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2017 VTA Webinar
Federal TransitAdministration Updates
May 4, 2017
Tony Tarone
Deputy Regional Administrator
FTA Region III
Presentation Overview FTA Updates – Tony Tarone
TrAMS Updates and Tips – Kathleen Zubrzycki
Triennial Review Overview – Tony Cho
Procurement/piggybacking – Anthony Romero
Q&As – Tony Tarone
FTA Updates
Status of FTA Budget
Recent Organizational Changes
Region III Business Plan
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Business Plan Key Initiatives• To be a premier regional office offering quality
service to our stakeholders
• To provide timely technical guidance and
oversight for our grantees
• To streamline processes for enhanced
efficiency
• To promote professional growth and
development
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www.transit.dot.gov
TrAMS Update
Kathleen Zubrzycki
Director, Planning & Program Development
FTA Region III
• TrAMS Enhancements
• Region III TrAMS Grant Development Reference Guide
• TrAMS Reminders and TIPS
Overview
• FTA continues to refine TrAMS to improve
efficiency and ease of use
• The following slides are a few of the most recent
changes
TrAMS Enhancements
New Developer Transmit Function
• The purpose of the change is to increase functionality
for the Developer User Role to “Transmit” the
application to FTA for review
TrAMS Enhancements
New Disbursement Report• The “Disbursement Report” is designed to allow TrAMS users to
identify and analyze individual disbursements or refunds to
awards that are in active/executed status as well as awards that
have been closed
TrAMS Enhancements
Closeout Amendment Enhancement
• A new rule has been implemented that no longer
launches new FFR/MPR reporting tasks if you have
already initiated a closeout amendment in TrAMS
TrAMS Enhancements
Region III TrAMS Grant Development Reference Guide
• Supplemental reference
guide to developing grant
applications in TrAMS
consistent with FTA Region
III guidance
• Available soon on Region III
website under Region III
Resource Center
Region III TrAMS Grant Development Reference Guide
• Includes:
• Creating an application in TrAMS
• Application Executive Summary and Samples
• Creating a Project
• Project Plan Information
• Budget and Activity Line Items
• Extended Budget Descriptions – Samples
• Milestone Samples (Streamlined!)
Region III TrAMS Grant Development Reference Guide
• Additionally Includes:
• Document Attachment Guide
• Funding Summary Sheet Sample
• Section 5307 Security Guide
• Limitation Codes
• Super Grants
• Grant Review Notification Process
Using Standard Language in Executive Summary
• Award’s Period of Performance – Start date is the
date of grant award; End date is the latest grant
milestone
• Designated and Direct Recipients
• Application does (does not) include funds for
Research and/or Development Activities
• Application does (does not) include Indirect Costs
Note: A future TrAMS Enhancement will create fields for
some of this information
TrAMS Reminders
Applying Flex Funds in TrAMS
Major Steps:
1) MPO programs Flex Funds in TIP
2) Grantee develops new application in TrAMS
3) Grantee requests VDRPT to initiate Flex transfer
4) FTA assesses eligibility of Project and approves Flex
transfer
TrAMS Reminders
Grant Review Notification Process
• In an effort to improve efficiencies and further enhance Region III’s grant
processing, we have implemented a grant review notification process
• For all draft grant applications that are ready for initial review, we ask that you
utilize the following process:
• Grantees should continue to send an email to your FTA Assigned Community
Planner or Transportation Program Specialist letting them know that a draft
grant application is ready for initial FTA review
• Email subject should be “Grant Number - Initial Review Requested.”
• A copy (cc) should be sent to the following grant review notification email
address:
TrAMS Reminders
Federal Financial Reports/
Milestone Progress Reports
• Preferred reporting period is quarterly
• Please use the recipient remarks box
• Any anomalies should be justified
• TEAM grants are susceptible to glitches
TrAMS Tips
Budget Revisions/Closeouts
• Propose budget revisions to your project manager
• Closeouts are ideally completed at the end of the
reporting period
• Deobligation of funds requires budget adjustment
• Closeouts can be completed unilaterally at any time
TrAMS Tips
Super Grant
• Do you have a project being funded by more than one
FTA funding source?
• Are you looking for ways to streamline your grant
review process and save you time?
Well, then consider a…..
Super Grant!
