Federal Transit Administration's (FTA) Combined Triennial and State Management Review of the Hawaii Department of Transportation (HDOT) of Honolulu, Hawaii. FTA wants to ensure that awards are administered in accordance with the requirements of federal public transportation law 49 U.S.C. Chapter 53. The review was performed by RLS & Associates, Inc. During the virtual site visit, administrative and statutory requirements were discussed and documents were reviewed. The Combined Triennial and State Management Review focused on the HDOT's compliance in 21 areas. Deficiencies were found in the area(s) listed below. Review Area Deficiencies Code Description 1. Legal (L) 2. Financial F1-1 Missing, insufficient, or out of date financial Management and operating procedures Capacity (FM) F9-1 Insufficient oversight of subrecipient financial capacity 3. Technical Capacity-TC-AM3-1 MPRs lack required information Award Management TC-AM4-1 Annual Status reports missing or lackingTC-AM) required information TC-AM5-1 Inactive award/untimely closeouts 4. TC -Program TC-PgM2-1 SMP/PMP missing or out of date Management and TC-PgM6-1 FFATA reporting deficiencies Subrecipient Oversight TC-P M TC-PgM7-1 Inadequate oversight of subrecipients 5. TC-Project Management(TC- P'M 6. Transit Asset Management TAM 7. Satisfactory Continuing Control SCC 8. Maintenance (M)M5-1* Inadequate oversight of subrecipient maintenance activities 9. Procurement(P) P2-2 Incomplete standards of conduct P10-1 Lacking independent cost estimate P12-1 No TVM certification 2021 Combined Triennial State Management Review - HDOT 1 P a g e Review Area Deficiencies Code Description 10. Disadvantaged DBE1-2 Revisions to DBE program not made Business Enterprise DBE 11. Title VI (TVI) TVI4-1 Title VI complaint process not implemented in accordance with Title VI Program 12. Americans with ADA-GEN14-1 Insufficient oversight of subrecipients for ADA Disabilities Act requirements ADA -General 13. ADA- ADA-CPT8-1 Insufficient oversight of subrecipients for ADA Complementary complementary paratransit Paratransit CPT 14. Equal Employment EEO5-1 Insufficient oversight of subrecipient/ Opportunity (EEO) contractor EEO program 15. School Bus (SB) 16. Charter Bus (CB) 17. Drug-Free DFWA 1-2* Drug Free Workplace Act policy lacking Workplace (DFW) required elements DFWA 1-3 Drug Free Workplace Act policy not distributed/enforced DFWA 2-1: No on-going drug-free awareness program 18. Drug and Alcohol DA5-1* Insufficient oversight over drug and alcohol Program (DA) programs of subrecipients 19. Section 5307 Program Requirements 5307 20. Section 5310 Program Requirements 5310 21. Section 5311 Program Requirements 5311 Denotes repeat deficiency 2021 Combined Triennial State Management Review - HDOT 2 P a g e II. Review Background and Process 1. Background The United States Code, Chapter 53 of Title 49 (49 U.S.C. 5307(f)(2)) requires that"At least once every 3 years, the Secretary shall review and evaluate completely the performance of a recipient in carrying out the recipient's program, specifically referring to compliance with statutory and administrative requirements..." This Combined Triennial and State Management Review was performed in accordance with FTA procedures (published in FTA Order 9010.113, April 5, 1993). The FTA of the United States Department of Transportation (USDOT)performs a Combined Triennial and State Management Review to assess state management practices and program implementation to ensure that the FTA programs are administered in accordance with FTA requirements and are meeting program objectives as discussed in FTA Circulars 9040.1G, 9045.1, 9050.1, and 9070.1G, as applicable. The reviews are performed every three years or as circumstances warrant. The Combined Triennial and State Management Review includes a review of the recipient's compliance in 21 areas. The basic requirements for each of these areas are summarized in Section IV. This report presents the findings from the Combined Triennial and State Management Review of HDOT. The review concentrated on procedures and practices employed during the past three years; however, coverage was extended to earlier periods as needed to assess the policies in place and the management of award funds. The specific documents reviewed and referenced in this report are available at the FTA's regional office or the recipient's office. 2. Process The Combined Triennial and State Management Review process includes a pre-review assessment, a desk review, scoping meeting with the FTA regional office, and a virtual in FY 2021) site visit to the recipient's location. A recipient information request was sent to HDOT on November 14, 2019, indicating a review would be conducted during Fiscal Year 2020. The desk review and review scoping meeting were conducted with the Region IX Office from February 11, 2020-February 13, 2020. Necessary files retained by the regional office were sent to the reviewer(s) electronically. In March 2020, all work on Reviews was halted due to the COVID-19 Public Health Emergency. A subsequent recipient information request was sent to HDOT on October 15, 2020, advising it that a virtual site visit would be taking place and indicating additional information that would be needed and issues that would be discussed. The virtual site visit to HDOT was conducted from July 8, 2021, through July 27, 2021. The virtual site visit portion of the review began with an entrance conference, at which the purpose of the Combined Triennial and State Management Review and the review process were discussed. The remaining time was spent discussing administrative and statutory requirements 2021 Combined Triennial State Management Review - HDOT 3 1 P a g e and reviewing documents. In addition, the reviewers evaluated how HDOT has used CARES Act and ER funding and the impacts of COVID-19 Public Health Emergency on the agency by discussing a series of questions included in the supplement to the FFY 2020 Contractors' Manual. Additional documentation was requested for the Financial Management and Capacity and Procurement areas only. The reviewers examined a sample of maintenance records for FTA- funded vehicles and equipment. A Section 5310 subrecipient, ARC of Hilo of Hilo, Hawaii, a Section 5311 subrecipient, Kaua'i Transportation Agency, of Lihue, Kauai, Hawaii, and a Section 5307 subrecipient, the Maui Bus, Wailuku, Maui, Hawaii were reviewed to provide an overview of activities related to FTA- funded projects. The reviewers also examined a sample of procurement files and maintenance records for FTA-funded vehicles and equipment during the subrecipient virtual site visits with the Maui Bus. Upon completion of the review, FTA and the reviewers provided a summary of preliminary findings to HDOT at an exit conference. Section VI of this report lists the individuals participating in the review. 3. Metrics The metrics used to evaluate whether a recipient is meeting the requirements for each of the areas reviewed are: Not Deficient: An area is considered not deficient if, during the review, nothing came to light that would indicate the requirements within the area reviewed were not met. De acient: An area is considered deficient if any of the requirements within the area reviewed were not met. Not Applicable: An area can be deemed not applicable if, after an initial assessment, the recipient does not conduct activities for which the requirements of the respective area would be applicable. 2021 Combined Triennial State Management Review - HDOT 4 1 P a g e III. Recipient Description 1. Organization The Governor of Hawaii designated the Hawaii Department of Transportation (HDOT) as the agency responsible for administering the various FTA programs, including 49 U.S.C. § 5305, 49 U.S.C. § 5310, 49 U.S.C. § 5311, 49 U.S.C. § 5329, and 49 U.S.C. § 5339 programs. Additionally, HDOT manages the Governor's apportionment of funds under 49 U.S.C. § 5307; the County of Maui is the only recipient that receives funds from HDOT under this program. The Statewide Transportation Planning Office, Programming Section (STP-P)within HDOT administers the FTA programs. STP-P is also supported by other HDOT offices including the Business Management Office, Planning, Programming and Budget Office, and the Office of Civil Rights. The Governor of Hawaii designated the Hawaii Department of Transportation (HDOT) as the agency responsible for administering the Section 5303 (5305(d)), 5304 (5305(e)), 5310, 5311, 5329 and 5339 programs and assisting with the 5307 program for the County of Maui. HDOT enters into agreement with entities throughout the state providing federal financial assistance for planning and transit service delivery. The Oahu Metropolitan Planning Organization, and the Maui Metropolitan Planning Organization are recipients of Section 5305(d) and Section 5305(d)planning funds. HDOT funds approximately 23 Section 5310 subrecipients, including nine located in urbanized areas. Section 5311 funds are distributed to three entities including Kauai, Hawaii, and Maui Counties. Section 5339 funds are awarded to existing transit service providers only. 2. Award and Project Activity Below is a list of the HDOT's open awards at the time of the review. Award Year Award Number Amount Executed Description HI-2016-002-00 1,582,900 9/20/2016 5339 Bus Replacement, Facility & Misc. Equipment HI-2019-012-00 4,022,695 8/9/2019 53111 Operating Assistance, RTAP, Administration; in Kauai, Maui, & Hawaii Counties I FFYs 2018$ & 2019$ HI-2019-015-00 428,874 8/26/2019 5305(d) Oahu MPO 2017$ & 18$ and Maui MPO 2017$ & 18$ 2021 Combined Triennial State Management Review - HDOT 5 Award Year Award Number Amount Executed Description HI-2019-014-00 944,400 8/22/2019 5310 1 Replacement& Expansion Vehicles FFYs 2017$ & 2018$ HI-03-0038-05 40,034,267 9/23/2014 Ferry Commuter Pier Improvements HI-2016-006-00 927,659 9/23/2016 5310 Acquire Vehicles FFY 2014& 2015 HI-2020-005-00 449,504 6/27/2020 5329 FFY19/20 SSO Program HI-2021-003-00 3,255,721 3/18/2021 53111 Formula Grants for Rural Areas FFYs 2019 & 2020 Partial HI-2019-007-00 3,462,789 8/2/2019 5339 - Kauai, Maui, and Hawaii Counties - 2016$ & 2018$ HI-2018-012-00 363,242 9/18/2018 5305(d) - OMPO 2018$ and Maui MPO 2017$ HI-2017-003-00 2,178,398 9/22/2017 5339 FY17 Bus and Bus Facilities Program Kauai, Maui, and Hawaii HI-2018-013-00 757,600 9/17/2018 5310 Acquire Vehicles - 2016$ & 2017$ HI-2020-006-00 8,906,600 6/29/2020 Hawaii DOT FFY20 CARES Act Section 5311 Rural Grant- Operating and Replacement Assistance HI-34-0001-01 1,247,500 9/14/2015 Bus Purchase/Renewal, Fac. & Misc. Equip HI-2017-004-00 2,633,520 9/15/2017 5311 Formula Grants for Rural Areas Kauai, Maui, and Hawaii HI-2020-009-00 317,364 8/27/2020 5305(d) - Oahu MPO 2018$ & 2019$ HI-80-0025-00 325,045 9/22/2015 FYI Metropolitan Trans. Planning HI-2018-011-00 3,725,555 9/17/2018 5311 - Kauai, Maui & Hawaii Counties - 2016$ & 2017$ HI-2018-002-00 960,000 4/17/2018 5339 Bus and Bus Facilities (2016 Discretionary) for Kauai and Hawaii counties HI-2019-002-00 180,360 2/21/2019 5304 1 Statewide Planning I FYs 2017$ & 2018$ HI-2019-008-00 4,080,000 8/9/2019 5339(a)&(c) - Electric Replacement Buses, Chargers, Project Mgmt- FFYs 2018$ & 2019$ HI-2020-008-00 1,179,711 7/20/2020 5310 1 Replacement& Expansion of Vehicles I FFYs 2018$ & 2019$ & 2020$ HI-2018-010-00 2,889,199 9/20/2018 5339 - Kauai, Maui, and Hawaii Counties - 2015$-2017$ HI-2021-002-00 3,553,000 4/5/2021 5339 1 Bus and Bus Facilities Program Small Urban and Rural 5339 2021 Combined Triennial State Management Review - HDOT 6 1 P a g e Award Year Award Number Amount Executed Description HI-2017-006-00 671,965 9/22/2017 5310 Acquire Vehicles for Elderly and Individuals with Disabilities HI-2021-008-00 495,727 7/23/2021 5305(d) - Oahu and Maui MPO 2018$, 2019$ & 2020$ HI-2021-001-00 2,197,134 4/5/2021 5307 1 Urbanized Area Formula Program HI-2021-004-00 2,841,510 5/28/2021 Hawaii DOT, FFY21 CRRSAA 2021 Section 5307 Small Urbanized Area- Operating Assistance HI-2021-006-00 $20,305,252 7/2/2021 Hawaii DOT FFY21 CRRSAA Section 5311 Rural Grant- Operating Assistance Projects Completed Since the last State Management Review, HDOT has completed the Manele Small Boat Harbor Ferry Pier and Landside Improvements on the Island of Lanai. The improvements at Manele Small Boat Harbor consisted of the design and construction of a new comfort station; administrative office; paved access roads and parking areas; water mains and fire hydrants; sewage pump station and force main; sewer pump out; fuel dispensing facility; telephone utilities; electrical utilities and streetlights; new covered waiting area; multi-use parking; ADA renovations to the existing comfort station; storm water drainage systems, and landscaping. The project was completed in January 2017. Ongoing Projects During this review period, HDOT began work on the Lahaina Small Boat Harbor Ferry Pier and Comfort Station Improvements on the Island of Maui. This project entails improvements at the Lahaina Small Boat Harbor including (1) a new ferry pier, (2) a new ferry passenger comfort station, (3)passenger queuing area, and (4) additional parking. These multi-use pier facility improvements will alleviate the current congested operations and provide for safer operations, both on the ocean- and land-side. Future Projects On June 8, 2015, Hawaii became the first state in the nation to adopt a goal of 100%renewable energy with a deadline to meet this goal by 2045. On December 12, 2017, leaders from the City and County of Honolulu, County of Maui, County of Hawaii and County of Kauai came together, committing to transform Hawaii's public and private ground transportation to 100 percent renewable fuel sources by 2045. In their specific proclamations, the City and County of Honolulu, the County of Maui, and the County of Kauai pledged to lead the way by transitioning all of their fleet vehicles to 100 percent renewable power by 2035, and the County of Hawaii plans to establish a goal toward the same end. 2021 Combined Triennial State Management Review - HDOT 7 1 P a g e In 2018, the State of Hawaii Department of Transportation partnered with the Counties of Hawaii, Kauai, and Maui on a Low-No grant application proposing to replace nine (9) aging diesel buses that are beyond their useful life with nine (9)battery electric buses. The goal of this statewide research and pilot project is to evaluate variations in operations and issues across the state and to provide each county with the funding, technical expertise, tools, and firsthand experience needed to transition their entire fleet to renewable fuel resources. 