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101 N. 1st Ave. Suite 1300
Phoenix, AZ 85003
valleymetro.org
602.253.5000
February 5, 2021
ARIZONA LOTTERY FUND APPLICATION
Dear ALF Recipient
We are pleased to begin the application process for the FY 2021 ALF funds. Revenues are budgeted
at $11.2 million. To receive the funds agencies must apply annually. The attached application is self-
explanatory. Please pay attention to the required signatures of financial officers and the jurisdiction’s
appropriate authorizing agent (city or county manager, program director, etc.). There are two other
attachments: application instructions and guidelines which highlight and clarify certain aspects of this
year’s process, and a chart showing the allocation of funds to each agency or jurisdiction.
Applicants are required to provide more detailed information about the services or projects that will be
funded with Arizona Lottery Funds than has been provided previously. Additional space has been
provided on page two of the application form for this purpose. Concurrently in the Annual Report and
Expenditure Certification, due after June 30, 2021, the project narrative should include a status of the
project included in the original application and quantifiable data such as number of trips, miles and/or
hours of service provided. If funds were used for a capital related project the status of the project,
percentage complete, vehicles purchased, shelters installed, bus bays constructed and other relevant
project related information.
Valley Metro distribution of funds to jurisdictions is anticipated to be near the end of April 2020. In order
to be eligible for a distribution, the completed application must be returned to Valley Metro by the close
of business on March 19, 2021. Please note that distributions may be withheld to jurisdictions which
have not submitted their FY2020 Annual Report and Expenditure Certification. If you wish to opt out of
the program for FY 2021, please submit a letter or email to this effect to Valley Metro indicating your
jurisdiction does not wish to participate in this year's program. Additional instructions are provided
in the attachments.
If you need assistance or have any questions, please don’t hesitate to contact Jeff Dolfini by email at
jdolfini@valleymetro.org or by phone at (602) 523-6012.
Sincerely,
Paul Hodgins
Chief Financial Officer
c: Intergovernmental Representatives
Transit Managers
1
ARIZONA LOTTERY FUND
APPLICATION INSTRUCTIONS AND GUIDELINES FOR
ELIGIBLE RECIPIENTS
INTRODUCTION AND GUIDELINES
Maricopa County and jurisdictions within the county that receive Arizona Lottery Fund (ALF) funding are
required to use the funding for public transportation. There is no local match requirement for these
funds. Following is a general outline of eligible expenditures and recipients. Attached is a
Glossary that further describes the terminology used in this document.
Public transit is defined as any service, vehicle(s), or support facility for a vehicle(s), intended for the
purpose of conveying multiple passengers (i.e. typically 5 or more (1)) and which meets applicable state
and federal safety and accessibility laws, rules, and regulations. The definition also includes the
planning and administrative support for such services. It is the intent of the program to provide funds for
the purpose of providing transit service or facilities that is publicly available to the following populations:
•
The general public;
•
Elderly persons;
•
Persons with disabilities;
•
Welfare recipients and “low-income” persons engaged in employment activities.
Funding will be distributed directly to eligible jurisdictions in the county and includes Maricopa County,
and cities and towns within the county.
In the case of private, not-for-profit agencies and private, for-profit transit providers, the city, town, or
county receiving the ALF funding must enter into a contract or grant agreement with the proposed
operator to provide the transportation service that is approved by its governing body. The contract
and/or grant agreement, accompanied by Board or Council resolution, must be available to Valley
Metro as evidence of the agreement.
Jurisdictions may enter into agreements to share ALF funding to provide eligible public transit services
across jurisdictional boundaries in order to meet the mutual public transit needs of the jurisdictions
involved. Additionally, funds may be utilized to provide “vouchers” or other remuneration for
services rendered to for-profit transportation companies when there is clear evidence that the service
is for the general public, special needs population, or “low-income” and “welfare to work” employment.
Projects must be included in or compatible with the adopted Regional Transportation Plan. Additionally,
use of ALF funding implies that all applicable state and federal Civil Rights statutes are to be complied
with in the provision of services rendered with these funds, including but not limited to, Title VI of the
Civil Rights Act and the Americans with Disabilities Act. It is the responsibility of each community
within the county in receipt of the funds and any end-use (grant or subcontract) recipient to be familiar
with all portions of State and Federal Motor Vehicle Safety Standards, Motor Carrier, and Motor
Vehicle Division regulation requirements, restrictions, and conditions.
