STATE MANAGEMENT REVIEW WORKSHEET€¦ · Web viewElectronic versions of the documents are preferred. Questions for the Assessment. This section of the package lists the questions

ASSESSMENT PACKAGE

FY 2011American Recovery and Reinvestment Act (ARRA)

Management Assessment

of

Ohio Department of Transportation(ODOT)

RECIPIENT ID: 1225

Site Visit Dates: November 16-18, 2010

Prepared for

Federal Transit AdministrationRegion V

200 West Adams StreetSuite 320

Chicago, IL 60606

Prepared by

John PottsThe DMP Group, LLC

2233 Wisconsin Avenue, NWSuite 405

Washington, DC 20007202-726-2630

[email protected]

Table of Contents

INSTRUCTIONS 1TENTATIVE SITE VISIT SCHEDULE 2REQUESTED DOCUMENTS 3QUESTIONS FOR THE ASSESSMENT 5

0. Background 51. Program Management 62. Grant Administration 83. Financial Management 94. Procurement 125. Disadvantaged Business Enterprise 206. Buy America 227. Lobbying 248. Debarment and Suspension 259. Title VI 26

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INSTRUCTIONSThe Federal Transit Administration (FTA) is conducting an ARRA assessment of the Ohio Department of Transportation (ODOT). The assessment reviews management practices and program implementation of the American Recovery and Reinvestment Act (74 FR 9656), The purpose of the assessment is to ensure that the programs are administered in accordance with 49 U.S.C. Chapter 53, Federal transit law provisions and FTA requirements and that program objectives are being met.

An ARRA assessment consists of two stages. The first stage is a desk review conducted at the FTA regional office. During the desk review, FTA files pertaining to the state’s ARRA projects and TEAM-Web data are reviewed and discussed with FTA staff. The desk review has been completed. The second stage is a site visit where FTA representatives and the grantee discuss outstanding issues, examine FTA-funded facilities and equipment, review necessary additional documents, and visit selected subrecipients. The site visit has been scheduled for November 16-18, 2010. John Potts of The DMP Group will assist FTA staff in conducting the assessment.

As part of FTA’s ongoing effort to minimize the use of grantee valuable staff time during the site visit and expedite the issuing of the draft report, this package contains the comprehensive list of all the items that will be needed. Please complete this package, assemble the requested documents, and send the completed package and the documents to the reviewer so that they arrive no later than November 9th. Please send an electronic version of the completed package in Microsoft Word format, not in portable document format (pdf). The reviewer will enter additional information. Electronic versions of the requested documents also 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.

Documents. This section of the package lists the documents needed for the assessment. Some of the documents are requested to be provided in advance of the site visit. Electronic versions of the documents are preferred.

Questions for the Assessment. This section of the package lists the questions to be answered. Many of the questions require more than a yes or no answer. Written answers are required before the site visit during which the answers will be discussed. For each section, grantees are to begin responding in the table under the areas entitled “Questions.” Please note that efforts have been made to eliminate assessment areas and questions that do not appear to be applicable to ODOT and its ARRA projects. However, if issues arise during the site visit that relate to FTA requirements that were not asked, FTA reserves the right to address those requirements during the site visit.

The ARRA projects selected for site visits are those administered by the City of Marion (Marion Area Transit) and Carroll County (Carroll County Transit). Please reference the Site Visit Schedule included in this package for proposed dates and times for the subrecipient visits. Please notify the subrecipients of our scheduled Site Visit and proposed days and times we plan to visit their facilities. We will want to review relevant documentation, such as procurement solicitations, contracts, project status reports, etc., and observe any facility construction in-progress and/or inspect vehicles and equipment purchased with ARRA funds.

If you have any questions about the assessment, the discussion items, or the documentation required, please contact Cyrell McLemore of FTA Region V at 312-866-1625 or [email protected] or Mr. Potts at 504-283-7661 or [email protected]. We look forward to a meaningful and successful visit. Thank you.

