REVIEW PACKAGE
FY 2012 STATE MANAGEMENT REVIEW
of the
Ohio Department of Transportation
Columbus, Ohio
Recipient ID: 1225
Site Visit Dates: July 24-27, 2012
Sharon Ahmad
Reid Consulting, LLC
1800 Wilson Blvd, Suite 128
Arlington, VA 22201
Phone: (571) 257-5090
Table of Contents
INSTRUCTIONS 1
SITE VISIT SCHEDULE 3
REQUESTED DOCUMENTS 5
REVIEW PREPARATION 10
1. Program Specific Reviews 10
2. Reports and Submissions 12
3. Complaints/Lawsuits/Other 13
QUESTIONS FOR THE REVIEW 15
0. Program Profile 15
1. Program Management 18
Exhibit 1.1 Intercity Bus Expenditures 27
Exhibit 1.2 State Management Plan Contents 29
Exhibit 1.3 State Administrative Funds 32
2. Grant Administration 35
Exhibit 2.1 Progress Reports 41
Exhibit 2.2 Grant Analysis 45
3. Project Management 50
4. Financial Management 53
Exhibit 4.1 Examination of ECHO Drawdowns 59
5. Procurement and DBE 61
Exhibit 5.1 Procurements/Agreements Examined 73
Exhibit 5.2 Required Third Party Clauses 74
Exhibit 5.3 Required Certifications, Reports and Forms 79
6. Asset Management 81
7. Lobbying 88
8. Charter Bus 90
9. School Bus 92
10. Americans with Disabilities Act 94
11. Title VI 102
12. Equal Employment Opportunity 104
13. Drug and Alcohol/Drug Free Workplace Act Programs 106
Exhibit 13.1 Drug and Alcohol Policy Checklist 113
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INSTRUCTIONS
The Federal Transit Administration (FTA) is conducting a State Management Review (SMR) and Triennial Review (TR) of the Ohio Department of Transportation (ODOT). The reviews assess management practices and program implementation of the Metropolitan Planning and State Planning and Research programs (49 U.S.C. 5305), Urbanized Area Formula Program (49 U.S.C. 5307), Capital Investment Program (49 U.S.C. 5309), Elderly Individuals and Individuals with Disabilities Program (49 U.S.C. 5310), Nonurbanized Area Formula Program (49 U.S.C. 5311), Job Access and Reverse Commute Program (49 U.S.C. 5316), New Freedom Program (49 U.S.C. 5317), and American Recovery and Reinvestment Act of 2009 (ARRA) to ensure that the programs are administered in accordance with 49U.S.C. Chapter 53, Federal transit law provisions, and FTA requirements and are meeting program objectives.
This Review Package describes the SMR process. A separately enclosed TR Review Package describes the TR process and will focus on ODOT’s Urbanized Area Formula Program.
A SMR consists of two stages. The first stage is a desk review conducted at the FTA regional office. During the desk review, FTA files pertaining to the grantee and TEAM-Web data are reviewed and discussed with FTA staff. The desk review has been completed. The second stage is a site visit where FTA representatives and the state discuss outstanding issues, examine FTA-funded facilities and equipment, review necessary additional documents, and visit selected subrecipients and contractors. The site visit to ODOT has been scheduled for July 24-27, 2012. Sharon Ahmad from Reid Consulting, LLC, will assist FTA staff in conducting the SMR.
As part of FTA’s ongoing effort to streamline the on-site review to minimize the use of the state’s valuable staff time during the site visit and enable FTA to issue the draft report at the exit conference, this package contains the comprehensive list of all the documents that will be needed and questions to be answered. Please complete this package, assemble the requested documents, and send the completed package and the documents to the reviewer so that they arrive no later than June 29, 2012. Please send an electronic version of the completed package in Microsoft Word format, not in portable document format (pdf). The reviewer will enter additional information. Electronic versions of the requested documents also are preferred.
This package contains the following items:
Combined Site Visit Schedule. The schedule lists the areas that will be discussed and the approximate time frame for discussion. Adjustments to the site visit schedule will be determined after the requested information has been received and reviewed. The final schedule will be provided to you approximately two weeks before the site visit.
Requested Documents. This section of the package lists the documents needed for the review. Most of the documents are requested to be provided in advance of the site visit. Electronic versions of the documents are preferred.
Review Preparation. This section of the package has a series of exhibits which present information collected during the desk review. Please review the information for accuracy and provide the additional requested information.
Questions for the Review. This section of the package lists the questions to be answered. Some of the questions have been answered based on information collected during the desk review. Many of the questions require more than a yes or no answer. Written answers are required before the site visit during which the answers will be discussed.
Before the site visit, we will contact you to select the facilities and subrecipients to be visited. At a minimum, we will visit a Section 5307, 5310 and 5311 subrecipient. Also before the site visit, the reviewer will email you a completed package to allow you to follow along more easily with the discussion.