2021 Combined Triennial State Management Review - HDOT 8 1 P a g e IV. Results of the Review 1. Legal Basic Requirement: The recipient must promptly notify the FTA of legal matters, include clauses in its third parry and subrecipient agreements, and additionally notify the U.S. DOT Office of Inspector General (OIG) of any instances relating to false claims under the False Claims Act or fraud. Recipients must comply with restrictions on lobbying requirements. Finding: During this Combined Triennial and State Management Review of HDOT, no deficiencies were found with the FTA requirements for Legal. 2. Financial Management and Capacity Basic Requirement: The recipient must have financial policies and procedures; an organizational structure that defines, assigns, and delegates authority; and financial management systems in place to match, manage, and charge only allowable cost to the award. The recipient must conduct required single audits and provide financial oversight of subrecipients. Finding: During this Combined Triennial and State Management Review of HDOT, deficiencies were found with the FTA requirements for Financial Management and Capacity. Missing, insufficient, or out of datefinancial operating procedures (FI4) Current financial procedures do not incorporate policies that implement all required elements of the Uniform Administrative Requirements, Cost Principles, and Audit Requirements for Federal Awards (2 CFR § 200). Current policies do not have procedures for determining the allowability of costs in accordance with 2 CFR § 200.302(b)(7) and the terms and conditions of the Federal award. 2 CFR 200.302(b)(7) Financial manggemen a) Each state must expend and accountfor the Federal award in accordance with state laws andproceduresfor expending and accountingfor the state's ownfunds. b) Thefinancial management system ofeach non-Federal entity mustprovidefor the following: 4)Effective control over, and accountabilityfor, allfunds,property, and other assets. The non-Federal entity must adequately safeguard all assets and assure that they are used solely for authorizedpurposes. 6) Written procedures to implement the requirements of§200.305 Payment. 7) Written proceduresfor determining the allowability ofcosts in accordance with Subpart E Cost Principles ofthis part and the terms and conditions ofthe Federal award. 2021 Combined Triennial State Management Review - HDOT 9 1 P a g e Insufficient oversight ofsubrecipient financial capacity (F94) While some financial oversight occurs through invoice review, HDOT is responsible for ensuring that subrecipients have financial management systems that meet standards for financial reporting, accounting records, internal control, budget control, allowable cost, source documentation, and cash management. With current diminished human resources within the STP-P office, there are no current practices in place to document that HDOT ensures subrecipient compliance. 2 CFR Part 200.331(d)Requirements for pass-through entities All pass-through entities must monitor the activities of the subrecipient as necessary to ensure that the subaward is used for authorized purposes, in compliance with Federal statutes, regulations, and the terms and conditions of the subaward; and that subaward performance goals are achieved. Pass-through entity monitoring of the subrecipient must include: (1) Reviewing financial and performance reports required by the pass-through entity. (2) Following-up and ensuring that the subrecipient takes timely and appropriate action on all deficiencies pertaining to the Federal award provided to the subrecipient from the pass-through entity detected through audits, on-site reviews, and other means. (3)Issuing a management decision for audit findings pertaining to the Federal award provided to the subrecipient from the pass-through entity as required by §200.521 Management decision. (e) Depending upon the pass-through entity's assessment of risk posed by the subrecipient(as described in paragraph (b) of this section), the following monitoring tools may be useful for the pass-through entity to ensure proper accountability and compliance with program requirements and achievement of performance goals: (1)Providing subrecipients with training and technical assistance on program-related matters; and(2) Performing on-site reviews of the subrecipient's program operations; (3) Arranging for agreed-upon-procedures engagements as described in §200.425 Audit services. Corrective Action(s) and Schedule: For the deficiency missing, insufficient, or out ofdate financial operating procedures (FI-1), by October 29, 2021, develop and submit to the FTA regional office financial operating procedures for managing FTA award funds that address the requirements addressed in the Uniform Guidance. The policy must address responsibilities and delegation of authority for various grant tasks, financial planning, safeguarding of funds, internal controls to prevent duplicative billing, allowable coast in accordance with 2 CFR § 200 Subpart E, and payment procedures pursuant to 2 CFR § 200.305, required financial reporting, record retention, subrecipient oversight, and single audit responsibilities. The recipient must submit documentation that it has trained appropriate staff on the new policies and procedures. For the deficiency, insufficient oversight ofsubrecipientfinancial capacity (F9-1), by November 28, 2021, the recipient must submit to the FTA regional office procedures for ensuring that subrecipients have the financial capacity to carry out its proposed program of proj ects. 3. Technical Capacity -Award Management Basic Requirement: The recipient must report the progress of projects in awards to the FTA timely. 2021 Combined Triennial State Management Review - HDOT 10 1 P a g e Finding: During this Combined Triennial and State Management Review of HDOT, deficiencies were found with the FTA requirements for Technical Capacity-Award Management. MPRs lack required information (TCAM34) An excessive number of MPRs covering projects in the fiscal year beginning on October 1, 2020, were returned to HDOT due to inaccuracies. Errors include failure of the recipient to include remarks on milestones not achieved by the established completion date and recipient not moving to close in a timely fashion when grant is complete. 2 CFR 200.328 Monitoringaeporting program performance a) Monitoring by the non-Federal entity. The non-Federal entity is responsible for oversight of the operations of the Federal award supported activities. The non-Federal entity must monitor its activities under Federal awards to assure compliance with applicable Federal requirements and performance expectations are being achieved. Monitoring by the non-Federal entity must cover each program, function or activity. See also § 200.331 Requirements for pass-through entities. b)Non-construction performance reports. The Federal awarding agency must use standard, OMB-approved data elements for collection of performance information (including performance progress reports, Research Performance Progress Report, or such future collections as may be approved by OMB and listed on the OMB Web site). 1) The non-Federal entity must submit performance reports at the interval required by the Federal awarding agency or pass-through entity to best inform improvements in program outcomes and productivity. Intervals must be no less frequent than annually nor more frequent than quarterly except in unusual circumstances, for example where more frequent reporting is necessary for the effective monitoring of the Federal award or could significantly affect program outcomes. Annual reports must be due 90 calendar days after the reporting period; quarterly or semiannual reports must be due 30 calendar days after the reporting period. Alternatively, the Federal awarding agency or pass-through entity may require annual reports before the anniversary dates of multiple year Federal awards. The final performance report will be due 90 calendar days after the period of performance end date. If a justified request is submitted by a non-Federal entity, the Federal agency may extend the due date for any performance report. 2) The non-Federal entity must submit performance reports using OMB-approved government wide standard information collections when providing performance information. As appropriate in accordance with above mentioned information collections, these reports will contain, for each Federal award, brief information on the following unless other collections are approved by OMB: i) A comparison of actual accomplishments to the objectives of the Federal award established for the period. Where the accomplishments of the Federal award can be quantified, a computation of the cost(for example, related to units of accomplishment) may be required if that information will be useful. Where performance trend data and analysis would be informative to the Federal awarding agency program, the Federal awarding agency should include this as a performance reporting requirement. ii) The reasons why established goals were not met, if appropriate. 2021 Combined Triennial State Management Review - HDOT 11 I P a g e iii) Additional pertinent information including, when appropriate, analysis and explanation of cost overruns or high unit costs. c) Construction performance reports. For the most part, onsite technical inspections and certified percentage of completion data are relied on heavily by Federal awarding agencies and pass- through entities to monitor progress under Federal awards and subawards for construction. The Federal awarding agency may require additional performance reports only when considered necessary. d) Significant developments. Events may occur between the scheduled performance reporting dates that have significant impact upon the supported activity. In such cases, the non-Federal entity must inform the Federal awarding agency or pass-through entity as soon as the following types of conditions become known: 1)Problems, delays, or adverse conditions which will materially impair the ability to meet the objective of the Federal award. This disclosure must include a statement of the action taken, or contemplated, and any assistance needed to resolve the situation. 2) Favorable developments which enable meeting time schedules and objectives sooner or at less cost than anticipated or producing more or different beneficial results than originally planned. e) The Federal awarding agency may make site visits as warranted by program needs. f) The Federal awarding agency may waive any performance report required by this part if not needed. FTA Circular 5010.JE, Chapter. III, Section 3. Reporting Requirements d. Milestone Progress Reports (MPR). The MPRs must be submitted for each active Award. The MPR is the primary written communication between the recipient and FTA. This report must be submitted electronically. If only operating assistance is included in the Award, the reporting requirements are limited to the actual dates when all federal assistance has been expended. The information provided in MPR reports should be as complete as possible, highlighting progress toward project objectives and any potential problem areas. Each MPR must include the following data as appropriate: 1) The current status, at a minimum, of each milestone that has passed during the prior reporting period, within an active Award. FTA, at its discretion, may request a recipient to update each milestone within an active Award. MPRs should identify: The actual completion dates for any milestones completed during the reporting period, and Any revised dates when any original (or last revised) completion dates were not met. 2021 Combined Triennial State Management Review - HDOT 12 1 P a g e 2) A narrative of the activity status, any problems encountered in implementation, specification preparation, bid solicitation, resolution of protests, and third-party contract Awards. 3) A detailed discussion of all Award Budget or schedule changes. 4) An explanation of why scheduled milestones or completion dates were not met. 5) Identification of problem areas and a narrative on how the problems will be solved. 6) A discussion of the expected impacts and the efforts to recover from the delays. 7) An analysis of each significant project cost variance: Completion and acceptance of equipment and construction or other work should be discussed, together with a breakout of the costs incurred and those costs required to complete the project. Use quantitative measures, such as hours worked, sections completed, or units delivered. 8) A list of all outstanding claims exceeding $100,000, and all claims settled during the reporting period. This list should be accompanied by a brief description, estimated costs, and the reasons for the claims. 