PROCUREMENT OVERSIGHT REVIEWS AND YOU!. Oversight Program  Risk Assessment conducted each year by FTA Regional Staff  Grantees are assigned a risk category.

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Presentation transcript:

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 Security0  22 Suspension and Debarment0  21 School Bus1  20 Drug Free Workplace2  19 Intelligent Transp. Systems4  18 Public Comment on Service/Fare Changes4

Findings by Area (Total Findings 270)  17 Legal4  16 Half Fare4  15 Lobbying4  14 EEO4  13 Planning/Program of Projects5  12 Title VI6

Findings by Area (Total Findings 270)  11 Buy America11  10 ADA11  9 National Transit Database12  8 DBE13  7 Charter Bus14  6 Financial15

Findings by Area (Total Findings 270)  5 Satisfactory Continuing Control22  4 Maintenance28  3 Technical29  2 Drug & Alcohol Program36  1 Procurement41

National vs. Regional Comparison FINDINGNational %Region VII % Procurement12.4%15.2% Maintenance11.5%10.4% Technical10.0%10.8% Drug & Alcohol9.6%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