FY19 Comprehensive Review Guide
The FY19 Triennial and State Management Review Guide, known as the FY19 Comprehensive Review Guide, continues 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 for Recipient: 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.
- Instructions for Reviewer: 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 reformatting of the Comprehensive Review Guide (beginning in FY18) is 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.