TrAMS Tips
• Contact the FTA Region III Office
Region III Website- Staff Organization
• Contact TrAMS Help Desk
877.561.7466
• Go to TrAMS Online Information
www.fta.dot.gov/TrAMS
Resources
Triennial Review Overview
Tony Cho
Director, Program Management
and Oversight
FTA Region III
• Triennial Review trends
• Oversight Assessment Tool
• Enhanced Review Modules
• Workshops
• What not to do: A Triennial Review Story
Overview
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15
20
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2014
2015
2016
Trending findings in Region III
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FY14-16 Triennial Review Findings Distribution605 total reviews nationwide
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It all starts with the OAT• The Oversight Assessment Tool (OAT) is
completed yearly by FTA regional office staff for
each grantee, focusing on several areas of
importance for FTA
• Good communication with your FTA program
managers throughout the year can greatly aid in
accurate completion of the OAT
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It all starts with the OAT• Items identified in the financial management or
technical capacity areas of the OAT could indicate
issues in this area
• Maintenance, DBE, Title IV and Procurement are
also reviewed for potential issues
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Enhanced Review Modules• FTA may add an Enhanced Review Module (ERM)
to your TR if there is cause for a more focused
review in a certain area
• An ERM involves adding a Subject Matter Expert
(SME) to your review, with additional ERM
questions asked for focus area
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Enhanced Review Modules• Common triggers for ERMs
– Repeat/open findings
– Other review/audit findings
– Problems in closing past findings
• Including poor quality corrective actions
– Complaints
– Inadequate reporting to FTA
– Single Audits missing
– Numerous rejections or credits/refunds in ECHO
– Major new projects
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Workshops• FTA holds annual workshops to help prepare
grantees for their reviews
• The workshops are for you!
– Learn how the reviews have changed since your last
review
– Ask questions, talk with FTA and reviewers
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What Not To Do:A Triennial Review Story
• The Overly Confident Transit Agency (OCTA) of
Somewheresville, VA, a small urbanized area, is
due for their Triennial Review this year
• OCTA has not had any findings on their three
previous reviews, and they aren’t expecting that
to change!
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What Not To Do• “No findings on three previous TRs…so we don’t
expect any now”
– Don’t assume it will always be this way
– Changing regulations and requirements
– Reviewers approach TRs differently based on changing
checklists and regulations because of a dynamic
environment
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What Not To Do• “Never, ever call the FTA for help!”
– Asking questions is a good thing!
– Our job is to help foster compliance, we can’t do that
if you don’t let us know where you need help
– Asking questions will not trigger additional reviews or
scrutiny
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?
?
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What Not To Do• “Many Grantee Information Request (GIR)
questions don’t apply to us”
– Answer all questions on the GIR to the best of your
ability; this will result in fewer on-site questions and
can help your review to go smoother
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What Not To Do• “Our reviewers won’t want to be bothered with
tons of documentation, we will pull files when
requested”
– Leaving the room continually will slow down the
progress of your review, and is frustrating to your
reviewers; make sure to have all documentation ready
and accessible
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What Not To Do• “We aren’t sure what the reviewers will need, so
we will just provide everything…
boxes and boxes
and boxesof stuff”
– Please prioritize and organize your materials
– Having everything readily available is great, but your
reviewers will need to be able to find and identify
what they are looking for
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What Not To Do• “Vehicle maintenance isn’t an issue for OCTA,
our vehicles are always serviced on or ahead of
schedule”
– Early maintenance may seem like a good way to play it
safe, but you can get a finding for too early service the
same way you can get one for late preventive
maintenance
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What Not To Do• “I wrote the check to the vendor within three
days of my ECHO draw…but when did I mail the
check???”
– Release of funds is not complete when the check is
written, but rather when the check is actually released
to the vendor
– Holding checks will cost you; interest due to the US
Treasury will accrue from the date of the draw if funds
are not released within three days
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What Not To Do• “We will argue relentlessly on any and all
findings”
– Findings happen, it’s not the end of the world
– Arguing with your reviewers won’t change the
outcome, and can make the review unpleasant for
everyone
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Update onUse of Existing Contract Rights
& Joint Procurements
Anthony Romero
Procurement Specialist
FTA Region III
Defining Terms
• A piggyback is the assignment of an existing contract
right
• A joint procurement is when two or more grantees
use a single solicitation document to enter into a
single contract for specified deliverables
Use of Assignments (Piggyback)• Excess Quantity Issue
– Excess quantities for assigning contract rights are not allowed
• Assignments are only available for inadvertent acquisitions, changed
circumstances or honest mistakes
Use of Assignments (Piggyback) (continued)
• Their Contract is Your Contract
– Confirm an assignment clause for base and/or options
– Must review the original contract to ensure compliance
with Federal Requirements, including, but not limited to:
• Adequate competition
• Fair and reasonable price
• Buy America requirements
• Ensure assignor did not procure unreasonably large quantities
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Use of Joint Procurements• Preferred Over Assignments
– Joint procurements represent combined buying power
– Permits parties to conduct acquisitions responsive to each
purchaser’s material requirements
• Still utilizes a single contract defining rights and responsibilities
Use of Joint Procurements(continued)
• Your Contract is Their Contract
– All recipients that participate in a joint procurement must
adhere to all applicable Federal requirements
• Includes prohibiting against procuring unneeded items
– All recipients that participate in a joint procurement are
equally responsible for actions taken in response to
noncompliance
• No blaming the lead Agency!
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Avoiding disallowances and litigation
makes grantees happy!
Questions?
Federal Transit Administration
www.fta.dot.gov
