9/30/2015 Triennial Review Process 8 Basic Steps Pre- Review Review Package Scoping ERM Site Visit Findings Summary Draft Report Final Report Corrective Actions Pre-Review (FTA and Contractor): • Review grantee historical information • Overview current status • Answer questions in Grantee Information Request package (GIR) • Contact grantee regarding site visit dates • Prepare and send GIR to grantee 7 Triennial Review Process 8 Basic Steps Pre- Review Review Package Scoping ERM Site Visit Findings Summary Draft Report Final Report Corrective Actions GIR must be returned to the reviewer within 40 business days: • Grantee profile • Questions in 17 areas • List of requested documents • Preliminary site visit schedule 8 Triennial Review Process 8 Basic Steps Pre- Review Review Package Scoping ERM Site Visit Findings Summary Draft Report Final Report Corrective Actions Scoping - Enhanced Review Module (ERM) Common Triggers • Repeat/open findings • Other review/audit findings • Problems in closing past findings • Complaints • Inadequate reporting to FTA • number of contractors or subrecipients • Events that are unusual or generate news • Multiple issues in an area 9 c i
9/30/2015 Triennial Review Process 8 Basic Steps Pre- Review Review Package Scoping ERM Site Visit Findings Summary Draft Report Final Report Corrective Actions Draft Report • Issued within 21 business days of exit conference • Grantee asked to check for accuracy and comment within 10 business days • If applicable, ERM(s) findings included 13 Triennial Review Process 8 Basic Steps Pre- Review Review Package Scoping ERM Site Visit Findings Summary Draft Report Final Report Corrective Actions Final Report • Issued by FTA within 14 business days of grantee’s response • Includes final determination of findings, corrective actions, and closed findings 14 Triennial Review Process 8 Basic Steps Pre- Review Review Package Scoping ERM Site Visit Findings Summary Draft Report Final Report Corrective Actions Corrective Actions • Submit corrective actions by due date or earlier • Open findings or late corrective actions can lead to Specialty Review(s) being requested as follow-up and/or ERMs in next review 15
9/30/2015 A Few Changes of Note • Check FTA website for other program changes • Third Party Contracting FTA C. 4220.1f • Bus and Bus Facilities FTA C. 5100.1 • Joint Development FTA C. 7050.1 • Enhanced Mobility for Seniors and Persons with Disabilities FTA C. 9070.1G • Use of piggybacking and state contracts 19 A Few Changes of Note • Significant Civil Rights changes • ADA Demand Responsive Service -- Clarified complementary paratransit options for “same vehicles as fixed route” • Deleted “common wheelchair” definition • Clarified complementary paratransit no- show policy • ADA Final Rule on Reasonable Modification • Title VI FTA C. 4702.1B 20 A Few Changes of Note • Significant Civil Rights changes • Changes to DBE regulation (49 CFR Part 26) effective November 2014 21
9/30/2015 1. Financial Management Potential for ERM and Capacity Continued Typical Findings and Corrective Actions: ECHO problems Revise ECHO procedures Cost allocation plan lacking Unliquidated obligations discrepancies Open audit issues Insufficient financial planning FTA funds held more than 3 days allocation plan Submit correct FFRs (and MPRs) Close audit findings Develop financial plans Update FTA funds disbursement procedures 34 1. Financial Management Potential for ERM and Capacity Question: Continued A grantee is deficient if it does not have a short term financial plan showing financial capacity. True or False? Fuel is an eligible preventive maintenance expense. True or False? 35 1. Financial Management Potential for ERM and Capacity Question: Continued A grantee is deficient if it does not have a short term financial plan showing financial capacity. True Questions 12-13 Fuel is an eligible preventive maintenance expense. d e o
9/30/2015 Potential for ERM 2. Technical Capacity Question: Continued Funds may remain in a grant after the project is completed. Those funds, if within the period of availability, may be reprogrammed to other projects. True or False? Funds deobligated within the period of availability are available for reobligation to a new grant. True or False? 49 Potential for ERM 2. Technical Capacity Question: Continued Funds may remain in a grant after the project is completed. Those funds, if within the period of availability, may be reprogrammed to other projects. True Funds deobligated within the period of availability are available for reobligation to a new grant. True Question 19 50 Potential for ERM 3. Maintenance What are the basic requirements? • The maintenance of federally funded equipment and facilities in good operating order throughout their useful life • The maintenance of ADA accessibility features to ensure full access to federally funded programs 51
