REVIEW PACKAGE
FY2012 Triennial Review
of the
Ohio Department of Transportation
(ODOT)
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
571-257-5090
TABLE OF CONTENTS
USER GUIDE 1
INSTRUCTIONS 2
REQUESTED DOCUMENTS 7
1. LEGAL 19
2. FINANCIAL 21
EXHIBIT 2.1 EXAMINATION OF ECHO (Including ARRA) DRAWDOWNS 27
3. TECHNICAL 28
4. SATISFACTORY CONTINUING CONTROL 35
5. MAINTENANCE 41
EXHIBIT 5.1 LIST OF VEHICLES EXAMINED FOR PREVENTIVE MAINTENANCE 46
6. PROCUREMENT 47
Procurements Examined 54
(Need to select a separate sample of 5307 funded procurements) 54
EXHIBIT 6.1 REQUIRED THIRD-PARTY CONTRACT CLAUSES 55
EXHIBIT 6.2 REQUIRED CERTIFICATIONS, REPORTS, AND FORMS 60
EXHIBIT 6.3 OTHER REQUIRED ITEMS 62
7. DISADVANTAGED BUSINESS ENTERPRISE 64
8. BUY AMERICA 70
9. DEBARMENT AND SUSPENSION 72
10. LOBBYING 74
11. PLANNING/PROGRAM OF PROJECTS 76
12. TITLE VI 83
13. PUBLIC COMMENT ON FARE AND SERVICE CHANGES 87
14. HALF FARE 89
15. AMERICANS WITH DISABILITIES ACT 91
16. CHARTER BUS 110
17. SCHOOL BUS 113
18. NATIONAL TRANSIT DATABASE 115
19. SAFETY AND SECURITY 117
EXHIBIT 19.1 TRANSIT SECURITY EXPENDITURES 124
20. DRUG-FREE WORKPLACE 125
21. DRUG AND ALCOHOL PROGRAM 127
22. EQUAL EMPLOYMENT OPPORTUNITY 133
23. ITS ARCHITECTURE 137
24. AMERICAN RECOVERY AND REINVESTMENT ACT 139
Grantee: Ohio DOT i FY2012 Triennial Review Package v2012.3
USER GUIDE
About This Package
This package includes all the requests for information for your triennial review.
Navigational Features
Although the review areas are in numerical order, the user can navigate from one section of the document to another section in several ways. These navigational features are described below.
1. Table of Contents – the user can click on any review area in the Table of Contents and the user will be taken to that section of the document.
2. Go To Command – by pressing <Ctrl+G>, the user can call up the Go To Dialogue Box as shown below. Ensure that the “Bookmark” selection is highlighted. A drop-down list of bookmarks appears on the right side of the box. By selecting the desired section and clicking the Go To button, the user will be taken to that section of the document.
Helpful Hint: After pressing <Ctrl+G>, if you type the first few characters of the section you are searching for and then press the <down-arrow> on the keyboard, the cursor will jump to that portion of the bookmarks drop-down list. For example, typing “sou” and then <down-arrow> will make the cursor jump to the “Sources_of_Documents” bookmark.
3. Hyperlinks – any text that appears in blue italics is a Hyperlink. Clicking on these will take the user to the specified area of the document.
Please be careful when using these features in order not to disturb the formatting of the document.
Saving Data
The user should ensure that the entire package is saved upon receipt and before exiting to ensure that all information entered is retained.
INSTRUCTIONS
The Federal Transit Administration (FTA) is conducting a Triennial Review (TR) in conjunction with the State Management Review (SMR) of the Ohio Department of Transportation (ODOT). The review determines whether a grantee is administering its FTA-funded programs in accordance with 49U.S.C. Chapter 53, Federal transit law provisions. It assesses grantee management practices and program implementation of the Urbanized Area Formula Program (U.S.C. 5307) to ensure that the programs are administered in accordance with FTA requirements and are meeting program objectives.
A TR has two parts: a desk review and a site visit. The first part, the desk review, is conducted by the review team 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 second part, the site visit, is scheduled in advance and takes place at the grantee’s place of business. During the site visit, also referred to as the on-site review, FTA representatives and the grantee discuss outstanding issues, examine FTA-funded facilities and equipment, review necessary additional documents, and visit selected contractors or subrecipients. The site visit to ODOT has been scheduled for July 24-27, 2012. Sharon Ahmad of Reid Consulting, LLC, will assist FTA staff in conducting the review.
As part of FTA’s ongoing effort to streamline the on-site review in order to minimize the use of the grantees’ valuable staff time and expedite the issuing of reports, this package contains a comprehensive list of all the items that will be needed by the reviewer in advance of and during the site visit. Many questions and documents will be addressed in the SMR. Please enter your responses to the remaining questions in Microsoft Word and assemble and organize the requested documents, preferably scanned as either PDF (portable document format) files, or Word or Excel documents, in the file format described on page 7. Send the completed package including the electronic document files to the reviewer to arrive no later than June 29, 2012. Note that it is important that the review package be completed in Microsoft Word format, and not in portable document format (PDF), because the reviewer will enter additional information. Also note that electronic versions of the requested documents are preferred.
In preparation for the site visit, please find the following items in this package:
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 one to two weeks before the site visit.
Grantee Profile. Please complete the profile in the SMR agenda package.
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.