(1) Some “special needs,” “dial-a-ride,” or other demand-responsive or carpool vehicles may have capacity of less
than 5 passengers, and include vehicle types such as sedans or station wagons.
2
Eligibility
To be eligible Maricopa County and jurisdictions within the county must apply for funds annually, up to
the amount indicated in the annual allocation. These funds have historically been used to support a
variety of projects including transit operations, vehicle purchases, transit facility or amenity construction,
and transit planning.
Subject to consultation with Valley Metro jurisdictions may work together to combine applications where it
is mutually beneficial to do so from an operations or procurement perspective. Regardless, these
applications must have the prior approval of Valley Metro, for such an arrangement and a signed letter of
agreement between the city, town, or county manager must be received.
While not directly eligible as primary or first tier recipients from Valley Metro, local private-non-profit
(PNP) agencies providing special needs transportation may approach local jurisdictions for all or a portion
of its ALF allocations to support their transportation operations as sub-grantees of the primary recipient
jurisdiction. These agreements are made between the jurisdictions and PNP and may or may not include
local matching fund assistance from the PNP or local jurisdiction, which is at that jurisdiction’s discretion.
Any such transportation provided by the PNP must qualify as public transportation to be eligible for the
funds.
Application Process
The application process is straightforward and for the most part self-explanatory. The spreadsheet
includes two tabs. The first is a summary page with information about the applicant and a summary of the
funding request. The second tab is for the project description(s). There is room for two projects on the
tab. If more space is required simply copy the page as many times as needed. The funding totals for the
projects should carry forward to the summary application page.
Please provide specific descriptions for projects. Support for fixed route and paratransit services
should be reported as separate projects. If ALF is intended to support fixed route services, please
provide specific routes that will be supported and whether the funds will be used for existing or
expanded service levels.
The proposed projects must be included in or compatible with the adopted Regional Transportation Plan.
Planning projects should be included in the adopted Unified Planning Work Program (UPWP) and capital
projects should be included in the adopted Transportation Improvement Program (TIP). The grant funds
do not require a local matching share.
Completed applications can be e-mailed to jdolfini@valleymetro.org. The application should be signed
and scanned when submitting through e-mail. We will review your submission and reply promptly of
acceptance or rejection of the application. We will also accept paper applications, but they have to be
received in the Valley Metro offices by the due date indicated in the cover letter.
If a recipient elects not to make application for funding, it forfeits all rights to the funds allocated to that
entity, and must submit a letter to this effect to Valley Metro indicating it does not wish to participate in
this year's program. The letter needs to be signed by the County Manager or City or Town Manager or
their proxy. The applicant also should understand that funds do not revert or otherwise flow back to that
entity's ALF account or allocation for the following year, but will be used by Valley Metro within the region
to support public transit activities, at the discretion of the Board of Directors.
3
ALF ELIGIBLE PUBLIC TRANSPORTATION EXPENDITURES
Planning and Training Related Expenses
ALF funding may be used for transit planning studies or portions of planning studies focused on transit
planning needs for the community. Additionally transit training activities are eligible and include:
•
Short and long range transit related plans and programs to develop, implement, or enhance transit
patronage;
•
Transit training for activities related to transit procurement and operations and travel training; and
•
Transit related memberships in organizations and associations associated with transit activities.
Capital Expenses
Capital expenses include the acquisition, construction and improvement of public transit facilities and
equipment needed for a safe, efficient and coordinated public transportation system. Examples of eligible
capital expenditures include, but are not limited to:
•
Fleet including buses, vans or paratransit vehicles;
•
Light and rapid rail construction projects;
•
Radios and communications equipment;
•
Passenger shelters, bus stop signs, and similar passenger amenities;
•
Vehicle rehabilitation, remanufacture, or overhaul;
•
Storage or maintenance facility construction or rehabilitation;
•
Extended warranties which do not exceed the industry standard;
•
Operational support such as computer hardware or software;
•
Installation costs; vehicle procurement, testing, inspection and acceptance costs;
•
Construction or rehabilitation of transit facilities including design, engineering and land acquisition;
•
Provide access or equipment for bicycle transport on transit vehicles or to transit facilities;
•
Lease of equipment or facilities when lease is more cost effective than purchase;
•
Transit related intelligent transportation systems, (e.g. passenger information kiosks, scheduling
technology, vehicle locator or tracking systems, and road and weather information systems).