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SITE VISIT SCHEDULE

Tuesday, November 16, 2010

9:00 – 9:30 Entrance Conference

9:30 – 10:00 Program Management

10:00-10:30 Grant Administration

10:30 – 11:30 Financial Management/Review Echo Draws

11:30 – 12:00 DBE

12:00 – 1:30 Lunch

1:30 – 3:00 Procurement / Buy America/ Debarment and Suspension / Lobbying

Review selected ARRA procurement records at ODOT

3:00 Travel to Carroll County

Wednesday, November 17, 2010

9:00 – 9:30 Carroll County Transit - Introductions

9:30 – 12:00 Procurement/ Debarment and Suspension/ Lobbying/ Buy America/ DBE/ Title VI

Review selected ARRA procurement records at City of Marion

12:00 – 1:30 Lunch

1:30 Tour Facility Construction

3:00 Travel to Marion

Thursday, November 18, 2010

9:00 – 9:30 Marion Area Transit - Introductions

9:30 – 12:00 Procurement/ Debarment and Suspension/ Lobbying/ Buy America/ DBE/ Title VI

Review selected ARRA procurement records at Carroll County

12:00 – 1:30 Lunch

1:30 Tour Facility Construction

3:00 Travel to ODOT, if time permits

4:00 Exit Conference with ODOT (Location to be determined)

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REQUESTED DOCUMENTSThe table below details the documents needed for the assessment as follows:

Information to be sent in advance : Please send to the reviewer the documents indicated by an “X” in the “Provide by” column. As discussed below, please send electronic versions. If sending hard copies, please do not send original documents. Please send the documents so that they arrive no later than November 9, 2010.

Information to have available on site : At the site visit, please provide access to information indicated by an “X” check 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 assessment area, with a folder created for each assessment 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 you and the reviewer 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

Assessment Area/ Document Folder/File Name

1. Program Management 1 Program Management

a. Summary Listing of Oversight Activities 1a ARRA Oversight.doc

2. Grants Administration 2 Grants Administration

a. Project status schedule for ARRA grants 2a ARRA Grants.doc

Assessment Area/Documentation Provide by11/9/2010 Site Visit

0. Backgrounda. Current Organizational charts with names for:

i. ODOT Office of Transitii. Marion Area Transitiii. Carroll County Transit

X XX

1. Program Managementa. Summary listing of oversight activities completed (reports,

compliance checklists, and follow-up letters/reports) for ARRA-funded projects during the past two years.

X

b. Force Account Plans for ARRA PM projects over $100,000 X2. Grants Administration

a. Project Status and close-out schedule for ARRA grants X3. Financial Management

a. ECHO request and payment documentation (Reviewers will review a sample of ECHO drawdown.) X

b. SF-SACs and, for years with findings related to the transit programs, single audit reports and management letters for FY 2009 and FY 2010 (if available)

X

3

Assessment Area/Documentation Provide by11/9/2010 Site Visit

c. OIG or GAO audit reports with findings relating to FTA Xd. Grantee or local government audit reports of ODOT X

4. Procurement a. List of all FTA ARRA-funded procurements Xb. Reviewers will examine a sample of procurement files during the

site visit X

5. DBEa. DBE goal due to FTA on August 1, 2010 Xb. Compliance monitoring reports for Marion Area Transit and

Carroll County Transit, if applicable X

c. Uniform reports of DBE awards and commitments or payments for 2009 and 2010

X

d. DBE certification(s) from TVM, for ARRA-funded vehicles Xe. DBE complaints/protests related to ARRA-funded projects X

6. Buy America a. Waiver requests and/or approvals for ARRA-funded projects Xb. Reviewers will examine a sample of procurement files during the

site visit X

7. Lobbyinga. Reviewers will examine a sample of procurement files during the

site visitX

8. Debarment and Suspensiona. Reviewers will examine a sample of procurement files during the

site visitX

9. Title VIa. Environmental Justice Analyses for ARRA-funded projects, if

applicableX

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QUESTIONS FOR THE ASSESSMENT0. Background

Please provide the following background information on ARRA grants.