Questions for the Review. This section of the package lists the questions to be answered. Many of the questions require more than a yes or no answer. Please elaborate when necessary. Written answers are required before the site visit. The answers will be discussed during the site visit. For each section, grantees are to answer the questions using the column entitled “grantee responses.” The reviewer will complete the balance of the package. The questions for each area are in a separate table. You may copy and paste a table into a separate document for another department to complete (e.g., Maintenance to maintenance, Procurement to procurement, etc.). Please contact your reviewer if you need any assistance. Please use this review package to answer all questions related to Section 5307 grants and projects. This includes projects funded with CMAQ funds flexed to the Section 5307 program.
If you operate out of multiple FTA-funded facilities or have contractors or subrecipients, the reviewer will contact you before the site visit to select the facilities, contractors, and subrecipients to be visited. The reviewer will email you a completed package before the site visit 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 the pertinent documentation, so that our time together can be as productive as possible.
FTA’s last State Management and Triennial Review of ODOT found deficiencies in 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 , or your reviewer, Ms. Sharon Ahmad, at (571) 257-5090 ext. 227 or .
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Grantee: Ohio DOT
SITE VISIT SCHEDULE
Please see Site Visit Schedule in FY 2012 State Management Review (SMR) Package
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Grantee: Ohio DOT
GRANTEE PROFILE
NOTE: Complete this information in Section 0 of the State Management Review Package
The information to be inserted in the following tables will be used to update your “description of the grantee” in the Triennial Review report. Please complete this section or otherwise provide an updated description of your system. You may refer to your prior review for format. Please be thorough.
INSTITUTIONAL STRUCTURE
Type of Organization (City, RTA, etc.): / Year Transit Service Established: / Website Address:List of Contractors (if applicable):
- Management Contractor:
- Fixed-route Operating Contractor(s):
- Paratransit Operating Contractor(s):
- Contractors with Safety-Sensitive Employees:
List of Subrecipients and Source of FTA Funds for Each (if applicable):
Service/rolling stock Description
Jurisdictions Served: / Service Area Population:Modes Operated: / No. Routes: / Number of Vehicles
Non-Rail / FTA funded / Locally funded
Motorbus:
(directly operated)
Motorbus
(purchased transportation)
Paratransit
(directly operated)
Paratransit
(purchased transportation)
Other (please specify):
Rail / Length in Route Miles / Number of Stations
Light Rail
Heavy Rail
Commuter Rail
Other (please specify):
Span of Service: / Hours:
-Weekdays
-Saturdays
-Sundays
Fixed Assets
Facilities / Number / Names/Locations / FTA Interest? (Yes or No)Bus Garages
Rail Facilities
Transit Centers
Other Facilities
Grant Activity
Please provide a brief description of any noteworthy projects completed within the past three years.Please provide a brief description of noteworthy projects that are on-going.
Please provide a brief description of noteworthy projects that are planned for the next three to five years.
Please provide a brief description of ARRA-funded projects completed, underway, or planned.
REQUESTED DOCUMENTS
The table below details the documents needed for the review:
· Information examined during the desk review: These documents were reviewed during the desk review and are indicated by a check 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 by June 1, 2012. As discussed below, please send electronic versions. If sending hard copies, please do not send original documents.
· 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.
Grantees are encouraged to submit the requested information electronically (e.g., on CD or flash drive) whenever possible. 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 agenda package so that both the reviewer and grantee 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 Name /2. Financial / / 2_Financial
a. Capital and Operating Budget for the Current Fiscal Year / / 2a_FY12 Budget.doc
b. Financial Statements for the Past Three Years / / 2b1_FY11 FinStmts.doc
/ 2b2_FY10 FinStmts.doc
/ 2b3_FY09 FinStmts.doc
c. Three to Five Year Capital and Operating Financial Plan / / 2c_Financial Plan.doc
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Grantee: Ohio DOT FY2012 Triennial Review Package v2012.2
REQUESTED DOCUMENTS /Review Area/Documents / Desk Review / Pre-Site Visit / Site Visit / Comment /
0. Background
a. Agency Organization Chart / Please ignore all shaded documents
b. Sample Marketing Materials
c. Sample Route Schedules/Pocket Timetables
d. System Map
e. Other
1. Legal
a. Authorizing Resolution
1. Designated Recipient
2. Grantee / X / N/A
b. Delegation of Authority/ Designation of Signature Authority for TEAM Process Form
1. Designated Recipient
2. Grantee / X / Provided as part of SMR Package
c. Annual List of Certifications and Assurances (with attorney’s signature if not PINned in TEAM) / X
d. Authorizing Legislation
e. Other
2. Financial
a. Financial Management Oversight Review/Financial Capacity Analysis Report and Response
b. Capital and Operating Budget for the Current Fiscal Year
c. Audited Financial Statements for the Past Three Years
d. Three to Five Year Capital and Operating Financial Plan
e. Local or State Funding Legislation
f. For the Current Fiscal Year, Completed Worksheet from FTA C 9030.1D Appendix C documenting that Operating Assistance is Calculated Correctly
g. Cost Allocation Plan and Cognizant Agency Approval
h. Delegation of Authority to Authorize ECHO Draws
i. ECHO Request and Payment Documentation / X
j. A-133 Single Audit Reports, SF-SACs and Management Letter Comments for the Past Three Years
k. OIG or GAO Audit Reports with Findings Relating to FTA
l. Internal, State, or Local Government Audit Reports
m. Other
3. Technical
a. Grant Administration Procedures, if written
b. Milestone Progress Reports / X
c. Transit Enhancement Reports (UZAs > 200,000) / X
d. Annual Program Status Reports (Sections 5316 and 5317)
e. Federal Financial Reports