0 in 3: How to Avoid the Most Common Triennial Review Findings


Published on

From the 2009 Public Transit Industry Fall Conference & Expo.

Published in: Education, Health & Medicine
  • Be the first to comment

  • Be the first to like this

No Downloads
Total views
On SlideShare
From Embeds
Number of Embeds
Embeds 0
No embeds

No notes for slide
  • This is when you begin for the next review Create a schedule or a timeline Start right away Review and Rectify Deficiencies Clear? If not get clarification Document, document, document Execute your FTA recommendation Ways to ensure you get it done Post tasks for yourself on calendar, i.e.. Outlook, Blackberry, etc. Setting goals/tasks with Colleagues 3 Years go by very quickly It is Really Hard to Remember 3 Years Later
  • 0 in 3: How to Avoid the Most Common Triennial Review Findings

    1. 1. New York Public Transit Association Fall Conference FTA Triennial Review Program FY 2010 US Department of Transportation Federal Transit Administration Washington, DC
    2. 2. Triennial Review Process Grantee Perspective <ul><li>Prepare for Review </li></ul><ul><li>Top Level Support </li></ul><ul><li>Communicate with FTA </li></ul><ul><li>Conduct Self Assessment </li></ul><ul><li>Attend Workshop </li></ul>
    3. 3. Grantee Perspective Prepare for Review <ul><li>Start Preparing for the next review the day the Review Team Leaves </li></ul><ul><ul><li>Review and Rectify Deficiencies </li></ul></ul><ul><ul><li>Implement your FTA recommendations </li></ul></ul><ul><ul><li>Ways to ensure you get it done </li></ul></ul><ul><ul><li>3 years go by very quickly </li></ul></ul>
    4. 4. Grantee Perspective Top Level Support <ul><li>Their Buy-in is Critical </li></ul><ul><li>What’s in it for them? </li></ul><ul><li>Consequences for non-support </li></ul>
    5. 5. Grantee Perspective Useful Resources <ul><li>FTA Project Manager </li></ul><ul><li>Networking </li></ul><ul><ul><li>Other County/Grantee Peers </li></ul></ul><ul><ul><li>At Conferences </li></ul></ul><ul><li>FTA Website </li></ul><ul><li>Prior Triennial Reports </li></ul><ul><li>Professional Colleagues </li></ul>
    6. 6. Grantee Perspective Self Assessment <ul><li>Bi Annual Bus Maintenance Review </li></ul><ul><li>Drug and Alcohol Testing Review </li></ul><ul><li>The Contract </li></ul><ul><ul><li>Obligations </li></ul></ul><ul><ul><li>Roles and Responsibilities </li></ul></ul><ul><ul><li>Consequences </li></ul></ul>
    7. 7. Grantee Perspective Resolving Deficiencies <ul><li>Best Practices </li></ul><ul><li>Good News Story </li></ul><ul><ul><li>Local Town Lot Cameras </li></ul></ul><ul><ul><li>6 Year Project </li></ul></ul><ul><ul><li>Grant and Project are Successfully Closed </li></ul></ul><ul><ul><li>FTA and County are Happy </li></ul></ul><ul><ul><li>BUT a Noted Deficiency </li></ul></ul>
    8. 8. Grantee Perspective Resolving Deficiencies <ul><li>A Lesson Learned </li></ul><ul><li>Geographical Preference </li></ul><ul><li>Met with FTA & Town </li></ul><ul><li>Discussed Options </li></ul><ul><ul><li>Town Remove Permit </li></ul></ul><ul><ul><li>Town Pays for Share of Cameras </li></ul></ul><ul><li>Resolution </li></ul>
    9. 9. FY07 Deficiencies Top 6 Areas of Findings
    10. 10. FY07 Deficiencies Top 6 Areas of Findings <ul><li>Satisfactory Continuing Control (19%) </li></ul><ul><ul><li>Inadequate Equipment Records </li></ul></ul><ul><ul><li>Inventory Results Not Reconciled </li></ul></ul><ul><li>Procurement (17%) </li></ul><ul><ul><li>No/Incorrect FTA Clause </li></ul></ul><ul><li>Technical (16%) </li></ul><ul><ul><li>Excessive Delays in Project Implementation </li></ul></ul>
