9/30/2015 Triennial Review Process 8 Basic Steps Review Scoping Site Visit Findings Draft Final Corrective Pre- Review Package ERM Summary Report Report Actions Pre-Review (FTA and Contractor): Review grantee historical information • Overview current status • Answer questions in Grantee Information • Request package (GIR) Contact grantee regarding site visit dates • Prepare and send GIR to grantee • 7 Triennial Review Process 8 Basic Steps Review Scoping Site Visit Findings Draft Final Corrective Pre- Review Package ERM Summary Report Report Actions GIR must be returned to the reviewer within 40 business days: Grantee profile • Questions in 17 areas • List of requested documents • Preliminary site visit schedule • 8 Triennial Review Process 8 Basic Steps Review Scoping Site Visit Findings Draft Final Corrective Pre- Review Package ERM Summary Report Report Actions Scoping - Enhanced Review Module (ERM) Common Triggers number of Repeat/open findings • contractors or Other review/audit • subrecipients findings Events that are unusual Problems in closing • • past findings or generate news Complaints • Multiple issues in an • area Inadequate reporting to • FTA 9 • i c
9/30/2015 Triennial Review Process 8 Basic Steps Pre- Review Review Package Scoping ERM Site Visit Findings Summary Draft Report Final Report Corrective Actions Pre-Review (FTA and Contractor): • Review grantee historical information • Overview current status • Answer questions in Grantee Information Request package (GIR) • Contact grantee regarding site visit dates • Prepare and send GIR to grantee 7 Triennial Review Process 8 Basic Steps Pre- Review Review Package Scoping ERM Site Visit Findings Summary Draft Report Final Report Corrective Actions GIR must be returned to the reviewer within 40 business days: • Grantee profile • Questions in 17 areas • List of requested documents • Preliminary site visit schedule 8 Triennial Review Process 8 Basic Steps Pre- Review Review Package Scoping ERM Site Visit Findings Summary Draft Report Final Report Corrective Actions Scoping - Enhanced Review Module (ERM) Common Triggers • Repeat/open findings • Other review/audit findings • Problems in closing past findings • Complaints • Inadequate reporting to FTA • number of contractors or subrecipients • Events that are unusual or generate news • Multiple issues in an area 9 c i
FY16_TR_Workshop_Workbook.docx