The FY18 Triennial and State Management Review Guide, known as the FY18 Comprehensive Review Guide, is the culmination of a "back to basics" exercise to streamline FTA review programs, identify the minimum compliance requirements to which recipients are expected to comply, and determine the optimal methods for assessing compliance. Key to this effort was ensuring that all requirements were directly related to specific, citable, written requirements while also maintaining the overall intent of the reviews. This guide articulates what is expected of grantees and exactly how FTA will go about determining compliance.
Each question in the review guide includes:
- Basic Requirement: The minimum requirement to which all applicable recipients are expected to comply – directly tied to a law, regulation, circular, master agreement, or other binding guidance.
- Applicability: Broad identification of the recipients to which the requirement applies.
- Explanation: A recipient-focused, expanded explanation of the basic requirement.
- Indicators of Compliance: The questions FTA reviewers will answer to determine a recipient’s compliance with the basic requirement.
- Determining Compliance: Specific instructions to FTA’s reviewers about what and how to evaluate for compliance with each indicator.
- Potential Deficiency Determinations: Condition(s) under which a recipient could be deficient along with suggested corrective action.
- Governing Directives: Specific citations from law, regulation, circular, master agreement or other binding agreements that form the basis of the requirement for which a deficiency may be found.
- Areas of Concern for FTA Awareness: Issues and concerns from reviewers for FTA awareness that may indicate a need for additional review and/or technical assistance.
The changes made to the FY18 Comprehensive Review Guide are part of FTA’s ongoing commitment to the transit industry to improve consistency and transparency in its oversight reviews. We anticipate that these changes will result in a more efficient review process that provides our recipients with a clearer understanding of what is expected during a Triennial or State Management Review, how FTA reviewers determine compliance, and why a finding of deficiency is made.
Click the PDF above to download or jump to these sections:
- Section 1 Legal
- Section 2 Financial
- Section 3 Technical Capacity Award Management
- Section 4 Technical Capacity Program Management
- Section 5 Technical Capacity Project Management
- Section 6 Satisfactory Continuing Control
- Section 7 Maintenance
- Section 8 Procurement
- Section 9 Disadvantaged Business Enterprise
- Section 10 Title VI
- Section 11 Americans with Disabilities Act General
- Section 12 Americans with Disabilities Act Complementary Paratransit
- Section 13 Equal Employment Opportunity
- Section 14 School Bus
- Section 15 Charter Bus
- Section 16 Drug Free Workplace Act
- Section 17 Drug and Alcohol Program
- Section 18 Section 5307 Program Requirements
- Section 19 Section 5310 Program Requirements
- Section 20 Section 5311 Program Requirements
- Enhanced Review Module Worksheet: ADA
- Enhanced Review Module Worksheet: DBE
- Enhanced Review Module Worksheet: Financial Capacity
- Enhanced Review Module Worksheet: Financial Management
- Enhanced Review Module Worksheet: Maintenance
- Enhanced Review Module Worksheet: Procurement
- Enhanced Review Module Worksheet: Technical Capacity
- Enhanced Review Module Worksheet: Title VI