General ARRA Project Information

How many subrecipients received ARRA grants from ODOT?

Please provide a list of ARRA-funded subrecipients, grant amounts and brief project descriptions (below).

There are 34 rural program subrecipients that received ARRA funding.

Grant Activity

Please provide a brief description of ARRA projects completed, on-going or planned.

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1. Program ManagementBasic Requirement: The state must be able to manage the FTA funded programs in accordance with the grant application, grant agreement, and all applicable laws and regulations using sound management practices.

Reviewed Not Applicable

Not Deficient Deficient

DEFICIENCIES

No technical assistance provided in meeting FTA requirements

Inadequate oversight system

Lacking force account plan/justification

No cost effectiveness documentation for capital lease

No procedures for technical inspection/supervision of work in progress

Excessive delay in project implementation

Insufficient resources

Other

Questions1.For ARRA-funded projects, have the state

or subrecipients implemented similar projects in the past three years? How is technical capacity to be maintained or increased to ensure project implementation?

Chillicothe Transit System - $1.7 M in 5311 funds for facility construction. TPC is $3.4 M.

Shelby County Transit Facility- $1.238 M in 5311 funds for facility construction. TPC $1.375 M.

Using personal service contracts to supplement technical assistance needs and QAR’s for D&A while state staff conduct oversight of ARRA. Also using District level planning staff for “in community” monitoring of projects and verifications of smaller projects.

2.Has the state awarded ARRA funds to any subrecipient(s) that was not a previous recipient of Section 5311 funding?

YES NO

3.Is the state’s or a subrecipient’s work force used in the execution of ARRA grant projects?

YES NO

a. If the force account work equals $10,000,000 or more, was a force account plan and justification submitted to FTA?

YES NO N/A

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b. Is a plan on file for force account work of $100,000 or more but less than $10,000,000

YES NO N/A

4.Does the state or subrecipient have the necessary resources (this may include, but is not limited to, staff, financial, technical, etc.) to maintain its current program and implement the additional ARRA projects? If no, how does the grantee plan to acquire the resources?

YES NO

5.Does the state have adequate resources and procedures to provide additional necessary oversight for subrecipient ARRA projects? If no, how does the state plan to acquire the resources?

YES NO

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2. Grant AdministrationBasic Requirement: The state must certify to FTA that it will comply with applicable Federal requirements and that each subrecipient has met all statutory and program requirements before expending Federal funds on a project. The grantee must develop and implement grant administration procedures to track and report on the program of projects, expend grant funds timely, and close out projects and grants when project activity is completed.



DEFICIENCIES

Late/incomplete program status reports/MPRs

Late FFRs

Incorrect FFR reporting

Inactive ARRA grants/untimely grant closeouts

Other

Questions

1.Has the state amended or revised a non-ARRA grant to eliminate a project similar to one funded in an ARRA-funded grant? If yes, please explain and document.

YES NO

2.Has the state submitted its ARRA Reports (1512, 1201(c)) timely? Are the state’s ARRA Reports (1512, 1201) complete and accurate?

YES NO

3.Has the state submitted its progress reports for ARRA grants on time?

YES NO

4.Do the progress reports for ARRA grants contain the required information?

YES NO

5.Has the state submitted its FFRs for ARRA grants on time?

YES NO

6.Has the state correctly reported unliquidated obligations for ARRA grants?

YES NO

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3. Financial ManagementBasic Requirement: The grantee must have the financial capacity to carry out the FTA programs. The grantee expends and accounts for Federal funds in accordance with grantee laws and procedures for expending and accounting for grantee funds. The grantee must have annual single audits conducted and resolve program related findings.