9) A list of all potential and executed change orders, as defined in Circular 4220.1, and amounts exceeding $100,000,pending or settled, during the reporting period. This list should be accompanied by a brief description. Identification of change orders does not imply notification, acceptance, or approval of budgetary changes that might be required. 10) A list of claims or litigation involving third-party contracts and potential third-party contracts that: Have a value exceeding $100,000; Involve a controversial matter, irrespective of amount; or Involve a highly publicized matter, irrespective of amount. 11) A list of all real property acquisition actions, including just compensation,property or properties under litigation, administrative settlements, and condemnation for each parcel during the reporting period. 12) All rolling stock ALIs must include a milestone for Contract Award. Annual Status reports missing or lacking required information (TCAM44) HDOT personnel were unfamiliar with the requirement to submit annual POP status reports and as a consequence, the required reports have not been submitted to FTA. 2021 Combined Triennial State Management Review - HDOT 13 1 P a g e FTA Circular 9040.1 G, Chapter. V, Section 19. Reportinquirements a. Annual Program of Projects Status Reports. By October 31 each year, the state shall submit to FTA a program status report for each active grant, covering the twelve-month period ending September 30. Status reports are intended to meet minimal program information needs at the regional and national levels. Reports should include an updated program of projects for each approved grant that contains active projects. The updated program of projects should reflect revised project descriptions, changes in projects from one category to another, and adjustments within budget categories. The updated program of projects can be attached in the electronic status report. If revisions to the program of projects result in changes to the line item budget for the grant, these changes should be submitted as budget revisions. Significant civil rights compliance issues occurring during the year(such as Title VI, Equal Employment Opportunity EEO], or Disadvantaged Business Enterprise [DBE] complaints against the state or subrecipients) should be addressed in the annual status report. In addition, the state may report notable accomplishments or problems involving Section 5311 subrecipients. FTA Circular 90 70.1 G, Chapter. VI, Section 23. Reportinquirements a. Annual Program of Projects Status Reports. By October 31 each year, the state or designated recipient should submit to FTA a program status report for each active grant, covering the twelve-month period ending September 30. Designated recipients in large urbanized areas must submit quarterly status reports. The status reports should be submitted electronically and are intended to meet minimal program information needs at the regional and national levels. Reports should include an updated POP for each approved grant that contains active projects. The updated POP should reflect revised project descriptions, changes in projects from one category to another, and adjustments within budget categories, if applicable. The updated POP can be imported as text into the project summary section of the electronic status report. If revisions to the POP result in changes to the line item budget for the grant, these changes should be submitted as budget revisions. Significant civil rights compliance issues occurring during the year (such as Title VI, Equal Employment Opportunity (EEO), or Disadvantaged Business Enterprise (DBE) complaints against the recipient or subrecipients), should be addressed in the annual status report. In addition, the recipient may report notable accomplishments or problems involving Section 5310 subrecipients. Inactive award/untimely closeouts (TCAM54) The review identified one grant(HI-2017-006)with no activity since August 2019. Two other grants (HI-2016-006 and HI-2018-013) have had no disbursements since September 2018; all three grants remain active (executed). Two grants (HI-2018-02 and HI-2019-002) have current period of performance ending dates of September 30, 2019, and December 24, 2020, respectively, but remain active. 2 CFR 200.343 Closeout The Federal awarding agency or pass-through entity will close-out the Federal award when it determines that all applicable administrative actions and all required work of the Federal award have been completed by the non-Federal entity. This section specifies the actions the non-Federal entity and Federal awarding agency or pass-through entity must take to complete this process at the end of the period of performance. 2021 Combined Triennial State Management Review - HDOT 14 1 P a g e a) The non-Federal entity must submit, no later than 90 calendar days after the end date of the period of performance, all financial,performance, and other reports as required by the terms and conditions of the Federal award. The Federal awarding agency or pass-through entity may approve extensions when requested by the non-Federal entity. b)Unless the Federal awarding agency or pass-through entity authorizes an extension, a non-Federal entity must liquidate all obligations incurred under the Federal award not later than 90 calendar days after the end date of the period of performance as specified in the terms and conditions of the Federal award. c) The Federal awarding agency or pass-through entity must make prompt payments to the non-Federal entity for allowable reimbursable costs under the Federal award being closed out. d) The non-Federal entity must promptly refund any balances of unobligated cash that the Federal awarding agency or pass-through entity paid in advance or paid and that are not authorized to be retained by the non-Federal entity for use in other projects. See OMB Circular A-129 and see §200.345 Collection of amounts due, for requirements regarding unreturned amounts that become delinquent debts. e) Consistent with the terms and conditions of the Federal award, the Federal awarding agency or pass-through entity must make a settlement for any upward or downward adjustments to the Federal share of costs after closeout reports are received. f) The non-Federal entity must account for any real and personal property acquired with Federal funds or received from the Federal Government in accordance with §200.310 Insurance coverage through 200.316 Property trust relationship and 200.329 Reporting on real property. g) The Federal awarding agency or pass-through entity should complete all closeout actions for Federal awards no later than one year after receipt and acceptance of all required final reports. FTA Circular 5010.JE, Chapter III:Administration ofthe Award 5. AWARD CLOSEOUT. Closeout, in general, is the term used to signify the process by which the recipient and FTA agree that all activities approved for the Award have been completed and/or the federal assistance awarded has been expended for eligible costs. Recipients are required to close an Award 90 days after the end of the period of performance. FTA, or the recipient, may initiate the closeout process. Closeout, by either party, does not preclude FTA's ability to seek repayment or other remedies for a recipient's breach of the terms and conditions of the Grant or Cooperative Agreement. a. Closeout by Recipient. The recipient is responsible to initiate closeout of the Award, within 90 days after the end of the period of performance, or after all approved activities are completed and/or the applicable federal assistance has been expended for all eligible costs. Any deviation from the approved Award must be documented in the closeout amendment. 2021 Combined Triennial State Management Review - HDOT 15 1 P a g e FTA Circular 9040.1 G, Chapter V Program Management and Administrative Requirements 15. CLOSEOUT. States should initiate project closeout with subrecipients within ninety days after all funds are expended and all work activities for the project are completed. The states should similarly initiate program of project closeout with FTA within ninety days after all work activities for the program of projects are completed. A final federal financial report(SF 424), final budget, and final program of projects must be submitted electronically via the FTA electronic award management system at the time of closeout. FTA expects grants awarded for a specific program of projects to be completed within a reasonable, specified time frame, generally two to three years. If small amounts of funds remain in an inactive grant, the state should request that the funds be deobligated and the project closed out. If the deobligated funds are still within their period of availability, FTA can reobligate the funds in a new grant to the state along with other currently available funds. Otherwise, the deobligated funds lapse and are reapportioned by FTA among all the states in a subsequent year. FTA Circular 90 70.1 G, Chapter VI Program Management and Administrative Requirements 19. CLOSEOUT. Recipients should initiate project closeout with subrecipients within ninety days after all funds are expended and all work activities for the project are completed. Recipients should similarly initiate POP closeout with FTA within ninety days after all work activities for the POP are completed. A final Federal Financial Report, final budget, and final POP must be submitted electronically via the electronic grant management system at the time of closeout. FTA expects grants awarded for a specific POP to be completed within a reasonable, specified time frame, generally not to exceed two to three years. Although this circular provides recipients with a great deal of flexibility in developing and subsequently revising programs ofprojects, it is not FTA's intent that grants be continually revised or amended in ways that will excessively prolong the life of the grant, and consequently result in a large number of active Section 5310 grants. If small amounts of funds remain in an inactive grant, the recipient should request that the funds be deobligated and the project closed out. If the deobligated funds are still within their period of availability, FTA can reobligate the funds in a new grant to the recipient along with other currently available funds. Otherwise, the deobligated funds lapse and are reapportioned by FTA among states and UZAs in a subsequent year. Corrective Action(s) and Schedule: For the deficiency, MPRs lack required information (TC- AM3-1), by October 29, 2021, the recipient must submit procedures for MPR completion, ensuring the reports contain required information when milestones are not met and actions to be taken when HDOT recognizes estimated completion dates cannot be met. For the deficiency, Annual Status reports missing or lacking required information (TCAM4-1, by November 28, 2021, the recipient must submit in TrAMS the Annual Program of Projects Status Reports for the past year and submit to the FTA regional office procedures for submitting the reports with the required information at the required interval. For the deficiency,Inactive award/untimely closeouts (TCAM5-1), by November 28, 2021, the recipient must: (1) submit to the FTA regional office an updated award closeout plan; and(2) procedures to deobligate funds and close awards if funds remain in inactive awards or if projects are indefinitely delayed. 2021 Combined Triennial State Management Review - HDOT 16 1 P a g e 4. Technical Capacity - Program Management& Subrecipient Oversight Basic Requirement: The recipient must follow the public involvement process for transportation plans; develop and submit a State Management/Program Management Plan to the FTA for approval; report in the Federal Funding Accountability and Transparency Act Subaward Reporting System (FSRS) on subawards and ensure subrecipients comply with the terms of the award. Finding: During this Combined Triennial and State Management Review of HDOT, deficiencies were found with the FTA requirements for Technical Capacity—Program Management& Subrecipient Oversight. SMP/PMP missing or out of date (TC-PgM24) The current SMP is dated prior to the passage of the FAST Act and is out-of-date. While HDOT has updated references to authorizing legislation in a draft SMP provided during the review, other updates,particularly those related to incorporation of 2 CFR § 200 into grants management procedures, are lacking. FTA Circular 90 70.1 G, Chapter VII, State and Program Management Plans GENERAL. The state management plan (SMP) is a document that describes the state's policies and procedures for administering FTA's Section 5310 and 5311 programs. The program management plan (PMP) is a document that describes the designated recipient's policies and procedures for administering FTA's Section 5310 program in a large urbanized area. The requirements for the PMP are the same as those for the SMP with exception that the PMP is developed by designated recipients in large urbanized areas whereas the SMP is developed by the state. Each recipient, whether a state or a designated recipient in a large urbanized area, is required to have an approved SMP/PMP on file with the appropriate FTA regional office and to update it regularly to incorporate any changes in program management or new requirements. The recipient shall provide an opportunity for review by stakeholders when it develops a new plan or significantly revises an existing plan. FTA Circular 9040.1 G. Chapter VI, State Management Plans GENERAL. The state management plan (SMP) is a document that describes the state's policies and procedures for administering the state-managed portions of FTA's Section 5311, 5310, 5316, 5317, and 5339 programs. Each state is required to