New York Public Transit Association

Fall ConferenceFTA Triennial Review Program

FY 2010

US Department of TransportationFederal Transit AdministrationWashington, DC

Triennial Review ProcessGrantee Perspective

• Prepare for Review• Top Level Support• Communicate with FTA• Conduct Self Assessment• Attend Workshop

Grantee Perspective Prepare for Review

• Start Preparing for the next review the day the Review Team Leaves–Review and Rectify Deficiencies–Implement your FTA recommendations–Ways to ensure you get it done–3 years go by very quickly

Grantee Perspective Top Level Support

• Their Buy-in is Critical• What’s in it for them?• Consequences for non-support

Grantee PerspectiveUseful Resources

• FTA Project Manager• Networking

–Other County/Grantee Peers–At Conferences

• FTA Website• Prior Triennial Reports• Professional Colleagues

Grantee PerspectiveSelf Assessment

• Bi Annual Bus Maintenance Review• Drug and Alcohol Testing Review• The Contract

–Obligations–Roles and Responsibilities–Consequences

Grantee PerspectiveResolving Deficiencies

• Best Practices• Good News Story

–Local Town Lot Cameras–6 Year Project–Grant and Project are Successfully Closed–FTA and County are Happy–BUT a Noted Deficiency

Grantee PerspectiveResolving Deficiencies

• A Lesson Learned• Geographical Preference• Met with FTA & Town• Discussed Options

–Town Remove Permit–Town Pays for Share of Cameras

• Resolution

FY07 DeficienciesTop 6 Areas of Findings

18.97%

17.24%

15.52%

12.07%

8.62%8.62%

SCCPROCUREMENTTECHNICALD & ADBEMAINTENANCE

FY07 Deficiencies Top 6 Areas of Findings

• Satisfactory Continuing Control (19%)–Inadequate Equipment Records–Inventory Results Not Reconciled

• Procurement (17%)–No/Incorrect FTA Clause

• Technical (16%)–Excessive Delays in Project Implementation

FY07 Deficiencies Top 6 Areas of Findings

• Drug & Alcohol (12%)– Contractors, subrecipients, and/or lessees not properly

monitored– Drug and/or alcohol program vendors not properly

monitored• Disadvantaged Business Enterprise (9%)

– No TVM certification• Maintenance (9%)

– Facility/equipment maintenance plan lacking or inadequate– Late facility/equipment preventive maintenance

Triennial Review ProcessFTA Perspective

• Conduct Workshops• Conduct Desk Review• Finalize Site Visit• Conduct Site Visit• Issue Final Report• Provide Technical Assistance

FTA PerspectiveConduct Workshops

• Current Guidance• Changes from Prior Year• Interaction with

–Regional Staff–Triennial Reviewer–Colleagues

FTA PerspectiveConduct Desk Review

• Meet with Regional Staff• Review the Grantee TEAM Data• Review Grantee Files• Schedule Site Visit

– Contact Grantee– Develop Working Relationship with Triennial Review

Coordinator

• Prepare/Finalize Review Package

FTA PerspectiveFinalize Site Visit

• Review Grantee Input• Prepare Final Review Package

– Follow-up Questions– Source Documents– Procurement, ECHO, Maintenance Samples

• Prepare Final Schedule– Site Visits– Facility Tours

FTA PerspectiveConduct Site Visit

• Entrance Conference• Review Areas• Visit Facilities• Visit Third Parties• Complete Draft Report and Transmittal

Letter• Exit Conference

FTA PerspectiveIssue Final Report

• Incorporate Grantee Response• Incorporate Region Response• Transmit Report to Region• Transmit Report to Grantee

FTA PerspectiveProvide Technical Assistance

• Regional Discretion• Address Deficiencies

Changes in 2010

• Triennial Review Package–Instructions–Sample Site Visit Schedule–Grantee Profile–Requested Documents–Questions for Review

Changes in 2010

• Workbook–Focus on 5316/5317 Recipients–Oversight of Subrecipients/Contractors/Lessees–Fully Incorporated 4220.1F and 5010.1D–Now 24, Not 23 Areas

• ARRA–Toolkit

• References

Contacts

• Jim Buckley– jbuckley@milligancpa.com

• Diane King– dking@milligancpa.com• 105 N. 22nd Street

Philadelphia, PA 19105• 215-496-9100• 215-496-0980• Mike Shine

• ShineM@co.rockland.ny.us