Reviewed Not Reviewed

Deficient Not Deficient

DEFICIENCIES

Insufficient financial oversight of ARRA-funded grant(s)

Insufficient financial capacity

Grantee administration exceeds cap on ARRA grant(s)

Cost allocation plan deficiencies

Insufficient tracking of ARRA grant balances

ECHO documentation deficient for ARRA grant(s)

Excess cash problems

Ineligible expenses charged to grant

Insufficient effective control

Other

Questions

Part A: Eligible Expenditures

1.Is the state using ARRA funds for administration? If yes, do the amounts exceed the allowable percentage of the grant?

YES NO

2.Is the state using ARRA funds for operating assistance? If yes, do the amounts exceed the allowable percentage of the grant?

YES NO

3.Are indirect costs charged to an ARRA grant? If yes, does the state or subrecipient have a cost allocation plan to support indirect administrative costs related to the ARRA grant program? If yes, what agency approved the plan? Has the state or subrecipient been following the plan?

YES NO

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Part B: Funds Management

4.What is the process for receiving and disbursing ARRA funds?

ODOT disburses funds from the Public Transit Assistance Program budget (established by the Office of Budget and Management) to grantees for reimbursement of approved expenses. ODOT prepares an ECHO request to reimburse the Public Transit Assistance Program budget after the disbursement is posted to the ODOT Current Bill.

a. Do records support ECHO requests and the disbursement of funds?

YES NO

b. Are draw requests signed by an authorized official other than the individual who requests the payment?

YES NO

c. Are funds disbursed within three business days of receipt?

YES NO Funds are expended by the state prior to requesting reimbursement through ECHO

Part C: Audits/Reviews

5.Have the annual single audits for FY 2009 and/or FY 2010 been conducted?

YES NO The SFY 2009 single audit is complete. The SFY 2010 single audit is in process.

a. Are there any unresolved audit issues relating to FTA ARRA grants?

YES NO

b. Has the state submitted the single audit reporting form (SF-SAC) and, if there are findings related to the FTA ARRA grants, the relevant sections of the single audit report and the management letter comments to FTA?

YES NO The SF-SAC was submitted July 2010.

6.Since the last SMR, have any Government Accountability Office (GAO) or Office of Inspector General (OIG) reports had findings related to ARRA grant requirements? If yes, have these findings been resolved?

YES NO

7.Since the last SMR, have any internal reviews or audits covered the ARRA transit grants? If yes, have all the findings related to ARRA transit grant requirements been resolved?

YES NO The Office of Budget and Management conducted a Capital Transit Assistance – Non-Urban Formula ARRA Program Audit. The final report was issued March 9, 2010. The scope of the audit included Program Planning, Application Process, Program Administration and Monitoring and Reporting. There were no observations or recommendations identified as a result of the audit.

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8. How does the state ensure that ARRA sub recipients have resolved any single audit findings related to ARRA grants?

All ARRA funds disbursed are included in the Office of Audits annual list of federal funds disbursed. The Office of Audits compares each sub recipients Schedule of Federal Expenditures to the list of federal disbursements.

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Exhibit 4.1EXAMINATION OF ECHO DRAWDOWNS for ARRA-Funded Projects

This table will be completed by the reviewer during the site visit.

Project Number (Grant

number)

Financial Purpose

Code

ECHO Transaction

Date

ECHO Transaction

Amount (minimum of

3)

Segregation of Duties

(Y/N)

Underlying Transaction

Amount (minimum

of 30)

Federal Share of

Underlying Transaction

Source Documentation for Underlying

Transaction Amount (i.e.

invoice, payroll, etc.)

Grant Eligible

(Y/N)Date of

Disbursement

4. ProcurementBasic Requirement: States and subrecipients use their own procurement procedures that reflect applicable grantee laws and regulations, provided that the process ensures competitive procurement and the procedures conform to applicable Federal law, including 49 CFR Part 18 (specifically 18.36).



DEFICIENCIES

Lacking full and open competition for one or more methods of procurement

Improper use of geographic preferences

Brooks Act not followed

Responsibility determination deficiencies

No FTA clauses

Contract(s) exceed five year limitation

Improper piggyback purchase

Insufficient oversight of procurement

Deficiency with model testing requirements

Insufficient oversight of bus testing

Other

Questions 1.Has the state or subrecipient included

geographic preferences in any of its ARRA funded procurements?