For the site visit, please have available the members of your staff who are familiar with the listed topics, as well as any pertinent documentation, so that our time together can be as productive as possible.
You may find additional information on the SMR process by accessing the State Management Review Workbook at http://www.fta.dot.gov/grants/12310_98.html.
FTA’s last State Management and Triennial Review of ODOT found deficiencies in the following areas: Program Management, Grant Administration, Selection and Eligibility, Financial Management, Maintenance, DBE, Procurement, Title VI, and ADA. Please ensure that you continue to implement the corrective actions that you submitted to FTA to close the deficiencies. States that have repeat deficiencies will be subject to higher levels of oversight.
If you have any questions about the review, the discussion items or the documentation required, please contact Lisa Joiner at (312) 353-2791 or or Cyrell McLemore at (312) 886-1625 or at the Region V Office, or your reviewer, Ms. Sharon Ahmad, at (571) 257-5090 ext. 227 or .
We look forward to a meaningful and successful visit. Thank you.
SITE VISIT SCHEDULE
FY 2012 State Management Review (SMR) and Triennial Review (TR)
Tuesday, July 24, 20129:00 am – 9:15 am / Entrance Conference
9:15 – 10:30 / Background / Program Management (SMR)
10:30 – 12:00 / Legal - TR
Grant Administration (SMR)/Technical(TR)/Project Management - SMR
12:00 – 1:00 / Lunch
1:00 – 2:30 / Financial Management (SMR)/ Financial (TR) / Review ECHO draws
2:30 – 4:00 / Asset Management (SMR)/Satisfactory Continuing Control (TR)/Maintenance (TR)
4:00 – 5:00 / EEO, Title VI
· SMR
· TR
Wednesday, July 25, 2012
8:30 am – 11:30 am / Procurement / Buy America / Debarment and Suspension /DBE/ Lobbying
· SMR
· TR / Review Procurement Files
· SMR
· TR
11:30 am – 12:00 pm / Drug-Free Workplace / Drug and Alcohol Program
12:00 pm – 1:00 pm / Lunch
1:00 pm – 2:00 pm / Americans with Disability Act
· SMR
· TR
2:00 pm – 4:30 pm / Charter Bus / School Bus
Remaining Triennial Review Areas (as applicable):
· Planning/Program of Projects
· NTD
· Safety and Security
· ITS Architecture
· American Recovery and Reinvestment Act
Thursday, July 26, 2012
8:00 am – 5:00 pm / Subrecipient site visits
· SMR
Friday, July 27, 2012
11:00 am / Joint SMR/TR Exit Conference
REQUESTED DOCUMENTS
The table below details the documents needed for the review as follows:
· Information examined during the desk review: These documents were reviewed during the desk review and are indicated by an “X” in the “desk review” column. No action is necessary.
· Information to be sent in advance: Please send to the reviewer the documents indicated by an “X” in the “pre-site visit” column. As discussed below, please send electronic versions. If sending hard copies, please do not send original documents. Please send the documents so that they arrive no later than June 29, 2012.
· Information to have available on site: At the site visit, please provide access to information indicated by an “X” in the “site visit” column. The reviewer will not need to keep copies of these documents.
Documents that are shaded out are not needed for the review.
FTA prefers to receive electronic versions of the documents. Please submit the requested information electronically (e.g., on CD or flash drive) or set up a file transfer protocol (FTP) site from which the reviewer can download the files. Please organize the electronic files by review area, with a folder created for each review area and all files for that area included in each folder. Please name the files according to the list of documents in the review package so that both you and the reviewer can easily determine what each file includes. The following example shows the naming convention that should be used when organizing electronic responses:
Example: Folder/File Naming Convention
Review Area/ Document / Folder/File Name1. Program Management / 1 Program Management
a. Departmental organizational chart / 1a Department org chart.docx
b. Transit unit/section organizational chart / 1b Transit org chart.docx
c. State management plans / 1c 5311 SMP.docx
1c 5310 SMP.docx
1c 5316 SMP.docx
1c 5317 SMP.docx
Review Area/Documentation / Desk Review / Pre-Site Visit / Site Visit /
1. Program Management
a. Departmental organizational chart / X
b. Unit/section organization chart / X
c. State management plans, if updated since 2008 and 2009 / X
d. Guidance regarding coordinated public transit-human services transportation plan / X
e. Documentation of review of a sample of coordinated plans / X
f. Sample coordinated plans / X
g. Sample of unified planning work programs (UPWPs) listing coordinated planning efforts / X
h. Sample guidance/technical assistance documents / X
i. Subrecipient agreement for each program / X
j. Oversight materials (reports, compliance checklists, follow up letters/reports) for each program / X
k. Oversight files for subrecipients/contractors/lessees to be visited / X
l. Programs of projects, if most recent version is not in TEAM-web / X
m. Grant application for each program or access to grant management system, if automated / X
n. Grant program guides, if applicable / X