have an approved SMP on file with the appropriate FTA regional office and to update it regularly to incorporate any changes in program management or new requirements. The state shall provide an opportunity for review by stakeholders when it develops a new plan or significantly revises an existing plan. FTA Circular 5100.1, Chapter VI, State and Program Management Plans GENERAL. The State Management Plan (SMP) is a document that describes the state's policies and procedures for administering FTA's Section 5339 program. The Program Management Plan PMP) is a document that describes the designated recipient's policies and procedures for administering Federal Transit Administration's (FTA) Section 5339 program in a large urbanized area(UZA). A PMP may not be necessary if there is only one designated recipient. The 2021 Combined Triennial State Management Review - HDOT 17 1 P a g e requirements for the PMP are the same as those for the SMP with exception that the PMP is developed by designated recipients in large UZAs whereas the SMP is developed by the state. All recipients may amend an existing or approved SMP/PMP or create a stand-alone section in order to meet the requirement for these documents. a. Each recipient, whether a state or a designated recipient in a large UZA, is required to have an approved SMP/PMP on file with the appropriate FTA regional office and to update it regularly to incorporate any changes in program management or new requirements. The recipient shall provide an opportunity for review by stakeholders when it develops a new plan or significantly revises an existing plan. FFATA reporting deficiencies (TC-PgM64) HDOT personnel were unfamiliar with the requirement that information about each first tier subaward over $25,000 (funds passed through to other public agencies,private nonprofit organizations or, where eligible as subrecipients, private providers of transportation) are required to be reported to the Federal Subaward Reporting System (FSRS)by the end of the month following the month the direct recipient makes any subaward or obligation. FTA Circular 5010.JE, Chapter III, Section 3.fFederal FundiLg Accountability and Transparencv Act(FFATA) Subaward and Executive Compensation Reporting Recipients awarded new federal assistance greater than or equal to $25,000 as of October 1, 2010, are subject to FFATA subaward and executive compensation reporting requirements as outlined in the Office of Management and Budget's guidance issued August 27, 2010. These recipients must file an FFATA subaward report by the end of the month following the month in which the recipient awards any subaward greater than or equal to $25,000. Additionally, all recipients must report the names and compensation of their five most highly compensated officers, and first-tier subrecipients must report the names and compensation of their five most highly compensated officers, if in the preceding fiscal year they received 80 percent or more of their annual gross revenues in federal Awards; and $25,000 or more in annual gross revenues from federal Awards; and the public does not have access to this information about the compensation of the senior executives of those recipients or subrecipients through periodic reports filed under Section 13(a) or 15(d) of the Securities Exchange Act of 1934, 15 U.S.C. § 78m(a), § 78o(d), or section 6104 of the Internal Revenue Code of 1986. Instructions and the FFATA Subaward Reporting System (FSRS) can be found at: www.fsrs.gov. Inadequate oversight ofsubrecipients (TC-PgM7--1) HDOT does not meet the basic requirement to evaluate each subrecipient's risk of noncompliance with Federal statutes, regulations, and the terms and conditions of the subaward. Given reduced technical capacity, the public health emergency, and loss of staff, periodic site visits to subrecipients to monitor such activity have not occurred. 2 CFR 200.331 Requirement for pass-through entities All pass-through entities must: 2021 Combined Triennial State Management Review - HDOT 18 1 P a g e b) Evaluate each subrecipient's risk of noncompliance with Federal statutes, regulations, and the terms and conditions of the subaward for purposes of determining the appropriate subrecipient monitoring described in paragraph (e) of this section, which may include consideration of such factors as: 1) The subrecipient's prior experience with the same or similar subawards; 2) The results of previous audits including whether or not the subrecipient receives a Single Audit in accordance with Subpart F—Audit Requirements of this part, and the extent to which the same or similar subaward has been audited as a major program; 3) Whether the subrecipient has new personnel or new or substantially changed systems; and 4) The extent and results of Federal awarding agency monitoring (e.g., if the subrecipient also receives Federal awards directly from a Federal awarding agency). a) Consider imposing specific subaward conditions upon a subrecipient if appropriate as described in § 200.207 Specific conditions. b) Monitor the activities of the subrecipient as necessary to ensure that the subaward is used for authorized purposes, in compliance with Federal statutes, regulations, and the terms and conditions of the subaward; and that subaward performance goals are achieved. Pass-through entity monitoring of the subrecipient must include: 1) Reviewing financial and performance reports required by the pass-through entity. 2) Following-up and ensuring that the subrecipient takes timely and appropriate action on all deficiencies pertaining to the Federal award provided to the subrecipient from the pass-through entity detected through audits, on-site reviews, and other means. 3) Issuing a management decision for audit findings pertaining to the Federal award provided to the subrecipient from the pass-through entity as required by §200.521 Management decision. c) Depending upon the pass-through entity's assessment of risk posed by the subrecipient as described in paragraph (b) of this section), the following monitoring tools may be useful for the pass-through entity to ensure proper accountability and compliance with program requirements and achievement of performance goals: 1) Providing subrecipients with training and technical assistance on program-related matters; 2) Performing on-site reviews of the subrecipient's program operations; and 3) Arranging for agreed-upon-procedures engagements as described in §200.425 Audit services. 2021 Combined Triennial State Management Review - HDOT 19 1 P a g e Corrective Action(s) and Schedule: For the deficiency, SMP/PMP missing or out ofdate (TC- PgM2-1), by November 28, 2021, the recipient must submit to the FTA regional office an updated state/program management plan(s)that reflects current practice. The recipient must seek public comment on the revised state/program management plan(s) if significant revisions are required and submit documentation that public comment was sought with the updated plan. For the deficiency FFATA reporting deficiencies (TC-PgM6-1), by October 29, 2021, the recipient must report all missing information to FSRS and notify the FTA regional office when complete. The recipient must also submit to the FTA regional office procedures for reporting future subawards to FSRS timely. For the deficiency Inadequate oversight ofsubrecipients (TC-PgM7-1, by October 29, 2021, must submit to the FTA regional office procedures for evaluating subrecipient risk and a comprehensive program monitoring subrecipients for compliance with Federal requirements and performance goals, along with documentation of implementation. S. Technical Capacity - Project Management Basic Requirement: The recipient must be able to implement FTA-funded projects in accordance with the award application, FTA Master Agreement, and all applicable laws and regulations, using sound management practices; and prepare force account plans. Finding: During this Combined Triennial and State Management Review of HDOT, no deficiencies were found with the FTA requirements for Technical Capacity-Project Management. 6. Transit Asset Management Basic Requirement: Recipients must comply with 49 CFR Part 625 to ensure public transportation providers develop and implement transit asset management(TAM)plans. Finding: During this Combined Triennial and State Management Review of HDOT, no deficiencies were found with the FTA requirements for Transit Asset Management. 7, Satisfactory Continuing Control Basic Requirement: The recipient must ensure that FTA-funded property will remain available to be used for its originally authorized purpose throughout its useful life until disposition. Finding: During this Combined Triennial and State Management Review of HDOT, no deficiencies were found with the FTA requirements for Satisfactory and Continuing Control. 2021 Combined Triennial State Management Review - HDOT 20 1 P a g e 8. Maintenance Basic Requirement: Recipients must keep federally funded vehicles, equipment, and facilities in good operating condition. Recipients must keep ADA accessibility features on all vehicles, equipment, and facilities in good operating order. Finding: During this Combined Triennial and State Management Review of HDOT, deficiencies were found with the FTA requirements for Maintenance. Inadequate oversight ofsubrecipient maintenance activities (M54) HDOT's state management plan states that HDOT will perform maintenance reviews of its 5311 subrecipients on at least an annual basis and of its 5310 subrecipients on at least a triennial basis. HDOT was unable to demonstrate that any such maintenance reviews had been performed during the review period. 2 CFR 200.313, Equipment A state must use, manage and dispose of equipment acquired under a Federal award by the state in accordance with state laws and procedures. Other non-Federal entities must follow paragraphs c)through (e) of this section. (d)Management requirements. Procedures for managing equipment(including replacement equipment), whether acquired in whole or in part under a Federal award, until disposition takes place will, as a minimum, meet the following requirements...(4) Adequate maintenance procedures must be developed to keep the property in good condition. 2 CFR 200.318(b) Non-Federal entities must maintain oversight to ensure that contractors perform in accordance with the terms, conditions, and specifications of their contracts or purchase orders. 2 CFR 200.331 Subpart D, Requirements for Pass-Through Entities All pass-through entities must monitor the activities of the subrecipient as necessary to ensure that the subaward is used for authorized purposes, in compliance with Federal statutes, regulations, and the terms and conditions of the subaward; and that subaward performance goals are achieved... FTA C. 5010.1E Ch. IV L)(n)(4), Maintenance and Warranty a) Recipients must maintain federally assisted property in good operating order and in compliance with any applicable federal regulations that may be issued and follow applicable guidance that may be issued, except to the extent that FTA determines otherwise in writing b) b) Recipients must keep satisfactory records pertaining to the use of federally assisted property, and submit to FTA upon request such information as may be required to assure compliance with federal requirements Corrective Action(s) and Schedule: For the deficiency, Inadequate oversight of subrecipient maintenance activities, by November 28, 2021, HDOT must submit to the FTA regional office oversight procedures, along with evidence of its implementation such as, an amended subrecipient agreement, contract, or lease incorporating the requirement for a written 2021 Combined Triennial State Management Review - HDOT 21 I P a g e maintenance plan that includes maintenance standards compatible with FTA requirements, performance measures for timely maintenance and/or procedures for pursuing warranty claims. 9. Procurement Basic Requirement: The non-Federal entity must use its own documented procurement procedures which reflect applicable State, local, and tribal laws and regulations, and conform to applicable Federal law and the standards identified in 2 CFR Part 200. State recipients can use the state's overall policies and procedures. When applied to Federal procurements, those policies and procedures must still be compliant with all Federal requirements as applied to non-state recipients. The flexibility afforded by 2 CFR Part 200 should not be misconstrued as absolving a state from Federal requirements. For example, FTA does not require each State DOT to have policies and procedures separate from the state education department. Finding: During this Combined Triennial and State Management Review of HDOT, deficiencies were found with the FTA requirements for Procurement. Incomplete standards ofconduct(P2-2) HRS § 84 provides standards of conduct for elected officials and public employees of the state. While the statute contains provisions for conduct, conflicts of interest, acceptance of gifts, and consequences when a violation of the statute occurs, the scope of coverage does not address the requirements in 2 CFR § 200.318(c)(1)which stipulates the policy must address any employee, officer, or agent, any member of his or her immediate family, his or her partner, or an organization which employs or is about to employ any of the parties indicated herein, if there is a financial or other interest in or a tangible personal benefit from a firm considered for a contract. 49 U.S.C. _5325(a) a)Competition. Recipients ofassistance under this chapter shall conduct all procurement transactions in a manner that provides full and open competition as determined by the Secretary. 