FTA Audit Documentation Checklist

Public Transportation Agency Safety Plan (PTASP) per 49 CFR Part 673

Verify current PTASP is approved by the agency's Board of Directors or equivalent authority
Confirm the PTASP includes a Safety Management Policy signed by the agency's Accountable Executive
Document safety risk management processes: hazard identification, risk assessment, and mitigation
Verify safety performance targets are set, reported to the State, and tracked against the National Public Transportation Safety Plan
Confirm safety assurance activities are documented: compliance monitoring, data analysis, and investigation procedures
Ensure safety promotion activities are documented: training programs and safety communication methods
Verify the PTASP is reviewed and updated annually per 49 CFR 673.11(a)(7)

Drug and Alcohol Testing per 49 CFR Part 655

Confirm a current drug and alcohol testing policy is in place and distributed to all safety-sensitive employees
Verify random testing rates meet FTA minimums: 50% for drugs and 10% for alcohol annually
Audit MIS (Management Information System) reports for the last three years to confirm timely FTA submissions
Verify pre-employment drug testing records exist for all safety-sensitive hires
Confirm reasonable suspicion training records for supervisors: at least 60 minutes on drug indicators and 60 minutes on alcohol indicators per 49 CFR 655.14(b)(2)
Review post-accident testing decision documentation against FTA thresholds per 49 CFR 655.44
Verify Substance Abuse Professional (SAP) referral and return-to-duty records are complete
Confirm the Designated Employer Representative (DER) is current and listed in the policy

ADA Compliance per 49 CFR Parts 37 and 38

Verify all fixed-route vehicles are accessible per 49 CFR Part 38 vehicle accessibility standards
Confirm complementary paratransit service meets comparability requirements per 49 CFR 37.121
Document operator training on wheelchair securement, ramp/lift operation, and passenger assistance
Review stop announcement compliance for fixed-route service per 49 CFR 37.167(b)
Verify facilities (stations, stops, offices) meet ADA accessibility requirements
Confirm ADA complaint procedures are published and accessible to the public

Training Records and Safety Reporting

Compile training records for all operators: initial training, refresher courses, and remedial training
Verify safety event reporting to the National Transit Database (NTD) per 49 CFR Part 674
Confirm all reportable events were submitted within 30 days per NTD Safety and Security Reporting requirements
Document corrective actions taken for each reported safety event
Verify training completion records include employee name, date, course title, duration, and instructor
Confirm the agency maintains training records for the period required by applicable regulations (typically three to five years)
Review certifications and licenses for operators, maintenance staff, and specialized roles

Frequently Asked Questions

The FTA triennial review is a comprehensive examination conducted every three years by the Federal Transit Administration to evaluate how well transit agencies comply with federal requirements. It covers 24 review areas including safety (49 CFR Part 673), drug and alcohol testing (49 CFR Part 655), ADA compliance (49 CFR Parts 37 and 38), Title VI, procurement, and financial management.

A PTASP is required under 49 CFR Part 673 for all transit agencies that receive Section 5307 urbanized area formula funds. The plan must include a Safety Management Policy, safety risk management processes, safety assurance procedures, and safety promotion activities. Small agencies (under 100 vehicles in peak revenue service that do not operate rail) can use the FTA-provided PTASP template.

Under 49 CFR Part 655, transit agencies must conduct random drug testing at a minimum annual rate of 50% of safety-sensitive employees and random alcohol testing at a minimum annual rate of 10%. These rates are set by FTA and published annually in the Federal Register. Agencies must also conduct pre-employment, post-accident, reasonable suspicion, return-to-duty, and follow-up testing.

Start preparation 12 months before the expected review. Conduct an internal self-assessment against each of the 24 review areas, correct any deficiencies found, organize documentation by review area, ensure all required certifications and assurances are current, and brief staff who may be interviewed by reviewers on their roles and responsibilities.

FTA classifies findings as deficiencies (non-compliance requiring corrective action) or advisory comments (areas for improvement). For deficiencies, the agency must submit a corrective action plan within the timeframe specified by FTA, typically 30 to 90 days. FTA tracks corrective actions until resolved. Repeated or severe deficiencies can affect future grant funding.

Public Transportation Agency Safety Plan (PTASP) per 49 CFR Part 673

Drug and Alcohol Testing per 49 CFR Part 655

ADA Compliance per 49 CFR Parts 37 and 38

Training Records and Safety Reporting

Frequently Asked Questions

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