Federal Transit Administration Federal Transit Administration State Management Review State Management Review of the of the Public Transportation Division Public Transportation Division Joint Legislative Transportation Oversight Committee Joint Legislative Transportation Oversight Committee Miriam Perry, Director Miriam Perry, Director Public Transportation Division Public Transportation Division 12/10/08 12/10/08
Public Transportation Division Public Transportation Division NCDOT administers/manages 7 FTA NCDOT administers/manages 7 FTA programs, 4 of which were reviewed programs, 4 of which were reviewed Section 5310 Section 5310 – – capital needs for elderly and disabled capital needs for elderly and disabled persons persons Section 5311 Section 5311 – – general public transit in rural areas general public transit in rural areas Section 5316 Section 5316 – – job related transportation for low income job related transportation for low income persons or reverse commute services (rural and urban persons or reverse commute services (rural and urban areas to suburbs for employment access) areas to suburbs for employment access) Section 5317 Section 5317 – – disabled transit and supportive services disabled transit and supportive services beyond requirements of Americans with Disabilities beyond requirements of Americans with Disabilities
Review Process Review Process FTA conducts reviews of state FTA conducts reviews of state DOTs DOTs and local and local transit system management of transit funding every transit system management of transit funding every three years three years Assesses management and implementation of 4 Assesses management and implementation of 4 FTA programs administered by NCDOT, 2 for the FTA programs administered by NCDOT, 2 for the first time beginning in SFY09 first time beginning in SFY09 FTA contractors conduct the assessment of 21 FTA contractors conduct the assessment of 21 areas of requirement, with FTA on site as resource areas of requirement, with FTA on site as resource 2 stages 2 stages – – desk audit and site visit to examine desk audit and site visit to examine supporting documentation and to examine FTA- - supporting documentation and to examine FTA funded facilities and equipment funded facilities and equipment
Review Process Review Process Review conducted Sept. 30 Review conducted Sept. 30- -Oct. 3 Oct. 3 Exit conference on Oct. 3 Exit conference on Oct. 3 12 of 21 review areas found deficiencies 12 of 21 review areas found deficiencies Draft comments transmitted to FTA on Draft comments transmitted to FTA on 10/20/08 10/20/08 Final report transmitted to NCDOT on Final report transmitted to NCDOT on 11/5/08 11/5/08
Findings Findings Program Management Program Management State Management Plan (SMP) update incomplete – – update from 1 update from 1 State Management Plan (SMP) update incomplete program to include 3 additional programs program to include 3 additional programs Inadequate staff resources to manage the programs Inadequate staff resources to manage the programs NCDOT response NCDOT response Draft of plan elements submitted in 7/08 Draft of plan elements submitted in 7/08 Completely revised document submitted 11/3/08 Completely revised document submitted 11/3/08 FTA comments received on 11/12/08 FTA comments received on 11/12/08 Final draft, with FTA comments addressed, transmitted on 12/5/08 Final draft, with FTA comments addressed, transmitted on 12/5/08 FTA approval plan on 12/9/08 FTA approval plan on 12/9/08 Federal funds will be immediately released for drawdown, based on n Federal funds will be immediately released for drawdown, based o grantee invoices to NCDOT grantee invoices to NCDOT msp1 Vacant positions to be reallocated for program manager and funds Vacant positions to be reallocated for program manager and funds management positions utilizing federal program funds management positions utilizing federal program funds
Slide 5 msp1 miriam perry, 12/10/2008
Findings Findings Grants Administration Grants Administration Grant progress and financial status reports not always Grant progress and financial status reports not always submitted by deadline submitted by deadline Grants with limited activity not closed in a timely manner Grants with limited activity not closed in a timely manner NCDOT response NCDOT response Recent staff changes have addressed this issue Recent staff changes have addressed this issue Reports submitted and grants closed as scheduled Reports submitted and grants closed as scheduled
Findings Findings Selection and Eligibility Selection and Eligibility Process to allocate funds for one program was questioned Process to allocate funds for one program was questioned - - Is process fair and equitable? Is process fair and equitable? Did not adhere to schedule for its applications for SFY09 Did not adhere to schedule for its applications for SFY09 NCDOT response NCDOT response Basis for award of grants to NCDOT for the past 27 years Basis for award of grants to NCDOT for the past 27 years Process documented in annual application solicitation and internal al Process documented in annual application solicitation and intern review checklist review checklist FTA has approved previously submitted process FTA has approved previously submitted process SFY09 grant schedule included 3 additional programs, with 5 new SFY09 grant schedule included 3 additional programs, with 5 new staff members staff members Detailed process documented in updated SMP Detailed process documented in updated SMP
Findings Findings Intercity Bus Intercity Bus 15% of the annual Section 5311 apportionment not expended for 15% of the annual Section 5311 apportionment not expended for intercity bus service for 2 years intercity bus service for 2 years NCDOT response NCDOT response Utilized funds from previous year grant to support intercity bus Utilized funds from previous year grant to support intercity bus service service Funds not needed to support major corridors/routes identified Funds not needed to support major corridors/routes identified for intercity bus service for intercity bus service Funds are to be “ “programmed programmed” ” only for qualifying intercity service only for qualifying intercity service Funds are to be
Findings Findings Maintenance Maintenance NCDOT does not provide adequate oversight of subrecipient vehicle e NCDOT does not provide adequate oversight of subrecipient vehicl maintenance practices maintenance practices NCDOT response NCDOT response All contracts between NCDOT and transit system have a vehicle an All contracts between NCDOT and transit system have a vehicle and d facility maintenance clause facility maintenance clause System Safety Program Plan (SSPP) approved by FTA in 2006 System Safety Program Plan (SSPP) approved by FTA in 2006 incorporates vehicle maintenance documentation review incorporates vehicle maintenance documentation review Reviews began in 7/07 on 3- -yr. cycle, with 1/3 to be conducted yr. cycle, with 1/3 to be conducted Reviews began in 7/07 on 3 annually annually Schedule developed to review remaining 43 systems’ ’ vehicle vehicle Schedule developed to review remaining 43 systems maintenance documentation, beginning 12/08 maintenance documentation, beginning 12/08 Working with ITRE to accelerate implementation of web Working with ITRE to accelerate implementation of web- -based based software software
Findings Findings Procurement Procurement NCDOT does not provide adequate oversight of subrecipient NCDOT does not provide adequate oversight of subrecipient procurement activities procurement activities NCDOT response NCDOT response Established process for subrecipient invoices to be accompanied Established process for subrecipient invoices to be accompanied by by procurement checklist procurement checklist NCDOT conducts vehicle procurements on behalf of NCDOT conducts vehicle procurements on behalf of subrecipients subrecipients, , rural and urban, to ensure compliance with federal procurement rural and urban, to ensure compliance with federal procurement requirements requirements Five vehicle and equipment bids were examined in detail during Five vehicle and equipment bids were examined in detail during review – review – no errors were identified no errors were identified Four local quotes reviewed were for radio equipment between Four local quotes reviewed were for radio equipment between $2,500 and $30,000 $2,500 and $30,000 New staff is aware of checklist requirement New staff is aware of checklist requirement
Recommend
More recommend