YES NO

2.Did the state or subrecipient contract directly for architectural and engineering (A&E) services using ARRA funds? If yes, answer (a) below. If no, answer (b) below:

YES NO

a. Does the state have a statute prescribing a formal procedure for the procurement of architectural and engineering services?

YES NO ORC 153.65-.71 Copy is attached. Title- Qualifications Based Selection Process

b. Did the state use competitive proposal procedures based on the Brooks Act?

YES NO

3. Have applicable clauses been included in ARRA-funded procurements exceeding the micro-purchase limit and construction contracts over $2,000 in intergovernmental agreements and subrecipient agreements?

YES NO

4. Does the state or subrecipient(s) have any ARRA-funded contracts for rolling stock and replacement parts that exceed five years in total length, including base and options?

YES NO

5. What procedures does the state or subrecipient follow to ensure award of ARRA-funded projects to responsible contractors possessing the ability, willingness, and integrity to perform successfully under the terms and conditions of the contract?

ODOT reviews and concurs with all procurements to ensure that sub-recipient is following the required

federal and state procurement regulations

6. Has the state purchased ARRA-funded vehicles as a piggyback procurement? If yes, indentify.

YES NO

a. Is the appropriate documentation on file?

YES NO N/A

7. How does the state ensure that subrecipients and contractors comply with FTA requirements when making ARRA-funded procurements with FTA assistance?

ODOT reviews all procurement bid documents to ensure that the federal clauses are included and reviews the sub-recipients procurement process. ODOT attends design and construction meetings. ODOT used its own vehicle term contracts which

comply with FTA procurement requirement. ODOT will also perform Quality Assessment Reviews of

each of the projects. Part C: Altoona Bus Testing

8. Have buses been purchased or leased with ARRA funds? If yes:

YES NO

a. What is the bus model(s)? Goshen Coach Model 884, Goshen Coach Model G4500, Startrans Model BSSN25, Eldorado National,

Inc. Model 240 Aerotech

b. Has this model(s) already been Altoona tested?

YES NO

If yes, was a copy of the test report received prior to the expenditure of FTA funds?

YES NO Copy of Altoona Testing information is required within the

bid documentsIf no, was a certification from the manufacturer that the bus does not need to be tested received?

YES NO N/A

9. How does the state ensure that subrecipients and contractors purchasing ARRA-funded buses on its behalf comply with bus testing requirements?

ODOT reviews all procurement bid documents to ensure that the federal clauses are included and

reviews the sub-recipients procurement process for all vehicles not purchased off of ODOT State Term

Contracts.

Exhibit 4.1PROCUREMENTS EXAMINED

These tables will be completed by the reviewer during the site visit.

METHOD TYPE GOODS DATE AMOUNT

1.

2.

3.

4.

5.

6.

LEGEND: X – included; O – not included; NA – does not apply

Exhibit 4.2A. REQUIRED THIRD-PARTY CONTRACT CLAUSES

(excluding micro-purchases, except for construction contracts over $2,000)

CLAUSE COMMENTMASTER

AGREEMENT REFERENCE

1 2 3 4 5 6

All FTA-Assisted Third-Party Contracts and Subcontracts

No federal government obligations to third-parties by use of a disclaimer

§2.f

Program fraud and false or fraudulent granteements and related acts

§3.f

Access to records §15.t

Federal changes §2.c(1)

Civil rights (EEO, Title VI & ADA) §12

Disadvantaged business enterprises (DBEs)

Contracts awarded on the basis of a bid or proposal offering to use DBEs

§12.d

Incorporation of FTA terms

Per FTA C 4220.1F §15.a

Prompt payment and return of retainage

Per 49 CFR Part 26, if grantee meets the threshold for a DBE program (for non-TVM purchases)




