The grantee will evaluate, change and incorporate any management practices needed to meet the Federal requirements and the State’s expectations outlined in the contract prior to the initiation of the project.
Modifications to the Project Scope, Purpose or Budget in the Contract
Budget Revision: A budget revision, sometimes referred to as a Change Request, includes a transfer of funds between or among the budget categories within an approved budget or a transfer to new categories of eligible expenses. A budget revision does not change the total dollar amount of the contract. Budget revisions are requested with written justification in EBS (
Link).
- No more than two budget revisions are allowed per year, per project budget. Revisions may be submitted semi-annually in the months of December and June.
- Budgets must be reconciled before final payment can be made; this includes items in overdraft.
- Funds from one project budget cannot be transferred to another project.
- Budget revisions must account for expenses to date when decreasing a line item.
- The budget revision must be approved in writing in advance of incurring the costs. If not, IMD reserves the right to disallow or limit the amount of reimbursement.
- Some budget revisions are prohibited, or they include restrictions. See the Project Budgeting guidelines in the Application Section.
- If requesting changes to salaries, you must complete a Salary and Wage Detail revision form and submit it with the budget revision request.
POP Extension: A Period of Performance (POP) extension must be requested if additional time is needed to assure adequate completion of the project. Requests for extensions must be submitted in writing at least sixty (60) days before the end of the current performance period. Extensions will only be granted if reasonable progress has been made on the project based on the documentation.
Budget Amendment: A budget amendment request is required if an increase or decrease to the approved project budget is needed due to changes in the scope or changes in the number of units to be purchased within the contract period. Requests must be submitted in writing to assigned IMD staff and include a justification for the proposed change(s). No budget amendment expenditures will be allowed until it has been reviewed by IMD; it has been approved by the NC Board of Transportation; and an amended grant agreement has been executed.
Administrative Amendment: An administrative amendment to the contract is normally initiated by IMD to modify or clarify certain terms, conditions, or provisions of the contract to comply with new regulations, change the source of funds or correct the recipient’s name.
Progress Reporting: A report describing the progress the grantee is making toward the completion of a project must be submitted to IMD on at least a quarterly basis or with each reimbursement claim.
Record Retention and Access to Records: Paper and electronic records pertaining to a project should be maintained for five (5) years after project closeout. Records must be stored in a dry, secure space that is free from pests and mold. Electronic records should be backed‐up routinely and a copy of the electronic files maintained in another location. It is allowable for the grantee to have stricter local policies. All records should be readily available for review.
Governing Board Role: The Governing Board has the legal and fiduciary responsibility of the organization. This board is the final authority on all business conducted by the organization and has the overall responsibility for ensuring the agency’s compliance with Federal and state requirements during the project. Signed minutes of each meeting of this board must be kept on file. If the grantee is an organization that provides transportation services only, the governing board may also serve as the Transportation Advisory Board.
Transportation Advisory Board (TAB): IMD requires that each rural transportation system have a county commissioner approved, actively engaged transportation advisory board that meets at least quarterly.
- It should be made up of stakeholders in the community that represent agencies and businesses, passengers served by the public transit system and others that share an interest in community services. All agencies with transportation needs must be considered for membership on the TAB.
- It can be demonstrated that a good faith effort to recruit minorities and ethnic groups represented in the service area to serve on the TAB has been completed.
- It is expected to discuss unmet needs of the elderly, minority, disabled, Limited English Proficiency (LEP), and low-income populations within the service area.
- It should provide input into the system's service quality, policies, service design and performance, and challenge the organization to be more sensitive to community needs.
- TAB meetings must be open to the public and the Grantee must keep on file the signed minutes of each meeting.
- Annually‐signed Conflict of Interest Forms must be submitted from all TAB members for designated CTs and all Board of Directors members of other IMD subrecipients.
Maintaining Capacity: A grantee must maintain the technical and financial capacity to perform the project activities in the manner described in the application and throughout the period of performance.
Coordinated Human Service Agency Transportation: Rural transit service providers are expected to provide contracted transportation services for human service agencies in accordance with the following guidelines:
- Non‐contract services cannot be denied or rescheduled on a routine basis to provide contract services.
- Transit providers must have a written contract with each human service agency receiving transit services.
- Vehicle scheduling must be under the control of the grantee. Contract services and non‐contract services must be coordinated and dispatched in the most efficient manner possible. Service must be provided as contracted. In case of emergencies, inclement weather, etc. the IMD Compliance Officer must be notified in writing of date, time, and reason(s) for service cancellation.
- Contract service rates must be fully allocated.
- Rural transit providers cannot use vehicles that are 80% funded with 5311 funds to provide contract services for human service clients living in an urbanized area.
- A staff person must be assigned to manage the contract and assure federal compliance.
- Ensure all human service transportation needs are being met in their community.
Required Project Management documents/policies:- Open Meetings Policy
- Conflict of Interest/Ethics Policy
- Grants Management Procedures
- Records Retention and Storage Policy (include paper and electronic)
- Continuation of Operations Plan (COOP)
- TAB Handbook and Bylaws
- Travel Policies (includes state reimbursement limits from project funds)
- Contract Rate Policy