Operating Expenses
Operating expenses are considered those costs directly related to system operations. At a minimum,
the following items are considered operating expenses:
•
Fuel and oil for vehicles, and vehicle maintenance costs;
•
Transit employee salaries and fringe benefits;
•
Licenses;
•
Insurance;
•
Facility rental (appropriate to transit related operations);
Other Eligible Expenses
Additional expenses related to public transportation are also eligible for ALF funding and include:
•
Marketing and administration of Transportation Demand Management programs to encourage
reductions in travel and promote alternative modes of travel such as; carpooling, vanpooling,
walking, bicycling, and alternative work schedules.
•
Marketing to advertise and/or promote transit service in the service area.
•
Expenses related to financial reporting requirements related to ALF.
4
Exceptions
If the grant recipient or end-use provider has a situation that varies from the eligible recipients and
expenditures outlined above, it must contact Valley Metro to seek clarification regarding eligibility.
Two Year Expenditure Limit and Extensions
Funds distributed to Maricopa County and jurisdictions within the county must be utilized within two years
from the date of distribution by Valley Metro. If an entity does not expect to expend all of its funds
within this timeframe, it must submit a letter to Valley Metro requesting an extension if it wishes to retain
those funds. Extensions are granted for a maximum of one (1) year. Granting of an extension is not
automatic and requests are subject to Valley Metro review. If an entity does not meet the two-year
expenditure limit and does not request an extension unspent funds are subject to remittance to
Valley Metro and/or the jurisdiction may be ineligible to receive future allocations of funds until
the jurisdiction submits an acceptable plan to spend the funds on valid transit projects.
Annual Report and Expenditure Certification
Within 120 days after the end of each fiscal year (June 30) the recipient must submit to Valley Metro a
Financial Report that includes all ALF funds received by year and a summary of expenditures to date for
each category in the agency’s financial system. Failure to submit a timely report may result in
withholding or potential forfeiture of future disbursements from the ALF Program.
The report must also include a project narrative. The project narrative should include a detailed
description of the service provided, qualitative description of program measures that impacted the
availability of transportation services as a result of the project(s). Examples include geographic coverage,
service quality and/or service times and milestones accomplished. Statistical information may include
number of one-way trips, number of revenue miles or revenue hours provided by route, and/or total hours
of demand service provided.
If funds were used for a capital related project(s) provide a detailed description on the additions or
changes to environmental infrastructure (e.g. transportation facilities, bike paths, shelters installed,
sidewalks, etc.) technology, vehicles purchased that impacted the availability of transportation services
as a result of the project(s) during the reporting year.
The report should provide relevant information about the project(s) described in the original application.
The report does not need an external auditor certification. The jurisdiction will self-certify. The report
should be certified by the jurisdiction’s chief financial officer, city controller or finance director. Valley
Metro may require a review by an outside audit firm at its discretion.
Forfeiture of Funds
If a jurisdiction within the county elects NOT to make application for funding for a particular year, it forfeits all
rights to the funds allocated to the jurisdiction, and must submit a letter of acknowledgement to this effect
to Valley Metro indicating it does not wish to participate in this year's program. The letter needs to be
signed by the ranking County Manager or City or Town Manager or their proxy. The applicant also
should understand that these funds and any funds returned to Valley Metro do not revert or otherwise
flow back specifically to that entity's ALF account or allocation for the following year, but will be used by
Valley Metro within the region to support public transit activities.
5
GLOSSARY OF TERMS
ALF – Arizona Lottery Fund is judicially mandated funding currently derived from Powerball lottery
revenues and provides public transportation funding in Maricopa County. These funds were formerly
distributed through the Local Transportation Assistance Fund (LTAF), which was eliminated in 2010.
General public - Describes all individuals, regardless of age, race, minority status or physical or mental
condition.
Elderly persons - Describes persons who are 60 years of age or older.