AGREEMENT REFERENCE

1 2 3 4 5 6

Awards Exceeding $10,000

Termination provisions 49 CFR Part 18 §11

Awards Exceeding $25,000

Debarment and suspension

2 CFR Parts 180 and 1200 §3.b

Awards Exceeding the Simplified Acquisition Threshold ($100,000)

Buy America

When tangible property or construction will be acquired

§14.a

Provisions for resolution of disputes, breaches, or other litigation

§54

Awards Exceeding $100,000 (by Statute)

Lobbying §3.d

Clean air §25.b

Clean water §25.c

Transport of Property or Persons

Cargo preference

When acquiring property suitable for shipment by ocean vessel

§14.b

Fly America

When property or persons transported by air between U.S. and foreign destinations, or between foreign locations

§14.c

Construction Activities

Davis Bacon Act

Except for contracts <$2,000 or third party contracts for supplies, materials, or articles ordinarily available on the open market

§24.a

Copeland Anti-Kickback Act

Contracts >$100,000 §24.a




AGREEMENT REFERENCE

1 2 3 4 5 6

Contract Work Hours & Safety Standards Act

Contracts >$100,000 §24.a

Bonding for construction activities exceeding $100,000

- 5% bid guarantee

- 100% performance bond

- Payment bond equal to: 50% for

contracts < $1 M

40% for contracts > $1 M, but < $5 M

$2.5 M for contracts > $5 M

§15.o(1)

Seismic safety

Contracts for construction of new buildings or additions to existing buildings

§23.e

Nonconstruction Activities

Nonconstruction employee protection (Contract Work Hours and Safety Standards Act)

Applicable to all turnkey, rolling stock and operational contracts (excluding contracts for transportation services) > $100,000

§24.b

Transit Operations

Transit employee protective arrangements

Applicable to Section 5307, 5309, 5311 and 5316 projects

§24.d

Charter service operations §28

School bus operations §29

Drug and Alcohol Testing

Safety sensitive functions §32.b




AGREEMENT REFERENCE

1 2 3 4 5 6

Planning, Research, Development, and Documentation Projects

Patent rights §17

Rights in data and copyrights §18

Miscellaneous Special Requirements

Energy conservation §26

Recycled products

Contracts for items designated by EPA, when procuring $10,000 or more per year

§15.k

ADA access

Contracts for rolling stock or facilities construction/ renovation

§12.g

Assignability clause Piggyback procurements §15.a

Special Notification Requirements for Grantees

Special notification requirements for grantees

§38

Exhibit 4.3B. REQUIRED CERTIFICATIONS, REPORTS, AND FORMS


REQUIREMENT COMMENTSMASTER

AGREEMENT REFERENCES

1 2 3 4 5 6

Bus testing certification and report

Procurements of buses and modified mass produced vans

§15.n(4)

TVM certifications

Procurements of buses and modified mass produced vans

§12.d(1)

Buy America certification

Procurements of steel, iron or manufactured products > $100,000

§14.a

Pre-award audit Rolling stock procurements §15.n(3)

Pre-award Buy America certification

Rolling stock procurements > $100,000

§15.n(3)

Pre-award purchaser’s requirements certification

Rolling stock procurements §15.n(3)

Post-delivery audit Rolling stock procurements §15.n(3)

Post-delivery Buy America certification

Rolling stock procurements > $100,000

§15.n(3)

Post-delivery purchaser’s requirements certification

Rolling stock procurements §15.n(3)

On-site inspector’s report

Rolling stock procurements > 10 vehicles for areas >200,000 in population and 20 for areas <200,000 in population

§15.n(3)

Federal motor vehicles safety standards pre-award and post-delivery certification

Non-rail rolling stock procurements

§15.n(3)

Lobbying certificationProcurements exceeding $100,000

§3.d(1)

Exhibit 4.3B. REQUIRED CERTIFICATIONS, REPORTS, AND FORMS


REQUIREMENT COMMENTSMASTER

AGREEMENT REFERENCES

1 2 3 4 5 6

Standard Form LLL and quarterly updates (when required)

Procurements > $100,000 where contractor engages in lobbying activities

§3.d(1)

5. Disadvantaged Business EnterpriseBasic Requirement: States and subrecipients must comply with 49 CFR Part 26 to ensure nondiscrimination in the award and administration of DOT assisted contracts. Grantees also must create a level playing field on which DBEs can compete fairly for DOT assisted contracts.