9/30/2015 Potential for ERM 3. Maintenance Question: Continued The grantee is deficient if its preventive maintenance program does not address vehicle accessibility features. True Question 16 The grantee must complete 80 percent of preventive maintenance inspections on time for all facilities and equipment. False Question 21 – required for “mission critical items” 61 Potential for ERM 4. ADA What are the basic requirements? • No discrimination against persons with disabilities • Provide accessible facilities and services that meet requirements • Ensure subrecipient compliance 62 Potential for ERM What’s new? 4. ADA Continued • Term “common wheelchair” deleted • Recognition of trip frequency in no-show policy • Examination of trip denials, excessively long trips, missed trips and on-time performance • Demand response ADA and fixed-route service in one vehicle 63
9/30/2015 15 Potential for ERM What’s new? 7. DBE Continued • 2014 Issuance of regulation – Additional consultation requirements, effective August 1, 2015 – New reporting form, effective June 1, 2015 – Personal net worth (PNW) form – Annual Unified Certification Program (UCP) report – DBE termination/substitution 97 12 Potential for ERM What’s new? • Goal setting 7. DBE Continued – Transit vehicle purchases – All projects – Race neutral and race conscious goal setting – Zero-percent overall goal 98 11 Potential for ERM What’s new? • Goal achievement 7. DBE Continued – Shortfall corrective action letters – Race neutral and race conscious participation – Annual Unified Certification Program report 99
9/30/2015 14 Potential for ERM What’s new? • Goal achievement 7. DBE Continued – Response from bidders – Reports from DBEs on not receiving committed work – Impact of small business element on DBE achievement 100 13 Potential for ERM What’s new? 7. DBE Continued • Reconciling semi-annual reports to internal records • State certification issues 101 Potential for ERM 7. DBE Continued What is being examined? • Results and/or status of past oversight reviews, audits, complaints, bid protests, goal achievement, timely reporting, goal submittal, and certification issues Questions 1-13 • DBE resources, responsibilities, and reporting relationships Questions 14-16 102
9/30/2015 Potential for ERM 7. DBE Continued What is being examined? • Prompt payment procedures including retention Question 26 • Monitoring of subrecipients, contractors and projects Questions 27-28 106 Potential for ERM 7. DBE Continued What is being examined? • Procedures for completing semi-annual and UCP reports Questions 29-30 107 Potential for ERM 7. DBE Continued What may trigger an ERM? • Complaints/protests • No DBE program with relatively large amount of FTA funding • Problems identified in semi-annual reports 108
9/30/2015 9. Satisfactory Continuing Control Continued What is being examined? Equipment • Equipment management, tracking, and inventorying Questions 8-12 121 9. Satisfactory Continuing Control Continued What is being examined? Equipment • Control of leased equipment and rolling stock, including 5310 leases Questions 13-15 • Proper handling of premature removals and disposals of FTA-funded assets Questions 16-20 122 9. Satisfactory Continuing Control Continued What is being examined? Equipment • Fixed route spare ratio Question 21 • Bus contingency fleet/rail fleet plan Questions 22-23 123
9/30/2015 10. Planning/Program of Projects (POP) What are the basic requirements? • Participate in the planning process • Comply with POP public participation requirements 127 10. Planning/POP What’s new? Continued • MAP-21 requirements for transit representation on Metropolitan Planning Organization (MPO) policy boards in Transportation Management Areas (TMAs) • Removed questions on coordinated planning efforts • Reliance on the Transportation Improvement Program public participation process does not need to be stated in the metropolitan planning organization’s public participation plan 128 10. Planning/POP What is being examined? • Status of Planning Certification Review participation and planning findings Questions 1-2 Continued • Participation in the metropolitan planning process Questions 3-4 • Compliance with public participation requirements Question 5 129
9/30/2015 How Agencies Prepare • How has your agency prepared for a Triennial Review in the past? • What were the “obstacles” and problems you faced organizationally? 175 From Workshop to Your Organization • Review each area with appropriate personnel • Conduct an internal review • Make corrections and process/policy changes where necessary 176 Process Improvements • What suggestions would you have for the reviewers to make the process more efficient and effective? • Are there any changes you would recommend for the Workbook? • How can we improve the Workshop? 177
15. “New Freedom Program Guidance and Application Instructions” 16. “The Job Access and Reverse Commute Program Guidance and Application Instructions” 17. “Enhanced Mobility of Senior and Individuals with Disabilities Program Guidance and Application Instructions” 18. “Capital Investment Program Guidance and Application Instructions” 19. 20. of Award for FTA Public Transportation Emergency Relief Programs USEFUL WEBLINKS Flexible Funds: FHWA and FTA Programs Electronic Clearing House Operation ( Grantees