Oversight Requirements

OVERSIGHT PROGRAMS

FTA evaluates grantee effectiveness in carrying out project obligations under a grant agreement that is signed by FTA and the grantee after project approval. A site inspection may follow up on events that impact a grantee’s project or may take the form of a compliance review focused on civil rights, laws, regulations, or agreements.

PLANNING CERTIFICATION REVIEWS
Contact: Office of Planning and Environment 202-366-6385

23 U.S.C. 134 and 49 U.S.C. 5303 call for FHWA and FTA to certify jointly the transportation planning processes in metropolitan areas over 200,000 in population, known as Transportation Management Areas (TMAs), every four years (five years in air quality attainment areas).

The law states that these certifications may be issued if: (i) the transportation planning process complies with 23 U.S.C. 134 and 49 U.S.C. 5303 (as amended), and (ii) there is a TIP for the TMA that has been approved by the MPO and the Governor. The certification remains in effect for four years, unless a new finding is issued sooner. In practice, Certification Reviews are conducted jointly by FTA/FHWA field staff, with findings published in a final certification report. These reports note 1) Recommendations for Improvement (areas that could be improved but do not represent a regulatory deficiency), 2) Corrective Actions (areas where action needs to be taken to correct a regulatory deficiency, and timelines for such action) and 3) Commendations (areas of noteworthy planning practices or performance). These findings provide an overview of the Metropolitan Planning program, and identify areas where FTA/FHWA needs to provide guidance or direction to the process.

TRIENNIAL REVIEW
Contact: Office of Program Management 202-366-4020

FTA is required by law to perform reviews and evaluations of urbanized area formula program grantees to evaluate formula grant management performance and grantee compliance with FTA and other Federal requirements. The reviews must be conducted for each formula grant recipient at least once every three years with the results integrated into FTA’s grant management functions. The reviews are conducted by FTA staff and outside contractor teams following an annual work program. Desk reviews are followed by a site visit. The team documents its findings and recommendations in a draft triennial review report, which is furnished to the grantee for comment before it is released in final form to interested local, State and Federal officials.

When appropriate, corrective actions are recommended to resolve grantees’ program management deficiencies. FTA monitors the grantee’s performance until compliance with all program requirements is achieved. If needed, FTA can invoke sanctions to assure that grantees act to correct any noted program deficiencies.

STATE OVERSIGHT
Contact: Office of Program Management 202-366-4020

The State Management Review Program assesses the States’ implementation and management of the Elderly and Persons with Disabilities Program, the Nonurbanized Area Formula Program, and the State-administered portions of the Job Access and Reverse Commute Program and the New Freedom Program to ensure that they are being administered in accordance with FTA’s requirements and are meeting program objectives.

FINANCIAL MANAGEMENT SYSTEMS REVIEWS
Contact: Office of Program Management 202-366-4020

Grantees are selected for financial management oversight (FMO) reviews by FTA to provide FTA an oversight tool and the grantees with technical assistance on financial management systems issues. FTA contractors conduct a series of interviews, a review of grantee transactions, and several process and procedural tests. After the review, the contractor expresses an objective, external, independent professional opinion to FTA on the effectiveness of the grantees’ internal control environment and FTA decides whether the grantee’s financial management systems meet Federal requirements (Common rule, 49 CFR Part 18.20). An average FMO review takes three to four weeks, conducted at the grantee’s site.

PROJECT MANAGEMENT OVERSIGHT Contact: Office of Program Management 202-366-4020

FTA defines oversight as a continuous review and evaluation of grantee and FTA processes to ensure compliance with statutory, administrative, and regulatory requirements. Oversight of grantee project management focuses this review on the management of major investments in transit projects. This activity begins early in project implementation, usually at the time of preliminary engineering. PMO contractors monitor all major FTA projects, following guidelines established by FTA. They serve to supplement the FTA technical staff to evaluate grantee project management and technical capacity and capability to successfully implement these major transit projects. They also monitor the projects to determine whether they are progressing on time, within budget, and in accord with approved grantee plans and specifications. Other activities are also involved, such as reviews of whether a given design can in fact be constructed, change order reviews, and value engineering.