Persons with disabilities - Typically describes individuals with irreparable or otherwise chronic, long-
term physical or mental impairments that impede significant life functions. As the term is used here, a
“disability” does not typically imply or involve temporary or otherwise non-recurrent injury or impairment
due to accident or illness.
Public Transportation or Transit - As defined in A.R.S. 48-5101.8 "Public transportation" means local
transportation of passengers by means of a public conveyance. For the purposes of the ALF Program, the
terms "Public Transportation" and "Transit" are interchangeable.
Welfare Recipient and Low Income Employment Activities - Describes service which is oriented to
persons who are either welfare recipients or are under the federally defined “low income” threshold
(see following definitions), who require transportation to government or privately-sponsored
employment or employment programs, including but not limited to traditional “welfare-to-work” programs
such as Access to Jobs, Temporary Assistance To Needy Families (TANF), etc.
Welfare Recipient - An individual who receives or received aid or assistance under a state program
funded under Part A of Title IV of the Social Security Act (whether in effect before or after the effective
date of the amendments made by Title I of the Personal Responsibility and Work Opportunity
Reconciliation Act of 1996 (Public Law 104-193); (110 Stat. 2110)) at any time during the three-year
period before the date on which the applicant applies for a grant.
Low-Income Individual - An individual whose family income is at or below 150 percent of the poverty
line (as that term is defined in Section 673(2) of the CSBG Act (42 U.S.C. 9902(2)) including any revisions
required by that section for a family of the size involved, as calculated by HHS. The 1999 guidelines were
published in the March 18, 1999, (Volume 64, Number 52) Federal Register, page 13428-13430, and are
available on the web at [http://www.aoa.gov/network/99hhspov.html].
A provider may place conditions on passenger age if it can document that it is not generally appropriate to its
clientele group (such as a senior program), or cannot provide service to that individual(s) in a safe and responsive
manner. An example of such a condition may be that service to a child under a specific age cannot be provided
unless a travel assistant or guardian accompanies them. Situations may arise where it is permissible for a service
provider to refuse to provide transportation to an individual(s). One such condition is when it can be documented that
service cannot be provided in a safe and responsible manner to the individual(s), the passengers, or the
driver/operator -- based on an assessment of the individual’s condition and/or behavior or driver/operator’s skills
and capabilities. See the Americans with Disabilities Act (ADA) for further detail on what limitations may be placed
on boarding refusals or operator-initiated de-boarding actions en route. Also see the ADA for other limitations or
required service conditions such as service animals, medical equipment, and travel companions or assistants.
Updated 7/2/19
2015 Population (1)
% of County Population
FY 2021 ALF
Amount (2)
Apache Junction
305
0.007%
838
$
Avondale
79,476
1.950%
218,360
$
Buckeye
62,541
1.534%
171,831
$
Carefree
3,566
0.087%
9,798
$
Cave Creek
5,543
0.136%
15,229
$
Chandler
245,168
6.014%
673,598
$
El Mirage
33,655
0.826%
92,467
$
Fountain Hills
23,508
0.577%
64,588
$
Gila Bend
1,991
0.049%
5,470
$
Gilbert
233,881
5.737%
642,587
$
Glendale
236,222
5.795%
649,019
$
Goodyear
75,550
1.853%
207,573
$
Guadalupe
6,093
0.149%
16,740
$
Litchfield Park
6,152
0.151%
16,903
$
Mesa
466,450
11.443%
1,281,570
$
Paradise Valley
13,735
0.337%
37,737
$
Peoria
162,055
3.975%
445,245
$
Phoenix
1,536,015
37.680%
4,220,195
$
Queen Creek
32,959
0.809%
90,555
$
Scottsdale
233,524
5.729%
641,606
$
Surprise
126,343
3.099%
347,127
$
Tempe
173,868
4.265%
477,702
$
Tolleson
6,895
0.169%
18,944
$
Wickenburg
6,681
0.164%
18,356
$
Youngtown
6,510
0.160%
17,887
$
Maricopa County
297,753
7.304%
818,075
$
Totals
4,076,439
100.00%
11,200,000
$
Maricopa County Population
4,076,439
Estimated Allocation
11,200,000
$
(1) Population source MAG Population estimates July 1, 2015
(2) FY 2021 budget allocation
FY 2021 Arizona Lottery Local Transportation Assistance Fund Distribution
2/5/2021