2 CFR 200.320(c)Noncompetitive procurement There are specific circumstances in which noncompetitive procurement can be used. Noncompetitive procurement can only be awarded ifone or more ofthefollowing circumstances apply: 1) The acquisition ofproperty or services, the aggregate dollar amount ofwhich does not exceed the micropurchase threshold(see paragraph (a)(1) ofthis section); 2) The item is available onlyfrom a single source; 3) The public exigency or emergencyfor the requirement will not permit a delay resultingfrom publicizing a competitive solicitation; 4) The Federal awarding agency or pass-through entity expressly authorizes a noncompetitive procurement in response to a written requestfrom the non-Federal entity; or 5)After solicitation ofa number ofsources, competition is determined inadequate. 2021 Combined Triennial State Management Review - HDOT 22 1 P a g e Lacking independent cost estimate (P10-1) During the remote site visit, a detailed review of the procurement files associated with an Invitation for Bid (IFB 93765) for four(4) 26-passenger wheelchair lift accessible passenger buses and two (2) 15-passenger wheelchair lift accessible passenger buses determined that no independent cost estimate (ICE)was prepared prior to the advertisement of the solicitation to prospective bidders. 2 CFR 200.323 a) The non-Federal entity must perform a cost or price analysis in connection with every procurement action in excess of the Simplified Acquisition Threshold including contract modifications. The method and degree of analysis is dependent on the facts surrounding the particular procurement situation, but as a starting point, the non-Federal entity must make independent estimates before receiving bids or proposals. b) The non-Federal entity must negotiate profit as a separate element of the price for each contract in which there is no price competition and in all cases where cost analysis is performed. To establish a fair and reasonable profit, consideration must be given to the complexity of the work to be performed, the risk borne by the contractor, the contractor's investment, the amount of subcontracting, the quality of its record of past performance, and industry profit rates in the surrounding geographical area for similar work. c) Costs or prices based on estimated costs for contracts under the Federal award are allowable only to the extent that costs incurred or cost estimates included in negotiated prices would be allowable for the non-Federal entity under Subpart E—Cost Principles of this part. The non- Federal entity may reference its own cost principles that comply with the Federal cost principles. d) The cost plus a percentage of cost and percentage of construction cost methods of contracting must not be used. No TVM certification (P12-1) During the remote site visit, a detailed review of the procurement files associated with an Invitation for Bid (IFB 93765) for four(4) 26-passenger wheelchair lift accessible passenger buses and two (2) 15-passenger wheelchair lift accessible passenger buses determined that no TVM certification was required to be submitted by bidders. 49 CFR 26.49 (a) If you are an FTA recipient, you must require in your DBE program that each transit vehicle manufacturer, as a condition of being authorized to bid or propose on FTA-assisted transit vehicle procurements, certify that it has complied with the requirements of this section. FTA Circular 9030.1E Chapter V 11 a. The recipient is obligated to determine, by checking the TVM listing on FTA's website or by checking with FTA's Office of Civil Rights at the time of bid opening, that the manufacturer likely to receive the contract is in compliance with 49 CFR Part 26. Corrective Action(s) and Schedule: For the deficiency Incomplete standards ofconduct(P2-2), by October 29, 2021, the recipient must develop and submit to the FTA regional office written 2021 Combined Triennial State Management Review - HDOT 23 1 P a g e standards of conduct applicable to its FTA-funded procurements that include coverage of not only spouses and dependent children, but other immediate family members, agents, or an organization which employs or is about to employ any of the parties indicated herein. Subsequent to the issuance of the draft report, HDOT submitted a corrective action that included an updated standards of conduct that meets FTA requirements. This action is sufficient to close the finding. FTA will monitor future procurement to ensure the policy is implemented. For the deficiency Lacking independent cost estimate (P]0-1), by October 29, 2021, the recipient must submit to the FTA regional office documentation that it has updated its procurement process to include development of independent cost estimates prior to receipt of bids or proposals. For the next procurement, submit to the FTA regional office documentation that the required process was implemented. For the deficiency No TVM certification (P12-1), by October 29, 2021, the recipient must submit to the FTA RCRO procedures for obtaining signed TVM certifications and for ensuring that manufacturers are eligible TVMs at the time of bid or proposal submission. The recipient must submit to the RCRO an updated TVM certification template to be used in future transit vehicle procurements. The recipient must submit to the FTA regional office a copy of the signed form with the next applicable rolling stock procurement. 10. Disadvantaged Business Enterprise (DBE) Basic Requirement: Recipients must comply with 49 CFR Part 26 to ensure nondiscrimination in the award and administration of USDOT assisted contracts. Recipients also must create a level playing field on which DBEs can compete fairly for US DOT-assisted contracts. Finding: During this Combined Triennial and State Management Review of HDOT, deficiencies were found with the FTA requirements for DBE. Revisions to DBE program not made (DBEI-2) FTA responded to HDOT's most recent DBE program submission in May of 2019 with a concur letter that requested changes to the program. These requested revisions had not been made at the time of the Combined Triennial and State Management Review. 49 CFR 26.21(a) If you are in one of these categories and let DOT-assisted contracts, you must have a DBE program meeting the requirements of this part: (2) FTA recipients receiving planning, capital and/or operating assistance who will award prime contracts (excluding transit vehicle purchases) the cumulative total value of which exceeds $250,000 in FTA funds in a Federal fiscal year; b)(1)You must submit a DBE program conforming to this part by August 31, 1999, to the concerned operating administration (OA). Once the OA has approved your program, the approval counts for all of your DOT-assisted programs (except that goals are reviewed by the particular operating administration that provides funding for your DOT-assisted contracts). 2021 Combined Triennial State Management Review - HDOT 24 1 P a g e Corrective Action(s) and Schedule: For the deficiency Revisions to DBE program not made DBEI-2), by October 29, 2021, the recipient must revise and submit its DBE program to TrAMS and notify the FTA RCRO once completed. 11. Title VI Basic Requirement: The recipient must ensure that no person shall, on the grounds of race, color, or national origin, be excluded from participating in, or be denied the benefits of, or be subject to discrimination under any program or activity receiving Federal financial assistance without regard to whether specific projects or services are federally funded. The recipient must ensure that all transit services and related benefits are distributed in an equitable manner. Finding: During this Combined Triennial and State Management Review of HDOT, deficiencies were found with the FTA requirements for Title VI. Title VI complaintprocess not implemented in accordance with Title VI Program (TVI4-1) HDOT's Title VI Complaint Procedures state that"any complainant dissatisfied with the decision of HDOT will be notified of further appeal rights under Title VI and the U.S. Department of Transportation." To satisfy due process requirements, HDOT must provide an opportunity for a dissatisfied complainant to appeal the complaint outcome to HDOT rather than an external entity. FTA C. 4702.IB Chapter 111 6. Requirement to Develop Title VI Complaint Procedures and Complaint Form In order to comply with the reporting requirements established in 49 CFR Section 21.9(b), all recipients shall develop procedures for investigating and tracking Title VI complaints filed against them and make their procedures for filing a complaint available to members of the public. Recipients must also develop a Title VI complaint form, and the form and procedures for filing a complaint shall be available on the recipient's website. FTA requires direct and primary recipients to report information regarding their complaint procedures in their Title VI Programs in order for FTA to determine compliance with DOT's Title VI regulations. Corrective Action(s) and Schedule: For the deficiency Title VI complaint process not implemented in accordance with Title VI Program (TVI4-1), by October 29, 2021, the recipient must prepare and submit to the FTA RCRO evidence that it provides Title VI complainants with the ability to appeal complaint determinations directly to HDOT. Subsequent to the issuance of the draft report, HDOT submitted a corrective action that included an amended complaint policy that stipulates an individual may appeal complaint determinations directly to HDOT. This action is sufficient to close the finding. FTA will monitor future ADA- related complaints to ensure the policy is implemented. 2021 Combined Triennial State Management Review - HDOT 25 1 P a g e 12. Americans with Disabilities Act (ADA) - General Basic Requirement: Titles II and III of the ADA of 1990 provide that no entity shall discriminate against an individual with a disability in connection with the provision of transportation service. The law sets forth specific requirements for vehicle and facility accessibility and the provision of service, including complementary paratransit service. Finding: During this Combined Triennial and State Management Review of HDOT, deficiencies were found with the FTA requirements for ADA-General. Insufficient ADA complaint record retention (ADA-GEN-1-2) HDOT did not demonstrate that it monitors subrecipients to ensure that they comply with ADA requirements. 49 CFR 27.121 L) Compliance information b) Compliance reports. Each recipient shall keep on file for one year all complaints of noncompliance received. A record of all such complaints, which may be in summary form, shall be kept for five years. 49 CFR 37.17 Desj nation ofresponsible employee and adoption ofcomplaint procedures b)Adoption ofcomplaintprocedures. An entity shall adopt procedures that incorporate appropriate due process standards and provide for the prompt and equitable resolution of complaints alleging any action prohibited by this part and 49 CFR parts 27, 38 and 39. The procedures shall meet the following requirements: 1) The process for filing a complaint...must be sufficiently advertised to the public, such as on the entity's web site. 2) The procedures must be accessible to and usable by individuals with disabilities. 3) The entity must promptly communicate its response to the complaint allegations, including its reasons for the response, to the complainant and must ensure that it has documented its response. Corrective Action(s) and Schedule: For the deficiency Insufficient ADA complaint record retention (ADA-GENI-2), by October 29, 2021, the recipient must submit to the Regional Civil Rights Officer(RCRO) a procedure for retaining copies of ADA complaints for at least one year and summaries of ADA complaints for at least five years. 13. ADA - Complementary Paratransit Basic Requirement: Under 49 CFR 37.121(a), each public entity operating a fixed-route system shall provide paratransit or other special service to individuals with disabilities that is comparable to the level of service provided to individuals without disabilities who use the fixed route system. "Comparability"is determined by 49 CFR 37.123-37.133. Requirements for complementary paratransit do not apply to commuter bus, commuter rail, or intercity rail systems. 2021 Combined Triennial State Management Review - HDOT 26 1 P a g e Finding: During this Combined Triennial and State Management Review of HDOT, deficiencies were found with the FTA requirements for ADA—Complementary Paratransit. Insufficient oversight ofsubrecipientsfor ADA complementary paratransit(ADA-CP84) HDOT did not demonstrate that it monitors subrecipients to ensure that they comply with ADA complementary paratransit requirements. 49 CFR 200.331 Requirements for pass-through entities All pass-through entities must: d) Monitor the activities of the subrecipient as necessary to ensure that the subaward is used for authorized purposes, in compliance with Federal statutes, regulations, and the terms and conditions of the subaward; and that subaward performance goals are achieved. Pass- through entity monitoring of the subrecipient must include: 1) Reviewing financial and performance reports required by the pass-through entity. 2) Following-up and ensuring that the subrecipient takes timely and appropriate action on all deficiencies pertaining to the Federal award provided to the subrecipient from the pass- through entity detected through audits, on site reviews, and other means. 3) Issuing a management decision for audit findings pertaining to the Federal award provided to the subrecipient from the pass-through entity as required by §200.521 Management decision. Corrective Action(s) and Schedule: For the deficiency Insufficient oversight ofsubrecipients for ADA complementary paratransit(ADA-CP8-1), by October 29, 2021, the recipient must submit to the RCRO specific procedures for ensuring that subrecipients comply with the ADA complementary paratransit requirements and evidence of implementation. 