STATE SAFETY OVERSIGHT COMPLIANCE Contact: Office of Program Management 202-366-4020

FTA manages State Safety Oversight for Rail Fixed Guideway Systems under 49 CFR 659. The program mandates that states designate an independent Oversight Agency (OA) to oversee the safety of rail systems not regulated by the Federal Railroad Administration. FTA ensures the states’ compliance with the rule’s requirements. FTA provides OAs ongoing technical assistance in the form of guidance and training, including an annual workshop, implementation guidelines, and newsletters. Audits guide the states in ensuring that the program is implemented according to standards that they set forth.

DRUG AND ALCOHOL TESTING COMPLIANCE
Contact: Office of Program Management 202-366-4020

FTA implements regulations governing substance abuse management programs, under its drug and alcohol testing regulations for transit employees, published in February 1994. The ultimate goal of the program is promoting the riding public’s health and safety by eliminating illegal drug use and alcohol misuse by safety-sensitive employees.

PROCUREMENT SYSTEMS REVIEW
Contact: Office of Program Management 202-366-4020

Conduct of procurement system reviews of FTA grantees involves a site visit to ensure that the requirements and standards of the Common Rule on administrative requirements for grants, 49 CFR Part 18.36 as it specifically applies to procurements, are met, as well as FTA Circular 4220.1E, Third Party Contracting Requirements.

CIVIL RIGHTS
Contact: Office of Civil Rights 202-366-4018

FTA’s enabling legislation includes the non-discriminatory use of Federal funds by recipients of FTA assistance, including their sub-recipients and contractors. FTA ensures non-discrimination through oversight of grantee implementation of required civil rights regulations and policy. Compliance reviews and assessments are conducted to determine if the grantee’s required efforts under Title VI of the Civil Rights Act of 1964, (including aspects of Environmental Justice), Equal Employment Opportunity (EEO), Disadvantaged Business Enterprise (DBE) programs, and the Americans with Disabilities Act of 1990 (ADA) requirements are in compliance as represented to the FTA.

The Environmental Justice Executive Order 12898, Federal Actions to Address Environmental Justice in Minority Populations and Low-Income Populations (EO 12898) addresses fair treatment of all people regardless of race, color, ethnicity or income with respect to the benefits and burdens of environmentally related programs, policies and activities. EO 12898 directs each Federal agency “to make achieving environmental justice part of its mission by identifying and addressing, as appropriate, disproportionately high and adverse human health or environmental effects of its programs, policies, and activities on minority populations and low-income populations.” The EO and accompanying Presidential Memorandum emphasize that agencies should utilize existing laws, such as the National Environmental Policy Act (NEPA) and Title VI of the Civil Rights Act of 1964, to achieve this mission.

FTA has integrated Title VI and Environmental Justice considerations into FTA’s general grant program. In FY 1999, FTA developed joint FTA/FHWA policy emphasizing environmental justice considerations in the metropolitan planning review process. An example of this is the Office of Civil Rights’ work with the FTA Office of Planning and Environment to ensure that recipients of FTA funds incorporate Title VI requirements into the planning process for transit projects and activities. Title VI requirements include:

FTA continues to monitor the implementation of the Americans with Disabilities Act by its grantees to ensure that persons with disabilities have access to accessible mass transit services as required by law. FTA enforcement concentrates on three primary areas. These areas are: ADA Complementary Paratransit Service, accessibility of the fixed route, and the accessibility of rail service through the enforcement of the requirements applicable to existing designated key stations as well as those newly built and those undergoing major renovations.

Contact FTA via email at FTA.ADAAssistance@dot.gov and (888-446-4511) ADA toll free hotline to provide customer service to persons with disabilities and transit providers who have questions about, or who are experiencing difficulties with, public transportation.

Another significant effort is FTA’s ADA Key Station Assessments. Together with the quarterly reviews, FTA continues to monitor the compliance at these stations on a regular basis. Like the triennial review, the assessments are a “check and balance” tracking system. ADA key rail station compliance continues to be challenging in that these stations were built at different times, with differing facilities and standards in their construction. Nationally known experts on key station compliance within the transportation community conduct the FTA ADA Key Station assessments. The assessments are state of the art and continue to provide both technical assistance to the grantees and ensure ADA compliance.