DEFICIENCIES

Goal not submitted to FTA

Goal did not include ARRA contracting opportunities

Uniform reports did not include ARRA contracting opportunities

Inadequate oversight of subrecipients/contractors

No TVM certification

Unresolved or outstanding complaints

Other

1.Were ARRA-funded projects included in DBE goals submitted to FTA on August 1, 2010?

YES NO ARRA funded projects were submitted as part of the DBE Goal Submitted August 1, 2009

2.Has the state submitted the Uniform Report of DBE Awards or Commitments and Payments semi-annually?

YES NO

Did the report include ARRA-funded projects?

YES NO

3.Did the state or subrecipient award an ARRA-funded contract to a firm that did not meet the specified DBE solicitation goal? For these instances, how did the state determine if “good faith efforts” were sufficient?

YES NO

4.Has the state or subrecipient included required prompt payment and return of retainage clauses in its ARRA-funded procurement documents?

YES NO

5.How does the state monitor contractors and subrecipients to ensure that DBE obligations are fulfilled on ARRA-funded projects?

Contracts with Sub-recipients are not issued until DBE requirements are met, and DBE Program Plans are in place. Sub-recipients must receive ODOT concurrence on all project contracts prior to execution; ODOT attends construction meetings and reviewing construction meeting notes, conducts site visits. All vendors associated with projects are in attendance at regularly scheduled construction meetings.

What enforcement mechanisms does the state or subrecipient use for DBE requirements?

Contracts with Sub-recipients are not issued until DBE requirements are met, and DBE Program Plans are in place.

Does the state require subrecipients or contractors to obtain approval from its DBELO prior to substituting a DBE firm after contract award?

YES NO

6.How does the state or subrecipient(s) monitor prime contractors to ensure that DBEs are actually performing applicable work on ARRA-funded projects?

Through construction meetings and reviewing construction meeting notes. Site Visits for project status.

7.For ARRA-funded procurements of transit vehicles (e.g. buses, vans), did the state and subrecipients obtain DBE certifications from the transit vehicle manufacturers (TVM) with the bids/proposals submitted?

YES NO

8.Did the state or its subrecipients receive any complaints or procurement protests alleging that it did not comply with the DBE regulations for ARRA-funded projects?

YES NO

a. What is the state’s process for handling and resolving such complaints?

Complaints are forwarded from the Office of Transit to the Division of Equal Opportunity- DBE Liaison for follow-up and investigation.

b. Do the complaints indicate any problems with the DBE program?

N/A

6. Buy AmericaBasic Requirement: Federal funds may not be obligated unless steel, iron, and manufactured products used in FTA funded projects are produced in the United Grantees. The only exceptions are if FTA has granted a waiver or if the product is subject to a general waiver. Rolling stock must have sixty percent domestic content. Also, final assembly of rolling stock must take place in the United Grantees and grantees must conduct a pre-award and post-delivery audit for all purchases of rolling stock in order to verify that the 60 percent domestic content and final assembly requirements were met.



DEFICIENCIES

Buy America certification issues

Insufficient oversight of Buy America

Pre-award and/or post-delivery audits not performed

Pre-award and/or post-delivery certifications lacking

In-plant inspectors not used

Insufficient oversight of pre-award/post-delivery audits

Other

Questions

1.Has the state or subrecipient included a Buy America provision in all ARRA-funded procurements of steel, iron, and manufactured products, except for products with a waiver or small purchases of $100,000 or less?

YES NO

Has the grantee obtained and retained Buy America certifications from successful vendors?

YES NO

2.How does the state monitor its or its subrecipients’ contractors to ensure that facilities rehabilitated or constructed with ARRA funds comply with Buy American requirements?