14. Equal Employment Opportunity Basic Requirement: The recipient must ensure that no person in the United States shall on the grounds of race, color, religion, national origin, sex, age, or disability be excluded from participating in, or denied the benefits of, or be subject to discrimination in employment under any project,program, or activity receiving Federal financial assistance under the Federal transit laws. (Note: Equal Employment Opportunity Commission's regulation only identifies/recognizes religion and not creed as one of the protected groups.) Finding: During this Combined Triennial and State Management Review of HDOT, deficiencies were found with the FTA requirements for Equal Employment Opportunity. Insufficient oversight ofsubrecipient/contractor EEO program (EE054) HDOT was unable to demonstrate that it was conducting required oversight of subrecipients for EEO requirements. 2021 Combined Triennial State Management Review - HDOT 27 1 P a g e FTA Circular 4704.]A Ch. 2.2.7 Monitoring and Reporting FTA requires that EEO programs include the following attachments: List of subrecipients or contractors the recipient is monitoring and the services they provide;proof of review of subrecipients or contractors' EEO program (e.g., letter or memo to the subrecipient). Corrective Action(s) and Schedule: For the deficiency Insufficient oversight of subrecipient/contractor EEO program (EE05-1), by October 29, 2021, the recipient must submit to the FTA RCRO: (1)procedures for determining if any subrecipients, or their lower tier subrecipients or contractors, meet the threshold requiring them to have an EEO plan; (2) procedures for conducting oversight of those subrecipients, or their lower-tier subrecipients or contractors, that are required to have an EEO plan, including collection of EEO plans and evaluation of them for sufficiency; and (3) evidence of implementation of the oversight procedures. 15. School Bus Basic Requirement: Recipients are prohibited from providing school bus service in competition with private school bus operators unless the service qualifies and is approved by the FTA Administrator under an allowable exemption. Federally funded equipment or facilities cannot be used to provide exclusive school bus service. Finding: During this Combined Triennial and State Management Review of HDOT, no deficiencies were found with the FTA requirements for School Bus. 16. Charter Bus Basic Requirement: Recipients are prohibited from using FTA-funded equipment and facilities to provide charter service if a registered private charter operator expresses interest in providing the service. Recipients are allowed to operate community-based charter services pursuant to certain regulatory exceptions. Finding: During this Combined Triennial and State Management Review of HDOT, no deficiencies were found with the FTA requirements for Charter Bus. 17. Drug-Free Workplace Act Basic Requirement: Recipients are required to maintain a drug-free workplace for all award- related employees; report any convictions occurring in the workplace timely; and have an ongoing drug-free awareness program. Finding: During this Combined Triennial and State Management Review of HDOT, deficiencies were found with the FTA requirements for Drug-Free Workplace Act. Drugfree workplace policy lacking required elements (OFWAI-2) 2021 Combined Triennial State Management Review - HDOT 28 1 P a g e HDOT could not produce a copy of the Department's Drug-Free Workplace Policy despite several efforts to locate the policy. Subsequent to the remote site visit exit conference, HDOT submitted a policy, however, the policy was missing required elements or contained stated prohibitions that were inconsistent with the language of the Act. Drug Free Workplace Actpolicy not distributed/enforced(DFWA1-3) While HDOT stated that a review of this policy is covered in an initial orientation training, HDOT could not substantiate that the agency conducted an on-going drug free awareness program for its employees. 41 U.S.C. 702. drugmsfree workplace requirements for Federal grant recipients a) drug free workplace requirement 1) Persons other than individuals No person, other than an individual, shall receive a grant from any Federal agency unless such person agrees to provide a drug free workplace by: A)publishing a statement notifying employees that the unlawful manufacture, distribution, dispensation,possession, or use of a controlled substance is prohibited in the recipient's workplace and specifying the actions that will be taken against employees for violations of such prohibition; B)establishing a drug free awareness program to inform employees about: i. the dangers of drug abuse in the workplace; ii. the recipient's policy of maintaining a drug free workplace; iii. any available drug counseling, rehabilitation, and employee assistance programs; and iv. the penalties that may be imposed upon employees for drug abuse violations; C)making it a requirement that each employee to be engaged in the performance of such grant be given a copy of the statement required by subparagraph (A); D)notifying the employee in the statement required by subparagraph (A), that as a condition of employment in such grant, the employee will: i. abide by the terms of the statement; and H. notify the employer of any criminal drug statute conviction for a violation occurring in the workplace no later than 5 days after such conviction; E)notifying the granting agency within 10 days after receiving notice of a conviction under subparagraph (D)(ii) from an employee or otherwise receiving actual notice of such conviction; 2021 Combined Triennial State Management Review - HDOT 29 1 P a g e F) imposing a sanction on, or requiring the satisfactory participation in a drug abuse assistance or rehabilitation program by, any employee who is so convicted, as required by section 703 of this title; and G)making a good faith effort to continue to maintain a drug free workplace through implementation of subparagraphs (A), (B), (C), (D), (E), and (F). 49 CFR 32.205 What must I include in my drug free workplace statement? You must publish a statement that— a) hat( a) Tells your employees that the unlawful manufacture, distribution, dispensing,possession, or use of a controlled substance is prohibited in your workplace; b) Specifies the actions that you will take against employees for violating that prohibition; and c) Lets each employee know that, as a condition of employment under any award, he or she: 1) Will abide by the terms of the statement; and 2) Must notify you in writing if he or she is convicted for a violation of a criminal drug statute occurring in the workplace and must do so no more than five calendar days after the conviction. No on-going drug-free awareness program (OFWA24) HDOT could only state that an employee assistance program is located on an office bulletin board; however, there is on-going drug free awareness program that informs employees about the dangers of drug abuse and any available drug counseling, rehabilitation, and employee assistance programs. This information can be distributed periodically and on a general basis to all employees but HDOT could not demonstration such practices were used. 41 U.S.C. 702. drug free workplace requirements for Federal grant recipients a) drug free workplace requirement A)Persons other than individuals No person, other than an individual, shall receive a grant from any Federal agency unless such person agrees to provide a drug free workplace by: B)establishing a drug free awareness program to inform employees about: i. the dangers of drug abuse in the workplace; H. the recipient's policy of maintaining a drug free workplace; iii. any available drug counseling, rehabilitation, and employee assistance programs; and 2021 Combined Triennial State Management Review - HDOT 30 1 P a g e iv. the penalties that may be imposed upon employees for drug abuse violations. Corrective Action(s) and Schedule: For the deficiency Drugfree workplace policy lacking required elements (DFWAI-2), by October 29, 2021, the recipient must submit to the FTA regional office an amended DFWA policy that includes all required elements. For the deficiency Drug Free Workplace Act policy not distributed/enforced(DFWAI-3), by October 29, 2021, the recipient must submit to the FTA regional office documentation that the revised policy has been distributed to all award-related employees. For the deficiency No on-going drugfree awareness program (DFWA2-1), by October 29, 2021, the recipient must submit to the FTA regional office evidence that it has implemented a drug free awareness program and informed employees of the dangers of drug abuse and any available rehabilitation, and employee assistance programs. 18. Drug and Alcohol Program Basic Requirement: Recipients receiving Section 5307, 5309, 5311, or 5339 funds that have safety-sensitive employees must have a drug and alcohol testing program in place for such employees. Finding: During this Combined Triennial and State Management Review of HDOT, deficiencies were found with the FTA requirements for Drug and Alcohol Program. Insufficient oversight over drug and alcohol programs ofsubrecipients (DA54) The review contactor requested copies of the annual DAMIS reports and reports for 2017 and 2018 only were provided. A detailed review of those reports indicated that at least two lower tier entities with safety-sensitive employees failed to conduct random tests at the required levels. While HDOT has a comprehensive Drug and Alcohol Compliance and Monitoring Manual, staff acknowledged that routine review of the credentials or qualifications of the medical review officer(s), substance abuse professionals, breath alcohol technicians, or collectors does not occur. 49 CFR 655.72 Reporting ofresults in a management information system a) Each recipient shall annually prepare and maintain a summary of the results of its anti- drug and alcohol misuse testing programs performed under this part during the previous calendar year. b) When requested by FTA, each recipient shall submit to FTA's Office of Safety and Security, or its designated agent, by March 15, a report covering the previous calendar year January 1 through December 31) summarizing the results of its anti-drug and alcohol misuse programs. c) Each recipient shall be responsible for ensuring the accuracy and timeliness of each report submitted by an employer, contractor, consortium or joint enterprise or by a third parry service provider acting on the recipient's or employer's behalf. 2021 Combined Triennial State Management Review - HDOT 31 I P a g e 49 CFR 655.81 Grantee oversightponsibility A recipient shall ensure that a subrecipient or contractor who receives 49 U.S.C. 5307, 5309, or 5311 funds directly from the recipient complies with this part. Corrective Action(s) and Schedule: For the deficiency Insufficient oversight over drug and alcoholprograms ofsubrecipients (DA5-1), by November 28, 2021, the recipient must(1) submit the qualifications of the subrecipients' MRO, SAP, BAT and collectors to the FTA Regional office; (2)review the DAMIS reports for accuracy and take corrective action to ensure that required random drug and alcohol test rates are being met; and(3) conduct a review of 2020 DAMIS subrecipient reports to FTA, assessing the accuracy and corresponding corrective action(s)taken with subrecipient. 19. Section 5307 Program Requirements Basic Requirement: For fixed-route service supported with Section 5307 assistance, fares charged seniors,persons with disabilities or an individual presenting a Medicare card during off peak hours will not be more than one half the peak hour fares. Recipients are expected to have a written, locally developed process for soliciting and considering public comment before raising a fare or carrying out a major transportation service reduction. Recipients shall develop,publish, afford an opportunity for a public hearing on, and submit for approval, a program of projects (POP). Finding: During this Combined Triennial and State Management Review of HDOT, no deficiencies were found with the FTA requirements for Section 5307 Program Requirements. 20. Section 5310 Program Requirements Basic Requirement: Recipients must expend funds on eligible projects that meet the specific needs of seniors and individuals with disabilities. Projects selected for funding under the Section 5310 program must be included in a locally developed, coordinated public transit-human services transportation plan. Recipients must approve all leases of Section 5310-funded vehicles and ensure that leases include required terms and conditions. Either the recipient or subrecipient must hold title to the leased vehicles. Finding: During this Combined Triennial and State Management Review of HDOT, no deficiencies were found with the FTA requirements for Section 5310 Program Requirements. 21. Section 5311 Program Requirements Basic Requirement: Recipients must expend funds on eligible projects to support rural public 2021 Combined Triennial State Management Review - HDOT 32 1 P a g e transportation services and intercity bus transportation. Finding: During this Combined Triennial and State Management Review of HDOT, no deficiencies were found with the FTA requirements for Section 5311 Program Requirements. 