# Presentation: 699684

## PROCUREMENTOVERSIGHT REVIEWS AND YOU! 

## Oversight Program

-  Risk Assessment conducted each year by FTA Regional Staff
-  Grantees are assigned a risk category based on answers to questions
-  Grantees are grouped into Risk Categories
- High Risk
- Medium Risk
- Low Risk
-  A Multiplier is assigned to a grantee with a large number of open grants and a large dollar value in open grants.

## Oversight Program

-  Based on the Risk Score and Risk Ranking, Grantees may receive additional Oversight.
-  This Oversight can take the form of:
-  Oversight Reviews
-  Regional Technical Assistance
-  Training

## Program Overview

- Triennial Review
- Procurement System Review
- Financial Management Oversight Review
- Combined State Management/Triennial
- State Management Review
- Intelligent Transportation Systems Review

## Program Overview

- Civil Rights –
- ADA Fixed Route
- ADA Complimentary Paratransit
- ADA Key Station
- DBE
- Title VI
- EEO

## Program Overview

- Transit Safety and Security
- Drug and Alcohol Program
- Safety and Emergency Management
- Security Audit
- State Safety Oversight

## Findings by Year

- 2007:  7 Reviews 68 Findings
- 2006:  7 Reviews 34 Findings
- 2005:  13 Reviews 65 Findings
- 2004:  7 Reviews 48 Findings
- 2003:  7 Reviews 28 Findings
- 2002:  11 Reviews 26 Findings

## Findings by Area (Total Findings – 270)

- 23  Safety and Security			0
- 22  Suspension and Debarment	0
- 21  School Bus					1
- 20  Drug Free Workplace			2
- 19  Intelligent Transp. Systems	4
- 18  Public Comment on
- Service/Fare Changes			4

## Findings by Area(Total Findings 270)

- 17  Legal						4
- 16  Half Fare					4
- 15  Lobbying					4
- 14  EEO						4
- 13  Planning/Program of Projects	5
- 12  Title VI						6

## Findings by Area(Total Findings 270) 

- 11 Buy America					11
- 10 ADA						11
- 9  National Transit Database		12
- 8  DBE							13
- 7  Charter Bus					14
- 6  Financial						15

## Findings by Area(Total Findings 270)

- 5  Satisfactory Continuing Control	22
- 4  Maintenance					28
- 3  Technical					29
- 2  Drug & Alcohol Program		36
- 1  Procurement					41

## National vs. Regional Comparison

- 	FINDING	National %	Region VII %
- Procurement	12.4%		15.2%
- Maintenance	11.5%		10.4%
- Technical		10.0%		10.8%
- Drug & Alcohol	9.6%		13.4%

## Top Five Findings

- 5  Satisfactory Continuing Control
- 4  Maintenance
- 3  Technical
- 2  Drug & Alcohol Program
- 1  Procurement

## 5) Satisfactory Continuing Control

- Inadequate Equipment Records
- Excessive Spare Ratio
- No Contingency Bus Plan

## 4) Maintenance

- Late vehicle preventative maintenance
- Facility Plan Lacking
- Inadequate oversight of contracted maintenance activities

## 3)  Technical

- Inadequate grant procedures
- Progress reports lack technical information
- Inactive grants

## 2)  Drug & Alcohol

- Sub-recipients not monitored
- Policy out of date
- D&A policy lacking required elements

## 1) Procurement

- No Federal clauses
- No cost analysis
- Geographic preferences listed in spec
- No sole source justification
- No written procurement history

## Triennial Review Workshop

- Kansas City Plaza Marriott
- March 27-28, 2008