ODOT reviews all procurement bid documents to ensure that the federal clauses are included and reviews the sub-recipients procurement process. ODOT attends design and construction meetings. ODOT will also perform Quality Assessment Reviews of each of the projects.

What process was used to verify domestic content of steel, iron, or manufactured products?

ODOT reviews the documentation from the sub-recipient’s contractor which confirms the domestic content of steel, iron or manufactured products.

3.Did the state or subrecipient conduct pre-award and post-delivery audits for its ARRA-funded purchases of revenue rolling stock?

YES NO

What process was used to verify domestic content, final assembly activities, and location of final assembly at the pre-award and post-delivery stages?

ODOT reviews and confirms this information as part of the bid document review, and this information is confirmed through on-site inspection prior to delivery. Information is verified prior to acceptance of the vehicle by the sub-recipient. Post Delivery documentation is reviewed prior to issuance of payment for all vehicles.

Does the grantee have on file signed pre-award and post-delivery Buy America, purchaser’s requirement, and FMVSS certifications?

YES NO

4.Did the state or subrecipient use in-plant inspectors when required for ARRA-funded bus procurements?

YES NO NA

5.If the state or subrecipient purchased rolling stock with multiple delivery dates using either options or multi-year ARRA-funded procurements, did it perform and certify a pre-award and post-delivery audit for each group of vehicles before placing them into service?

YES NO NA

7. LobbyingBasic Requirement: Recipients of Federal grants and contracts exceeding $100,000 must certify compliance with restrictions on lobbying before they can receive funds.

Reviewed Not Reviewed

Deficient Not Deficient

DEFICIENCIES

Missing signed certifications

Insufficient oversight of lobbying

Other

Questions

1.Has the state or subrecipient included the lobbying certification in all ARRA-funded agreements and procurement solicitations exceeding $100,000?

YES NO

Have contractors and subcontractors signed certifications?

YES NO

2.How does the state monitor subrecipients and contractors to ensure that they include the lobbying certifications in solicitations and obtain signed certifications from all contractors awarded ARRA-funded contracts in excess of $100,000?

ODOT reviews all procurement bid documents to ensure that the federal clauses are included and reviews the sub-recipients procurement process. ODOT attends design and construction meetings. ODOT will also perform Quality Assessment Reviews of each of the projects.

8. Debarment and SuspensionBasic Requirement: To protect the public interest and prevent fraud, waste, and abuse in Federal transactions, persons or entities, which by defined events or behavior, potentially threaten the integrity of Federally administered non-procurement programs are excluded from participation in FTA assisted programs.



DEFICIENCIES

Certification clause not included in agreements/procurement solicitations

No verification that excluded parties are not participating

Excluded parties participating in covered transactions

Insufficient oversight of debarment/suspension

Other

Questions

1.Has the state included a term or condition requiring compliance with the debarment and suspension requirement in ARRA-funded procurement solicitations, and lower tiered transactions of $25,000 or more?

YES NO

2.Did the state or subrecipient search the Excluded Parties Listing System (EPLS) to ensure that excluded parties do not participate in ARRA-funded transactions?

YES NO

3.Are excluded parties participating in ARRA-funded transactions?

YES NO

If yes, did the state promptly inform FTA in writing of this information?

YES NO N/A

9. Title VIBasic Requirement: The grantee must ensure that no person in the United Grantees shall, on the grounds of race, color, or national origin, be excluded from participating in, or denied the benefits of, or be subject to discrimination under any program, or activity receiving Federal financial assistance. The grantee must ensure that federally supported transit services and related benefits are distributed in an equitable manner.



DEFICIENCY

No Title VI environmental justice analysis performed for ARRA-funded project

Other

Questions1. For any ARRA-funded construction projects that required an environmental assessment (EA) or an Environmental Impact Statement (EIS), did the state or subrecipient incorporate an environmental justice analysis into its National Environmental Policy Act (NEPA) documentation?

YES NO