2021 Combined Triennial State Management Review - HDOT 33 1 P a g e V. Summary of Findings Review Area Finding Deficiency Code(s) Corrective Action(s) Response Due Date Closed Date(s) 1. Legal ND 2. Financial D F1-1,Missing,insufficient,or HDOT must develop and submit to October 29, Management and out of date financial the FTA regional office financial 2021 Capacity operating procedures operating procedures for managing FTA award funds that address the requirements addressed in the Uniform Guidance.The policy must address responsibilities and delegation of authority for various grant tasks,financial planning, safeguarding of funds,internal controls to prevent duplicative billing,allowable coast in accordance with 2 CFR§200 Subpart E,and payment procedures pursuant to 2 CFR§200.305, required financial reporting,record retention,subrecipient oversight, and single audit responsibilities. The recipient must submit documentation that it has trained appropriate staff on the new policies and procedures. 179-1,Insufficient oversight HDOT must submit to the FTA November 28, of subrecipient financial regional office procedures for 2021 capacity ensuring that subrecipients have the financial capacity to carry out its proposed program of projects. 3. Technical Capacity D TC-AM3-1,MPRs lack HDOT must submit procedures for October 29, Award required information MPR completion,ensuring the 2021 Management reports contain required information when milestones are not met and actions to be taken when HDOT recognizes estimated completion dates cannot be met. TC-AM4-1,Annual Status HDOT must submit in TrAMS the November 28, reports missing or lacking Annual Program of Projects Status 2021 required information Reports for the past year and submit to the FTA regional office procedures for submitting the reports with the required information at the required interval. TC-AM5-1,Inactive HDOT must submit to the FTA November 28, award/untimely closeouts regional office an updated award 2021 closeout plan;and(2)procedures to deobligate funds and close awards if funds remain in inactive awards or ifprojects are indefinitely delayed. 2021 Combined Triennial State Management Review - HDOT 34 1 P a g e Review Area Finding Deficiency Code(s) Corrective Action(s) Response Due Date Closed Date(s) 4. Technical Capacity D TC-PgM2-1,SMP/PMP HDOT must submit to the FTA November 28, Program missing or out of date regional office an updated 2021 Management and state/program management plan(s) Subrecipient that reflects current practice.The Oversight recipient must seek public comment on the revised state/program management plan(s) if significant revisions are required and submit documentation that public comment was sought with the updated plan. TC-PgM6-1,FFATA HDOT must report all missing October 29, reporting deficiencies information to FSRS and notify the 2021 FTA regional office when complete.The recipient must also submit to the FTA regional office procedures for reporting future subawards to FSRS timely. TC-PgM7-1,Inadequate HDOT must submit to the FTA October 29, oversight of subrecipients regional office procedures for 2021 evaluating subrecipient risk and a comprehensive program monitoring subrecipients for compliance with Federal requirements and performance goals,along with documentation of implementation. 5. Technical Capacity ND Project Management 6. Transit Asset ND Management 7. Satisfactory ND Continuing Control 8. Maintenance D M5-1,Inadequate oversight HDOT must submit to the FTA November 28, of subrecipient maintenance regional office oversight 2021 activities(M5-1) procedures,along with evidence of its implementation such as,an amended subrecipient agreement, contract,or lease incorporating the requirement for a written maintenance plan that includes maintenance standards compatible with FTA requirements, performance measures for timely maintenance and/or procedures for pursuing warranty claims. 2021 Combined Triennial State Management Review - HDOT 35 P a g e Review Area Finding Deficiency Code(s) Corrective Action(s) Response Due Date Closed Date(s) 9. Procurement D P2-2,Incomplete standards of HDOT must develop and submit to Closed conduct the FTA regional office written standards ofconduct applicable to its FTA-funded procurements that include coverage ofnot only spouses and dependent children, but other immediate family members,agents,or an organization which employs or is about to employ any of the parties indicated herein. P10-1,Lacking independent HDOT must submit to the FTA October 29, cost estimate regional office documentation that 2021 it has updated its procurement process to include development of independent cost estimates prior to receipt ofbids or proposals.For the nextprocurement,submit to the FTA regional office documentation that the required process was implemented. P12-1,No TVM certification HDOT must submit to the FTA October 29, RCRO procedures for obtaining 2021 signed TVM certifications and for ensuring that manufacturers are eligible TVMs at the time of bid or proposal submission.The recipient must submit to the RCRO an updated TVM certification template to be used in future transit vehicle procurements.The recipient must submit to the FTA regional office a copy ofthe signed form with the next applicable rolling stock procurement. 10. Disadvantaged D DBE1-2,Revisions to DBE HDOT must revise and submit its October 29, Business Enterprise program notmade DBE program to TrAMS and notify 2021 the FTA RCRO once completed. 11. Title VI D TVI4-1,Title VI complaint HDOT must prepare and submit to Closed process not implemented in the FTA RCRO evidence that it accordance with Title VI provides Title VI complainants Program with the ability to appeal complaint determinations directly to HDOT. 12. Americans with D ADA-GENT-2,Insufficient HDOT must submit to the Regional October 29, Disabilities Act ADA complaint record Civil Rights Officer(RCRO)a 2021 ADA)—General retention procedure for retaining copies of ADA complaints for at least one year and summaries of ADA complaints for at least five years. 13. ADA— D ADA-CP8-1,Insufficient HDOT must submit to the RCRO October 29, Complementary oversight of subrecipients for specific procedures for ensuring 2021 Paratransit ADA complementary that subrecipients comply with the paratransit ADA complementary paratransit requirements and evidence of implementation. 2021 Combined Triennial State Management Review - HDOT 36 1 P a g e Review Area Finding Deficiency Code(s) Corrective Action(s) Response Due Date Closed Date(s) 14. Equal Employment D EE05-1,Insufficient HDOT must submit to the FTA October 29, Opportunity oversight of RCRO:(1)procedures for 2021 subrecipient/contractor EEO determining if any subrecipients,or program their lower tier subrecipients or contractors,meet the threshold requiring them to have an EEO plan;(2)procedures for conducting oversight of those subrecipients,or their lower-tier subrecipients or contractors,that are required to have an EEO plan,including collection of EEO plans and evaluation ofthem for sufficiency; and(3)evidence ofimplementation of the oversight procedures. 15. School Bus ND 16. Charter Bus ND 17. Drug-Free D DFWA1-2, HDOT must submit to the FTA October 29, Workplace regional office an amended DFWA 2021 policy that includes all required elements. DFWA1-3,Drug Free HDOT must submit to the FTA October 29, Workplace Actpolicy not regional office documentation that 2021 distributed/enforced the revised policy has been distributed to all award-related employees. DFWA2-1,No on-going HDOT must submit to the FTA October 29, drug-free awareness program regional office evidence that it has 2021 implemented a drug free awareness program and informed employees of the dangers of drug abuse and any available rehabilitation,and employee assistance programs. 18. Drug and Alcohol D DA5-1,Insufficient oversight HDOT must(1)submit the November 28, Program over drug and alcohol qualifications of the subrecipients'2021 programs of subrecipients MRO,SAP,BAT and collectors to the FTA Regional office;(2) review the DAMS reports for accuracy and take corrective action to ensure that required random drug and alcohol test rates are being met; and(3)conduct a review of 2020 DAMS subrecipient reports to FTA,assessing the accuracy and corresponding corrective action(s) taken with subreci ient. 19. Section 5307 ND Program Requirements 20. Section 5310 ND Program Requirements 2021 Combined Triennial State Management Review - HDOT 37 P a g e Review Area Finding Deficiency Code(s) Corrective Action(s) Response Due Date Closed Date(s) 21. Section 5311 ND Program Requirements The metrics used to evaluate whether a recipient is meeting the requirements for each of the areas reviewed are: Deficient(D)/Not Deficient(ND)/Not Applicable(NA) 2021 Combined Triennial State Management Review - HDOT 38 1 P a g e VI. Attendees Name Title Phone Number E-mail Address HDOT Lynn A.S. Araki- Deputy Director 808) 587-2154 Regan Pradip P. Pant Planning Program 808) 831-7968 pradip.r.pant@hawaii.gov Administrator Tad T. Nakayama Programming Section 808) 831-7987 Tad.T.Nakayama@hawaii.gov Manager Ryan S. Su amoto Program Manager 808 831-7980 an.s.su amoto hawaii. ov ShirleyYeung Accountant 808 587-1988 shirley.wy.yeung@hawaii.gov Daniel K. Williams DBE Program Manager 808 831-7914 Daniel.K.Williams hawaii. ov Zachariah Wadsack EEO Specialist 808) 831-7917 Zachariah.K.Wadsack@hawaii.g ov Randall Landry Title VISpecialist 808 831-7921 randall.t.land hawaii. ov Celia Mahikoa Executive, Kauai County (808) 246-8110 cmahikoa@kauai.gov Transportation Agency Natasha. Tadio Finance Director, Arc of (808) 464-6215 ntadio@hiloarc.org Hilo Marc Takamori Director, Maui 808) 270-7511 marc.takamori@mauicounty.gov Department of Transportation Diane Yogi Maui Department of 808) 270-7511 Diane.Yogi@co.maui.hi.us Transportation FTA Luis Rodriguez Regional Civil Rights 212) 668-2324 l.a.rodriguez@dot.gov Officer-Actin Darin Allan Director, Office of 415) 734-9470 darin.allan@dot.gov Financial Management and Program Oversight Bernardo Director, Office of 415) 734-9454 bemardo.bustamante@dot.gov Bustamante Program Management and Project Oversight Philoki Barros Transportation Program (415) 734-9452 philoki.barros@dot.gov Specialist Ryan Fujii I General Engineer 202-748-0677- ryan.fujii@dot.gov RLS&Associates,Inc. Robbie Sarles President 937) 299-5007 rsarles@rlsandassoc.com Richard Garrity Lead Reviewer 910) 328-5770 rgarrity@rlsandassoc.com Matthew Bussey Reviewer 937)299-5007 mbussey@rlsandassoc.com 2021 Combined Triennial State Management Review - HDOT 39 1 P a g e VII. Appendices No appendices included in this report.- 2021 Combined Triennial State Management Review - HDOT 40 1 P a g e na y I I i }I ua z a, p N s CIL: O No m O0 CL 3 WIN= CL a)4. CZ 0 a N Q E I I MIME Iwo AM r7 I MIN= MIN= c k CU¥ U o 0 @ Q =2 o f 2 z > U R e 2f U) E R E Coco c 5 f2 7 \ 7 = I = .\ S c E \ c \ ) L ƒ k LP/ / a f \ \ /E /q $ 0 e 7 f $ E / o 2 £ 3 2 C o- /O@ ER = 7 \ % a Co 0 E o = S = / _U e ° _ _ S S a E _ _ _ / § 2 2 \ E o / m / / 2 § 7 / \ $ \ B 2 \ 2 2 = e ® r c - _ W E E E R = c Q o R / ° / E § f / 5 E ® _ .E $ E _ .2 E e o Co \ \ \ U) LL C o / \ / - \ \ \ / @ 7 '5 £ = 2 \ ® c E 2 = / 2 k yc =_ au)) x o c U) o = _ _ _ _ $ = E E s 0 2 72 = 2 $ _ 0) .) q / ® / ® e $ \S= 7 R 7 \ o s E [ E E B s E X Ilk / E 2 \ O 3 I I / LL / / $ 3 E Q . . . . . . . . . . . . . . . . . . LU LUL) 4c Iwo 0 z LO C sb $gzE V) 22Z- 32 ro III11 I ro a x' a-- C O ga u a U mIIIIIIIII N LCDO O co co a co co O co L iY — - N rte+ oO Q O C LC) E G> d a O a) cu V 0 2cu O Y O p f cc N .Sm +) c a) V1 Y = u) E Y o a°i c cu L c c.2 cu r cu Q ami O Q 0 c cu E Y a a co L - D t Q S w M o o ai d LL QcNcnc -0 U _ a) m c m 2 O O O U O co cu .E N o w Z q U) E aa) a cn a) cu V 3 w = oO G> fnO -0 CU cn FU E U O i O Q i a)L a) > O U) N c0 a) OSEcoa CL CY) N - J Z Z2 Z m H f/) (L) . . . . . . . . . u U Q 2 \ o e § ¥ § G 0 2 R Ln a » R § 2 § m § n U m . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. . . ] | | | | | | | | 0 E / 20 20 04 Q- C) ? D, 00EEk0 E q c_ @0 ƒ -3 cu C14 EO D % Mry m ¢ 2 00 0 E E % 0 A? b2 % 7U x % 7 -0 -0 ¢ q132 -0 0 CU E B ' U E cu 0) am2 = ck3 (15 :5 = C,-cnN Cn ® - 0) O 0 b O® 0 § C14 < 0) 0 G 2 @ E G° f2 33@ 22 - f% R a) $ >E\E E/ / 5 «2 @% o mm 3 @- 04 04 kR % @ mE2 y cmeE5'- 0 0j/ 0 / §72 cu 7 $ L-A% -S \ k/0 /k //a) 00 k% _0 U) @ c .-off 70E @ 204 =3 .15 a)cu =q0 m6= 0 0)§ /2 G 2 / § > 0 > 022k C-)a) /k 00 E f cn 3- °k 2% @ E om OTƒ 2- §J 2 @@ yf 0-r- \§ 2 7\ CU =3 C4 y cu/ S E %- l o o 2 2 S2 2J % (1) eo =3 f/f E @- @ moo@E/G @ cR 2 m / > C- E 7 2J$ /ocn CO g E E @o .- of o0 E @_ 0.E Qo 0 &By2 mz E.- 2 2 2 0 cu 6 n 7 E @ n =.C-) w w f $ /cu $0) cu c cu m 2m cu % cu E B/ 0 & cu- oRo @ Eo z m 2 R m 0 /0 @ E . »7 E @f 2=3 k / / 0 S E// Q- 2 c L uc /o k 2 \§R 2 %CU 7 20 Q @ m - 4--E@ £ 0 D 77 «J + °@ @w0-S @ @ S 0 - 2§ /§ / k/ t \ 0 S % 2{ (/ 2 7 %@ J E 9 r % / § "2 k 2§ f%2 D o \ o - /2 §R .[ 2 § E » f @ -i @ U± m «@ 0 o ccn) 2 i 10 W x O O • CIO W 0 LL 0 Lam+ y u OmLLN3'N L O E L L O (I)(I) w o 0 wo 0000 W M5 E a J N CL3 W z m O cc MO M co + rte Y C c N W cm O ~ y O v NL 0 N u`6i 1 O OL. 'a L O C' a aY Z 4-0 EY 7N R N CD MD NC. 00 0 Mo 7 7yVL O r(6 VC CL TWe 00 O E N O c`6i5 U'O ul ul Jc E f IM1 S`u„ y.: it r r u° C: a) U N J - O O L N C:C: Oo O UU U aa) O N -0 O += += 0 O O Q U U O ro 0 r ( Yet ®•ro 7 x 1 I- x m MIME LO ro om m a W A Z z Wf y.•• W VS 4 W LLI Ln w a aim 2 aMOMs m Ua'AV ii yid NO (o U O N :3 = 0 M N Co LL0 cn cn E 50 cnQ o w o i•w P•K° Q Y v~s tA y Iw O ` wAZ W W z W a rw l W F uj uj LA t e v~ w) a Z 4 Iw Zw LD Y O d malahaa 61 O zt4a r r I E C-QQ© OOO ti m d 0c x 0z 61 AmHLL Q aL fang naeurwM p.1t m J r c QLC: L =3 'r04-0 4-0 U1 E E N 5 > 0 (a OO O N >, O CU a U ca ca M c m N a O N -0 O m O U O Q Q UOco M14 Oa 0 c n{ y u LU 4., z w LA w z a z a ww LLJ LULli• Ln sa w Z U LU W cti LJQQ0000 d u As n y p C e A s K 41J Y J 1 1 L E_ N 6 CD C N N O 0 C: H Y ca caO (D EO > 0 0 C: O O Qco QOOL CD N Q S N Cc O E O O Q V ti O O c V E p O O (6 L 0 0 0 c zE O U 'r- C: . O mi L O N O 0 0 0 ca Z Y of T- oO Q• y j Q z wy110O x LUW Vey r' Ple 1 / r Z Y h ISI a9 Cy a4 w d W W E CM cm 00 CY s bpd E , - 0 dxE 8 o a m ? 