    11. 11. FY07 Deficiencies Top 6 Areas of Findings <ul><li>Drug & Alcohol (12%) </li></ul><ul><ul><li>Contractors, subrecipients, and/or lessees not properly monitored </li></ul></ul><ul><ul><li>Drug and/or alcohol program vendors not properly monitored </li></ul></ul><ul><li>Disadvantaged Business Enterprise (9%) </li></ul><ul><ul><li>No TVM certification </li></ul></ul><ul><li>Maintenance (9%) </li></ul><ul><ul><li>Facility/equipment maintenance plan lacking or inadequate </li></ul></ul><ul><ul><li>Late facility/equipment preventive maintenance </li></ul></ul>
    12. 12. Triennial Review Process FTA Perspective <ul><li>Conduct Workshops </li></ul><ul><li>Conduct Desk Review </li></ul><ul><li>Finalize Site Visit </li></ul><ul><li>Conduct Site Visit </li></ul><ul><li>Issue Final Report </li></ul><ul><li>Provide Technical Assistance </li></ul>
    13. 13. FTA Perspective Conduct Workshops <ul><li>Current Guidance </li></ul><ul><li>Changes from Prior Year </li></ul><ul><li>Interaction with </li></ul><ul><ul><li>Regional Staff </li></ul></ul><ul><ul><li>Triennial Reviewer </li></ul></ul><ul><ul><li>Colleagues </li></ul></ul>
    14. 14. FTA Perspective Conduct Desk Review <ul><li>Meet with Regional Staff </li></ul><ul><li>Review the Grantee TEAM Data </li></ul><ul><li>Review Grantee Files </li></ul><ul><li>Schedule Site Visit </li></ul><ul><ul><li>Contact Grantee </li></ul></ul><ul><ul><li>Develop Working Relationship with Triennial Review Coordinator </li></ul></ul><ul><li>Prepare/Finalize Review Package </li></ul>
    15. 15. FTA Perspective Finalize Site Visit <ul><li>Review Grantee Input </li></ul><ul><li>Prepare Final Review Package </li></ul><ul><ul><li>Follow-up Questions </li></ul></ul><ul><ul><li>Source Documents </li></ul></ul><ul><ul><li>Procurement, ECHO, Maintenance Samples </li></ul></ul><ul><li>Prepare Final Schedule </li></ul><ul><ul><li>Site Visits </li></ul></ul><ul><ul><li>Facility Tours </li></ul></ul>
    16. 16. FTA Perspective Conduct Site Visit <ul><li>Entrance Conference </li></ul><ul><li>Review Areas </li></ul><ul><li>Visit Facilities </li></ul><ul><li>Visit Third Parties </li></ul><ul><li>Complete Draft Report and Transmittal Letter </li></ul><ul><li>Exit Conference </li></ul>
    17. 17. FTA Perspective Issue Final Report <ul><li>Incorporate Grantee Response </li></ul><ul><li>Incorporate Region Response </li></ul><ul><li>Transmit Report to Region </li></ul><ul><li>Transmit Report to Grantee </li></ul>
    18. 18. FTA Perspective Provide Technical Assistance <ul><li>Regional Discretion </li></ul><ul><li>Address Deficiencies </li></ul>
    19. 19. Changes in 2010 <ul><li>Triennial Review Package </li></ul><ul><ul><li>Instructions </li></ul></ul><ul><ul><li>Sample Site Visit Schedule </li></ul></ul><ul><ul><li>Grantee Profile </li></ul></ul><ul><ul><li>Requested Documents </li></ul></ul><ul><ul><li>Questions for Review </li></ul></ul>
    20. 20. Changes in 2010 <ul><li>Workbook </li></ul><ul><ul><li>Focus on 5316/5317 Recipients </li></ul></ul><ul><ul><li>Oversight of Subrecipients/Contractors/Lessees </li></ul></ul><ul><ul><li>Fully Incorporated 4220.1F and 5010.1D </li></ul></ul><ul><ul><li>Now 24, Not 23 Areas </li></ul></ul><ul><ul><ul><li>ARRA </li></ul></ul></ul><ul><ul><li>Toolkit </li></ul></ul><ul><ul><ul><li>References </li></ul></ul></ul>
    21. 21. Contacts <ul><li>Jim Buckley </li></ul><ul><ul><li>[email_address] </li></ul></ul><ul><li>Diane King </li></ul><ul><ul><li>[email_address] </li></ul></ul><ul><ul><li>105 N. 22 nd Street </li></ul></ul><ul><ul><li>Philadelphia, PA 19105 </li></ul></ul><ul><li>215-496-9100 </li></ul><ul><li>215-496-0980 </li></ul><ul><li>Mike Shine </li></ul><ul><ul><li>[email_address] </li></ul></ul>