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FEDERAL TRANSIT ADMINISTRATION
FY 2008 ANNUAL GRANTEE OVERSIGHT ASSESSMENT INSTRUCTIONS
The Grantee Oversight Assessment Questionnaire serves as the basic document in FTA’s Oversight Program. The purpose of the questionnaire is to assess each grantees need for oversight, the grantee’s level of potential non-compliance with FTA requirements. The outcome serves as the primary basis for developing regional oversight plans and for allocating oversight resources among FTA regions for the upcoming fiscal year.
FTA Regional offices shall complete one questionnaire for every grantee. By answering each question, FTA Regional Offices convey meaningful information about each grantee’s compliance in managing and administering FTA grants and projects.
Regional personnel shall answer each question based upon empirical knowledge and the scorer’s best judgment, combining documented findings with knowledge or reasoned opinion of the grantee’s performance in each assessment area. The scores for each grantee and each assessment area should be developed with complete fairness and objectivity; regardless of how many, or how few, high ratings result. Accuracy and consistency are of the foremost importance.
Highly rated grantees will receive increased attention from FTA. Oversight Assessment will make some grantees candidates for oversight reviews. Others will be considered for specialized training or technical assistance.
If an oversight review is warranted, however, then the regions must prioritize their candidate lists of grantees for the oversight reviews, as well as, within each program specific review area. If the number of ratings requiring a high level of oversight exceeds the number of oversight reviews that can be performed in a given year, then the prioritization established by the regions will be used by headquarters, in coordination with the regions, to select the specific grantees for oversight contractor assistance. In allocating oversight resources, TPM will assess national need as well as needs within each region, with first priority given to grantees requiring a high level of oversight.
OTrak will calculate an initial oversight rating by summing the answers in the Annual Grantee Oversight Assessment Questionnaire. OTrak will multiply the initial score by a factor of 1, 1.5, or 2 (based on the amount in open grants). In determining a grantee’s need for oversight, all factors including size and complexity of the grantee’s FTA-funded programs are considered, as well as, past performance, responsiveness and management practices.
After responding to all questions, assign to each grantee a single oversight level (high, medium, or low) based on the numerical rating of the responses to all questions.
The ratings for grantees in each FTA region are to be added and an average regional rating determined.
The regional “average” rating is used to assign Oversight Levels as follows:
- Low Oversight Level – grantees with below average rating require a Low Oversight Level – continuous monitoring by regional staff is recommended.
- Medium Level of Oversight – grantees with average rating are assigned a Medium Oversight Level – continuous monitoring by regional staff is recommended; program specific reviews may be warranted.
- High Level of Oversight – grantees comprising the highest scores require a High Oversight Level – program specific Oversight reviews and regional allocation of resources for increased oversight warranted.
By and large, grantee oversight levels will correspond with questionnaire scores. At times, however, regional personnel will wish to modify a grantee’s Oversight Level based on regional understanding of grantee needs beyond the scope of the Grantee Oversight Assessment Questionnaire. Modified Oversight Levels must be based on objective information. The basis for such adjustments shall be noted in the filed marked Oversight Level Justification.
In recommending the oversight resources proposed for each grantee, please do not overlook the need for training. Oversight should enhance grantee understanding of FTA requirements. In most cases this can be accomplished through regional site visits, regional written guidance, regional meetings, and regional training. When regional oversight is insufficient, FTA headquarters staff will make every effort to allocate its oversight resources according to national and regional needs. FTA will continue to offer oversight seminars, primarily in regional cities to allow grantee and FTA staff to attend. Regional Administrators may recommend that grantees attend sessions offered in areas of concern.
Annual Oversight Assessment Questionnaires and Oversight Resource Recommendations are to be submitted in OTrak. OTrak will be the system of record.
The following are the oversight resources available:
- Combined State Management and Triennial Reviews
- State Management Review
- Triennial Review
- Financial Management Oversight – Financial Capacity
- Financial Management Oversight – Follow-up
- Financial Management Oversight – Full Scope
- Financial Management Oversight – Special/Other
- Procurement – Procurement System Review
- Procurement – Follow-up
- Civil Rights – ADA Complementary Paratrasit Compliance Assessment
- Civil Rights – ADA Fixed Rout Compliance Assessment
- Civil Rights – ADA Key and New Rail Station Compliance Review
- Civil Rights – Disadvantaged Business Enterprise Program Review
- Civil Rights – Title VI Program Review
- Civil Rights – ADA Rail Voluntary Compliance Agreement
- Civil Rights – ADA Rail Time Extension
- Intelligent Transportation Systems Architecture Consistency Review
- Transit Safety and Security – Drug and Alcohol Program Audit
- Transit Safety and Security – Security and Emergency Management
- Transit Safety and Security – State Safety Oversight Review
- Transit Safety and Security – Security Audit
- Regional Site Visit
- Regional Written Guidance
- Regional Meeting
- Regional Training
Please provide comments describing the reasons for each oversight resource requested. This will help headquarters best allocate oversight resources.
Upon completion of the Annual Grantee Oversight Assessment and Annual Oversight Resource Recommendations, an e-mail indicating that the region has completed its Assessments should be sent to TPM’s Office of Oversight (Deborah Kerson Bilek, deborah.bilek@dot.gov).
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