8 R ar q BJI c i d 7 O e pW 0 O E Lcn U C: co O O a cu O E Q N U NN m —C N 4--aN coC: C: N W p LLQ ) I O 4 p06 r ui N C) cu cu 4-0CUCU Q CU cu CU N U W c o o CD ca r 0 C/) o LL 4-0 r C 0- W W 0 a o0 N a } CL U) i = d d t Q d V w O to m O c I u Soo i 90 n 0 LL d v o o 0 0 a O 1 r 3 Y 4m NC A r o a o A C x G F n i m WO rao is c°na as as maQ3 u T 1 4-0 1 co ' ' a Y 11 Ig co cn 1 \ 0 LO E 2\ .k § \ / \JU) WW W} M U N > _ _ ® 2&f 0 o \ k \/\ 0 # ƒ \ '2 C/ Z6 0022 \ 2 CO 2 ) 2 G \ \\\ e= = @ ' U) 2\O 2E q§ § & \\ [ ziO @2\ 3\ 8 m o k< \ a }_ D \ 2/ / 2 // \ \ \ƒ7Rt / eeo 4x 4 4) ow ok }\ k\ 5 ) w o ® E _ = o =9E o— o = e a e arc « ?S LL. _ ( $ 2 \ e @ $ ƒ\ \/.! e = z \/\\ j a r s°+ d 0 0 a o 1 o o v N N M M v m aN NMo N NMo o o o 3 o oo N oMNo N N N N N Nm Nm Nm o NNN N N N N N N N NNNN NNNNNmNmNmNmNm NNNN N NNNm Nm oN H mmmm m m > > > > > m > > > m > > m LLIIII . . . Ev . . v . III II . III . II00000xooxoxoxo C) C) C) C) CLLC) CLLCLL CLL C) 0000 o o N Ncop N a N d y 0 00 00 0 w w A Nm s s s s s U U U U U s E E x U o 0 o u o o 6 x oLL,0 U gi 0aaaaagggggado LL J mmmmm m LL,MMo o m~°o o a v o m o C7 C7 C7 C7 C7 C7 -moo -moo -.-=N o Q Q 2 N C) qm r3a O xm hN O O y 00000000000 m 000000 - 00 pNow H N N O 0 m m U U Q W W p p >C jC OO OOEc QQOOUOV Vo 3 V CQQQ U W W o LL a aQ o 0 O aQo rn LL O LL a Q LL aQo N O M M LLLL aa o Q o N O M M LL aaQ N O M M LLLL aQo v LLLL a QCL M M MN O N N aa v v coQ N N O O c0 00 aa o Q N iOO Ln N N V LO V I- N _ N N LL O U O J W W W W W W C 0 0 0 0 0 0 0 0 0 0 0 0 0 LL Z N 0 0 0 0 0 0 0 0 0 0 0 0 0 O _0 0 0 0 0 0 0 0 0 - 0 0 0 U 0 0 0 0 0 0 0 0 0 0 0 0 0 0 X 0 0 0 0 0 0 0 0 0 0 0 0 0 a U codf6NOOOO3O N N N N N aOOOOOOOo0000oQ a cO22 2 vNOrnUmn000NLoLn C7 Lo M p O pOp JLr) m r N p N m m LL H HmmMp O O 1• Y d v aLUNQQ 0 0-- of1EX of ami ami -0 4 U a a OE E Q N O am Of Z D D D Z &3 W v cLUQ (n (n V O M (6 (6 N N .0 O > YXX LL ami ami E 8, c JLF, Uc:) c:)O O W (t7 3 W w of M M O IL 0 LU of ? LLJ O O a O 0, pLLOOLLON O LL LL LL u O O r_ k u r t' O N O N a) Ul N -mN36C3QNNp3 -0 Cj ° N O O N E wCO N N (nn O ` N OUNUl a)O N U C Q .N N O N a) Ul 7 H 3 N o rn cul c Q _a n ul'm 0 o CE a CL a) c ° U o N m a) : m U N m o c N gp > on O m w c ° D o'N arn 0 a) -E a) tomc : t rn 0)E °-o E to o m Q Q mE o ( cu: NNwrn cm a f c0Nmflo mmo CL p O n Nt2ON E a)Y - a O0) O Nmm OOM V 64 c °m o o LD oW Ln Lo, O om E mc IEEE m t o C o 2 8 a)3: oO ' coE .E = aN)3O H a) o 2E-n a)- LLpU o >o a)ON U UC OU Ca ` C m uO NM M. CL A ON(na - O pN N UmO mO-O O Em Na N m O 7N N > C(6 N r j 3 C aNi> m ul o m o t m m CLnu, y H 0 0ag -0 o n-L0CLa O amO 6 Q a) UI COUm-O N°- a)O iONO000Er CD r - C QT o N o 0 ao o ° _r_ N M O M Q 0) LO4 3 M2 N U 3 v Ht6c"64 ui 1 NN LCL = dY N N 1 N 1C 1fh117NM1 Vl th Vl Yl A 4n 9 mw O m m 3 In h R V p 101010 OC Mm — M1 M1 NMI.,; w a a po Ifi N C N LL I"I TN 0 t/} yl N 5/l M4 5/l 4Il iA VX Vl V yy e in in P N rn J y K m 1p 8 P7 7 u T ui 9 W o] M N 10 N C d5 dt 'p $N u w v% d S r vl vl vl v7. irl In l 1pM1. p LpM1 p lM1. pp 10 v8 t0N4'M1 M1 M1 LL rl N rl t s a a y I w m N 4 Y a" :PS OM1. M1 l•1+ in ih to ih to 4n 4n to to d, pp OOp pbp pOp R D. V aG p N O 6 O 6 N d N MW M I„ J O G N M A OO V} +n Vl 1h Vl Vl ill ill n Vl O s S 8 C S S 8 CLW o I1 rj LL rj N Mrl' W 1 5/l vl til VII til VII JA vl 1^ VII VII N 'A vl ,11 I pp m N 6Op N W O Np rd p A N 7 M V to N N S LL Z V} 'A ah W alk 'A aR Yl LL h H d zW t R! a d a c 2 W Ocy i O W 4 Z C] O am0 , O C z E k d N = y 2 U ry W Q 7O7CL "i Z m W Vu4} Cd c k ` J 11 rW5] mI- I, N CLCL n m Ci 0 2 0 0 0 0 d'm a Q a G l i a) _ 0) r C.: to to Cc:.O0Q O QdNa) * Q i 0U Q=3 0 CU O c6L L O) U Qcu-2.FU •— O Ea- 0 O Occu Nv2CU Q a)c 72 LcL -0.O C4-C C: T) 0c .2cO cu a) Q Q(6 a) cn O a).E L L >L a) 6-r- cu c-ot AY Ecn , a)cQOc6F c6 L a)— a) c6 toa) N aio rn Q cu 0) cu-0) " CUMCL-ca S ?' cv0) -..—a) tea) T O DOE p N cu i N U), - U= cc E 0" Y a) 0-0 O cv Q =3 >% (D CUP cu,— UN N 4-- (D U6"-'02c -O rn.. 4- QrnCU Y Y =_ a cu per_ =o <_ LL CUCU cu CU C: 0 cu U c ma)•- C_- LYN ui.o 0uu) U)0 p0 o>Co d 0 CU Ocv L= N N cu0 X04- p m c622 ° H -d a).E QD a)Y 0u 1 yeti v ui W. 1 L c 2: N m U)O N 0 Qm C 0 0 So U)U U) 0 C Na)QO a ON a)= U)(6 °cocn0-a tea) 0c cu -0 (0"a 'UC 0Ca)cu-5CLQcu-5 FWU) 0.3r-5C Uro —C NU) ar«L0 C E C a)O- fA U)C C'uJ Q+J 0 c0 L'- U)Q a a) U)CU CU CU F-O CU cl. EU) r o- Q c0 a)U) co"a a)0 CU C U a) U)a) C co L C 7 C 0 0 C- 0 U) U)" CCU U- Coo 0L "ate_ Ca) > Oc +_U)=C0 N a C 0 U C 0-0 -0 a 0 O 0 cu •-0- a)c LY -0CL0O rte.+ V cu U) O 70 0- D O L},>O, G1 G1 Ua-b >a +)o QU "a U) 0.-0+J0 a 0-2C00 CO NcuCUCU0- : LO U0 Q. cu O)E 0-0_- 0 CU-0 - 0 L L TMJ ° L 00- U)E a) L U) L U •— LLL EL 0 a) > 00 a)0 U)0 NU)a(LLCCUNQW-0 COU C 3 O UU) 0j cc .U)_- ° U) 0 0 a)O-E 0nio o, a0) o U)0C Q CU 00-0 U).— cu--c0 Ea >-07CC +J 0+J U)"a }L,"a U) 0-a} o OL r':~• u¢ 04— C)LL H 0oC Va 00-0 00a)-0 N oco C- CC U o CU~ t/1 C'Jac co o>c o coE QaEcacn O v a)a)0 °a) °0ca —cu E 20a) a)0 a) H2 C-0G1La)U)U L L a a))(D -0=-o L a o 0-U C L V L 0 0 au))a.0 -a O cB -0 0_C U)0 0 o 0 m 0 ccn <0 QC>> oe Q} co QCLU>} Q tan 0 0u P R. L+Hf INAliU a m p fir, d mmmm Mmolm U L 06 O cn 006 0E 75O U .0 0 6 N U L N 2 (6 H w OOH O D 0 -1.,Ov E aE nUS wc 0M D672VN < 0 m 0 p O L 6 to T •- cn 2 .S NL _ L _ U L y-+ •- dU U EUNc 0E V O u C oT- H UitUnH w < E \ r \ y ; • 2.. LLu Cu206 V ( c On o /\ Q O o $ 0 a) o- R $ I = E2 U) $ & C=) § T a.kcioA92 \ -acu @ / \ m - # _ %\ @ § E \ o /E$ LL A a t %=o 70 E \ ) k t/\ k 2\ 2 2 T(2 E ) 7 / \ E E \ f % § /E o C E ) 7 E 0 a % - C=)o CL E ± _ /3 E0o e U),-aU) s e® C) U o cu. S O ¢ % 2 7/ §/ 7 =e£ E 2 2 E 77 /c - E C%_ 2 6 = \_/ a O c t = k7 7% t / U) o n c e= Z2 IIS=0- LLLL 0 iJ W W v dLW S- s N y i`! N [v UrVevrANCiviv 9 c c G I C7 b U w-C7 ^C3 raw raw 0 0 c3 c3 0 0 0 0 0 M r J eq 5r111 rn np qa 3 w rJ n N N N `•1 N .v sv .v {v ry rl N :v ® N ry N t O C7 C3 G O .• C7 d G 6 C} C] O r O C7 Ci p1' w rV N N CJ N N {y N N r`J r`J rw rw CJ N rV r m m r m m m a m m m m m mz,ro cL c w r~ LnLn S $ ti 4 r+ro m mooeoNoo . o 0 0 © Sei r% n a v I 1 r% ra ww o 0 4 m r: Lo E . rl G4? 1 +•y +-1 .-i 07 4Lx -Y H N N N M Lp CIrlryrp i.f1 to t+Y tFy uY iIY LA to L6 tel try LA tr} to 1,6 te} to iA t^i.A i^ t6 tr}iA tozi N C C] C)C3 D o n n o a C3 C3 0 6 chN c = 1-1 -4 ro E0 tv5 h E" h rr} rr7 Lo N O uPf ., w rw ON f Zg g g an d FfLG - IL.94 m N CIS C3 C3 V5 W M v V C3 r LR 6F rl rl rU O a Cr1 14 V V O L 4O y LM W r4 T wq w 4 rw rl -4 C3 W M1 6r5 wl H -4 rw H r-I N V LD C3 r-4 r-4 -4 rri 4 B a•1 i/1 iry i/} i.f7 iJ] t!l iJi 4h iJi iJ} Vk tl7 Vi Lr]h 47 Vl N] V} Vi Id} Vi ilJ• il) i!1 iJ}i.+F i!1 C LUG1. 4! dl rW --1c] C3 r C3 C3 + O C3 C3 O W J 7 7 7 7 Y7 L911 94 r9— C90 19" u w I ry N ev N aloc3 ori a - aoo o caari! N N ry r+l rw rw rwr,4 US 2 S 2 2 2 2 2 d LL LL LL rt Q WCk U r' m li ri m r m m m m m V5 45 V5 V5 may m by N N O O 4 N 0) O O O 0 c: N C o i N X N O O N Q cn MIN= L) O N M m p n cu C_ O o a) o CU CACA m (U o N CT CU CA OL U O 0 — L o to O U r- U w 777 to CU U Q .V CU 1 cu O O CUcnQEg cu O Q UjCON0 6 CO0 .0 J p c6 V cuO gNr p m a r L Q Q cu r r x u+4-- cr-N w O CU Aa C6 C6 > U U) a c6cu NQU ' m Q CU n CU cu p N C= c6 LO C= 0 CU CU 0 C c O CU OL CU CU CA O L L CU U O Q . u N C U U —Q cu R C] O cu X O yr N CU — L Q• cn O CU c Q"' O Q (q CAO CUCUU - O O U 0 - -C- L c O N CUC _ CU p C .0 Q c6 > Q cu cu O (6 N L L Lfn O CU O O ( O — O yr CU cn L CU > J CU U O CU c LL ' c Q C6 E >' C6 . O CU C6 ( 6 CU N fA .0 t5 ' CU L U "L— --' CA V U CU O O U CU i N CU 75 > L CU C: CU V - CV Q 0)o O W O T 3 N C CU O U O E > O i Q O L > CU T CU o + Y Q O CUQ LLLL0 U to N 6 2 N N C= O > N Ozt Q 0 O Q— Imo . N O co - cQCU i ZZ c6 > U CV ° C6 CU 69} C D Co CU -5 C6 O \ (DCU L U m OL CU CU C xNCV 7 O OQ QM E N O OL -0 L QLmOcoQCUc6L — Q cu cu CV m Q cu U O U O Q O W 0 0 0 M O O a O O lf1 O O lf1 O M O O O 01 O OWWnhhtihQONOWOO r1 r1 Q n n M n ti O n O 01 W N N O M Ol N 0OH n.+n.+^ m N N u1 O O u1 O r1 Q O N O O N V} V1 M M 01 lf1 u1 h h n Q n eO a" N mO ti M lo v oo to00mmMfY1 p p Nu O O S S S S S N o S S S O T m J 00 00 O O O O O O b O b O O C)N N W O O O O Q n O n O 01QQOQOOInr1WQu1 a O y r1 r1 r1 r1 r1 O u1 r1 N u1yN CLLLm r M 0 v a-I 0 0 Ln _ r-4 M m m m O N a LL o LL F oo 0 m m T f0NN N m m m O c d ice+ 00 m mWHF- 0)Ol u m m Vf MvCLnLLO f6 o o o o o a o o o o m o o In U o o o o o m o a n o o o o LO _O O O O O N O r" N O O .-I O O aviviviooviomoooofooMNNI N N ci fl O N O w O OO O r", r m r" .-I O r O m w N f6ZNrlc-I c-I c-I N w 1p c-I m Q InFM41 O VI 7 W a E •n n n_n n- --n n n n n n n n n of u O_- o o o o o o m o o to 0 o cv 4OOOOomOnoowooLnu O'O O O O O N O w o o a 0 O w -a 2 iyvtvtvtoovto .-I ON o omulNNNrOrl0ci m c-I c-I m m N m v d w Ln sMu o o o o o o om o o o r o o pOOOOOOO1rOO ' O O ..IOOOOOOOwNOOIOOOmooooooo .--I o o o Ooowoo o o n o n o . a m v In yc-I c-I c-I c-I c-I W Il c-I N N y N E E O O L L L Y bq 0 o m m C m C m m o v m m m m m N N f f C f C F F OC N F F F F F M M M M M M M N N M M M M M M M M M M M M M M M M M M MNNNNNNNNNNNNNN H a c m c a a a > y c v t r -.r > > Q 12aaaaaaa v m x Q o o o o o o o V' oO c a V o o •`- y 0 o In In o 0 o Z o o In o nn '^ N N N N N N N J N N N O V N N M Yo N tp Q0 v e 3 rn 0 m '3 m M m Lo 0 0 o I N 00 O O O LU 14 00 O O O a N O +/ i 14 Z An z An in in in V N i N Q CL YQQL a G S 2 O a N 13 O t O O m v v c a L V O v v vQaO •v pvvvVvYLa L Q O N O N O ci NNQVO +, N7Oa j` N N N N N N y O O n N LL mU a O LLLaoaaIn3Yov LM LM p0[ aate., C n C n C N O N U Q a O O N C N a O 00 O O a O a > In uA N G O a d D, •U N N Ln N Ln N In 0OQzD,D, z a L O Q Ln D, LL ® LL ®LL ®LL a W • U LL O O O O y NmriOF cu In a InLUJ -Z3 a'-' N to OaaiakNOU_ 0 0 o a ° O ° o vr NILI v a O O Y ri a a N o ri 0 0 -r3 a a 0 a o m a `n0o v v a c o E v In Ia a " Ll ' N LmO00LnN a N Ln Ln ac4ja c a -ac m p o v c a D o v F 12 v v a o a cu t D vNiLnOav2 ° v a c x a c o v In ° a a c ca a a a a a v a a 3 c LL c7 v = CS o Inc aIn IndaoOa c +o c a U v c n O a s mQaaOayUJaaUc 3 u Q Ln o i o a ° £In a c Q U o c c4j a ; o a mC,3 vaO "0J vo O i mN o I a a c aQjYv Wa a ° v a° a o m In ° E c vOn Q v •a,m 3 c Qj a ° c c a a a a v m a" N eaW t In y n _ - a7J a E CA MN c U O ° U c $ 'S 3 F o °U a O ° o N a v _ +- v o a W s po s Q £ ° v v o av0v ® a E v ox3ocu , 2 y to ryi Q ti° Q v a a C n C IU ro m J5 iL N m ti ar C O O O O O O C CL C ry d O O N O O y O, O 19 Q w y2y w Ey CyL w C W w r N i.n rh N - rn 1i ri5 m p r t k • ' # kzw vvv vuu # z° z4; q qq 7 d c a W ti w w W w w ro o o w x s u u r r s r E t r L Il m q m m if1 vl N m m m v U7 v 00 0 0 0 0 0 0 v v v 0 N N 1 N N N N N N N N N N N m m m m w m m m N N N pry4Qz + Q C] O 0 0 O + O 0 O O 0 Gv F F-. r F 0 O 0 FNNN a m rn m rn m N '"" b' +.i` rnLn0 rrti a w n d Q G C7 7 14 b Q b U .Q d CJ Cr Q Q PN u O Q a a C! O' Nm N +1 0 rte{ O U Ell I 1 qQ d' O 4 a77 cr i d w LL- wmm2a2Amp m n ma7aZam o S S 4 g 4 E E E E E E E E EodLan .. as ar mNN4r-I N NN N N J d a m d d 0 a - 0G7 0d ad 109 0O O 8 m m nN {y 4 N fy N N N N N N N N N VN ry N N N N N i i S i = i i i i T i i i d Q C LL LL w Q rri Ln M N Q- W Vm1 A Q Q 0 a xi Z V O_ W Q- 0 O 0 c ON N L L TCU L cu L cn 0 0 ~ L 0 N E LU N -0 c ca m L Q-L 0 >+ L L a) L C 0L00 0 N L0 c 00ON U 0 N 00 U) cu Ov Q Q cncu (D cu 00 C: L vi o=N Q (6U .0 cu cu V/ cn_ L u= u O H 14—a)u) c > rn p ai CU F- 2 pU 0 2u) .2 O . 0 N70 0y u cu•U cuCN cu CU Q 0 c6 O)U 0 V E0 ET 'Ea) EO acv O-o oL L 0— ac Q cn Q>. Q 5 cn >-o >L Fu Q i O W U) v- Qin -imo ,2Q3: Q ° 7 a : ot; r i k / 7k20) $ 0 _ 4 £ T- = E q C/) 3 3 0 .g o700C14 r § oC eL- / . o E E E O § 2 c I1) c 22 @ 0 E cu v T- E E £ o 0q004 - ( D 0 C E q ® > D £ Lu 0 2 q 0 § \ cn LDLuQ- c LD @ O R (n U 5 Lu M _ ( 0 O Q ) C 0 E0 2mT- Q ID- X NO N r ID c o fA N O N mT o a Q a v 0 CL U) ° a X FM- s a Eu n A H a V qq v O O 8 L L'l 4 QV N rx v 0 c mau, a q A eS m m r K @ § ! ( § | k § § f @ j : \ 22 E , R ; t ; % 2 \ 2 § m ; t A/ 3 - l2J . J f \ 7 7 k7> Q @ 2 a} 2 2 Z 2 - d 6 c O 7$ 2 3 K SC ti\ r \ X ... In 7 - z / M-5.,/ 2 / oil. G E> ig \° 5 J} o y g 7 \ t « E; L a L L O O N cu O) (b a) 0) i(n2c6 N OU §OUO) 0) 0a) 0) O N.c a) O to L0 "- < cu ENE cNi0a)a)O a) a)a)L ai c NUO >+OF c>LE ` Via) -0 o Q —moa) cv=Q a) Cc:. > a 0 E cQ coo cu L- 0°o : o ca c a o QLlu) L o rn Q 5U CtQa) aa)) a`))m ?c -" o ) aa)) aUi0) 45CU U) a) Q ca > > UO O t— (n tea) o L U CU 0- ,0 E nom (6.N OOa) OL U cu U-NUL >>C cu - cu a) a) Q(6 •— —Q 0-0c - V- O L0) 0 2c Oa) cu a))N:=, i0 70 Q° cow airn LQ. LVa)cu u) cua) UcL 2 cu O CU2E cuL +- Ouc6iai cv" o SON ooCU a>)"- C:C-) H L cucu ouio o2 U .Eo C.) N U o 0CU.- a o-ACL, L a Q u cU Q U 0=3 0 Q SNL Q 0 Q 2 o E q 66 @§ Q- / k " k k/ CU @,2 " %f 70 f\ 5/ §mak /O j@ft CUO @ cn/ %® '-2 /f/ @m® ohm f£ @ @ .2E < 2 'q Vim£ CU 2@w E EJy G ± ® @ca- CURL- / CN y_ 7o (D kJ\, m a 2 w CUy ®q >¥ CN E f@@ e 20 % S me CL S % CU C % % 2 E §cu E w._p ui 0 (D o y , C9 6 ttl o , 4u 'o q N N Na Q W m D W o z f g L yt4v paa F* .... C3w w rn V uzw ulw w' u w r gpriMd' in !n r ee Q5 p —+ U cj a w u cu ` Wcu " eu cjm z r c-a vq r-- 3 bij ai, r4 o r l u Pj u p F-1 F-• H cu a i a tl 4 w- %6 1 r Q6 C LL 4 J / 06 o @ 0 a \ C) G O S J 2 k cu c k 0) § 2 f LL ? § C:E / cn 00 %k o a) u) / u) //_ / 0 CU §/ m\ 2 S E ƒy k k oCU %o k / Ek/?/ U) aj \ /ƒ )2 2 F22 \ § ( mCU q $$ ® %// £ 02 E ± @ 0 y @ 0cn c @ @ S § Q @ Gm E ako y / U—cu k 2 \ 92 / 22 §4-0 ƒ% 'k5 k 7 % 0-2k 0 ) F/ 522255 ± 27 0 2 \Emw EJ o @@ mm@ @ - o f / ° c0E2 E7 " c E CEU 3 f § 2j j/ 3- 0cu- U) X72 0-2 @ ' - 0 C a)f O E D-@LU@@fB \ E2/ § 0f2F / S6b S §72/ / r >7® > 00 20 2.2 r r0.- a % B0-- m . =3-2 c 2 o- a)J q o- ch% § 0 E f/ L 0- L L U f o.£ f. o 2 2 2 2@ 2« o 4 J1 P r m. I S J 1 Ijj;• N3 3 w LO O O O 00 O 00 C V V O LO H L 3 0 a coa 0o 0Zac Qa. o w