o. Approved plans for allocating costs between rural and urban service / X
p. Section 5310 subrecipients' certifications that no non-profits are readily available in the area to provide the service / X
q. Approvals of public bodies to coordinate services for elderly persons and persons with disabilities / X
r. Notices of availability of Section 5316 and 5317 funds / X
s. Published lists of selected Section 5316 and 5317 projects / X
t. Governor’s certifications for the past three years, if applicable / x
u. Documents supporting the governor’s certification (evidence of consultative process, assessments of intercity bus needs) / X
v. Technical assistance documents/manuals / X
w. Sample RTAP newsletter, if applicable / X
2. Grant Administration
a. Progress reports / X
b. Federal Financial Reports / X
c. NTD reports and close-out letters for the past three years / X
d. Grant management procedures, if written / X
3. Project Management
a. Force accounts plans/justification / X
4. Financial Management
a. Single audits / X
b. Three to five year financial plan / X
c. Budget for the current fiscal year / X
d. State cost allocation plan and approval letter from cognizant Federal agency, if applicable / X
e. Subrecipient cost allocation plans and approval letter from cognizant Federal agency, if applicable / X
f. Delegation of ECHO authorization authority / X
g. ECHO request and payment documentation (Reviewers will review a sample of ECHO drawdowns.) / X
h. State or internal government audit reports addressing the transit program / X
5. Procurement and DBE
a. Written procurement policies and procedures; state code / X
b. State statute governing procedures for procuring A&E services / X
c. List of all FTA funded state procurements since the last review. Please note single-bid, sole-source, and piggyback procurements and which involved change orders. / X
d. Files of selected procurements / X
a. DBE program submissions / X
b. Organizational chart showing reporting relationship of DBELO / X
c. DBE goal (methodology) / X
d. Evidence of consultation with interested parties / X
e. Determinations of good faith efforts / X
f. Uniform reports of DBE awards and commitments or payments / X
g. Analysis of failure to meet DBE goal / X
h. Evidence of compliance monitoring activities / X
i. UCP agreement / X
j. DBE application and instructions / X
k. DBE certification files / X
l. Annual affidavits / X
6. Asset Management
a. Sample subrecipient agreement for real property / X
b. Sample real property lease used by the state and a subrecipient, if applicable / X
c. Incidental use approval from FTA / X
d. Correspondence regarding notification to FTA and FTA concurrence on changes of use or property removal / X
e. Listing of FTA-funded real property and/or equipment removed from transit service since the last review / X
f. Excess real property inventory/utilization plan / X
g. Sample of property records of FTA funded equipment / X
h. Sample of leases of FTA funded property or equipment to private operators / X
i. Approved leases of Section 5310 funded vehicles / X
j. FTA approval of leases to private operators / X
k. Maintenance requirements for subrecipients (if separate from the state management plan or subrecipient agreements / X
l. Subrecipient facility maintenance plans / X
m. Warranty recovery program and summary of warranty claims / X
7. Lobbying
a. Files of selected procurements / X
b. LLL form / X
c. Quarterly updates / X
8. Charter Bus
a. Quarterly reports to FTA / X
9. School Bus
a. The reviewers will examine bus schedules, system maps, and other public information for the subrecipients to be visited / X
10. ADA
a. Certifications of equivalent service from Section 5311 subrecipients / X
b. Facility renovation specifications / X
c. Facility accessibility cost calculation / X
d. ADA training manuals and materials for subrecipients / X
e. Maintenance/operations policies, if separate from the state management plan(s) / X
f. Documentation of services exempt from ADA complementary paratransit / X
g. Ferry service policies for serving persons with disabilities / X
h. Sample contracts with ferry shuttle service / X
i. Organization chart showing the designated complaints resolution official (CRO) / X
j. Policies relating to duties of the CRO / X
11. Title VI
a. Title VI program submissions / X
b. Title VI complaint process / X
c. Title VI complaints / X
d. LEP analysis/implementation plan / X
e. Documentation of public outreach/involvement / X
12. EEO
a. Subrecipient EEO programs / X
b. Documentation of review of subrecipient EEO plans / X
13. Drug and Alcohol Program and Drug-Free Workplace Act
a. Drug and alcohol policy of subrecipients to be visited (Your reviewer will work with you to select the subrecipients) / X
b. Procedures for monitoring vendors (consortia, third party administrators, collection sites, MROs, SAPs) / X
c. Departmental/agency Drug-Free Workplace Act policy / X
d. Correspondence/notification to employees / X
e. Evidence of ongoing drug-free awareness program/posted notice of drug-free workplace at state offices/employee handbooks, brochures, posters / X
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