Rural Management Assistance Workshop - 2005

State College, PAFebruary 28March 1 and 2, 2005

Welcome to the 2005 Annual RMA

CONCURRENT B R E A K – O U T SESSIONS

SESSION A – High Level Discussion – Bureau Updates

SESSION B – Staff Level Discussion –ApplicationsFormsReports, etc.

LOTTERY AND

SPECIAL IZEDTRANSPORTATION

PROGRAMS

LaVerne Collins

LOTTERY PROGRAMS

FREE TRANSIT FOR SENIOR CITIZENS

SHARED-RIDE FOR SENIOR CITIZENS

– 8-Month Reconciliations– Application Deadline 5/2/05– Financial Exhibits – Release Date 7/05

– Revenue Retention

COMMUNITY TRANSPORTATION CAPITAL GRANTS - PTAF

Application Streamlining

Application Deadline was January 31, 2005

Requests Compiled

Review Completed – April 1, 2005

Federal Assurances Mailed to Grantees– April 15, 2005

Federal Assurances Due in BPT – April 29, 2005

SPECIALIZED PROGRAMS

WELFARE TO WORK

RURAL TRANSPORTATION FOR PERSONS WITH DISABILITIES

WELFARE TO WORK TRANSPORTATION PROGRAM

• No TANF Funding in the 2005-06 Budget• Several Legislative Proposals Support Funding • No 2005-06 application• No 2005 Workshop • Alternative Funding/ Termination Activities • Expend 04-05 Funds By June 30, 2005• Dept. will advise grantees of any change in status

RURAL TRANSPORTATION FOR PERSONS WITH DISABILITIES (PWD)

For Current Participants Only – For Current Participants Only – Applications Due May 2, 2005Applications Due May 2, 2005

Expansion is under considerationExpansion is under consideration• IncrementalIncremental• dependant upon funding availabilitydependant upon funding availability

In the 24 Counties:In the 24 Counties:- 7,758 Registered – 19%- 7,758 Registered – 19%- 1,078 Individuals Served in December 04- 1,078 Individuals Served in December 04-11,310 Trips in December 04-11,310 Trips in December 04-Cost to Program per Trip - $11.25-Cost to Program per Trip - $11.25

RURAL & INTERCITY BUS PROGRAMS

Louise Tinkler

RURAL AND INTERCITYBUS PROGRAMS

BOB SHARPRural Operating AssistanceRural Capital AssistanceFederal Transit Administration

Grants, etc.Program PaymentsDemonstrations & New StartsOn-site Technical Assistance

TINA CHUBB Intercity Bus Operating Assistance Intercity Bus Capital Assistance RTAP On-going Research & Demo Projects Program payments

Technical Assistance

Technical Assistance, including Technical Procurements (Feasibility Studies; RFP’s; MPR’s, Consultant Services, etc.) are the only duties not currently being handled as regular responsibilities by Bob and Tina.

These requests should continue to come through Louise.

Gary graciously helps us when there is a need.

Public Transportation Funding and Other Issues

Toby Fauver

Highways $4,010 Million

Public Transportation

$931 Million

Aviation$38 Million

Rail Freight $30 Million

State Police/Debt

Service/Other$659 Million

PennDOT FY 2004-2005 BUDGET$5,668 Million

406 Million Annual Boardings FY 03-04

301.0

68.0

31.02.0 3.0 1.4

0

50

100

150

200

250

300

350

Class 1 Class2 Class3 Class 4 Comm.Trans.

IntercityRail/Bus

Mil

lio

ns

* Exclusive of paratransit trips provided by Class 1-4

*

Rural System Trip Purpose

General Fund Mass Transportation Assistance

$0

$200

$400

$600

$800

FY

92

-93

FY

93

-94

FY

94

-95

FY

95

-96

FY

96

-97

FY

97

-98

FY

98

-99

FY

99

-00

FY

00

-01

FY

01

-02

FY

02

-03

FY

03

-04

Fiscal Year

Mill

ion

s o

f D

olla

rs Would be $42 million higher if kept pace with inflation

Public Transportation Assistance (PTAF)

$0

$200

$400

$600

$800

FY

92

-93

FY

93

-94

FY

94

-95

FY

95

-96

FY

96

-97

FY

97

-98

FY

98

-99

FY

99

-00

FY

00

-01

FY

01

-02

FY

02

-03

FY

03

-04

Fiscal Year

Mill

ion

s o

f D

olla

rs Would be $29 million higher if kept pace with inflation

Lottery

$0

$200

$400

$600

$800

FY

92

-93

FY

93

-94

FY

94

-95

FY

95

-96

FY

96

-97

FY

97

-98

FY

98

-99

FY

99

-00

FY

00

-01

FY

01

-02

FY

02

-03

FY

03

-04

Fiscal Year

Mill

ion

s o

f D

olla

rs

General Fund - Dedicated Act 3 of 1997

$0

$50

$100

FY

92

-93

FY

93

-94

FY

94

-95

FY

95

-96

FY

96

-97

FY

97

-98

FY

98

-99

FY

99

-00

FY

00

-01

FY

01

-02

FY

02

-03

FY

03

-04

Fiscal Year

Mill

ion

s o

f D

olla

rs

Capped by Law at $75 M Would be $22 M higher if not capped

Funding Crisis

FY 2003-2004 $75 Million $21 Million restored in State General Fund operating assistance

(inclusive of $5 Million additional local match) $29 Million in transit agency management and cost efficiencies $25 Million in federal flex

FY 2004-2005 $100 Million Initiated emergency $18.8 Million stop-gap funding to avoid drastic

service cuts and fare increases March to June 2005 actions uncertain

Projected Public Transportation Deficit(STATEWIDE)

$100

$266

$228

$191

$155

$0

$50

$100

$150

$200

$250

$300

04-05 05-06 06-07 07-08 08-09

Year

Mil

lio

ns

Projection based upon no increase of fares; federal, state, local, or other subsidies

5311 BALANCE DRAWDOWN PROJECTIONS

$9,916,120$8,824,709

$6,798,070

-$41,690,827

-$30,285,289

-$20,589,382

-$12,461,945

-$5,773,470

-$405,145

$3,752,034

-$50,000,000

-$40,000,000

-$30,000,000

-$20,000,000

-$10,000,000

$0

$10,000,000

$20,000,000

04-05(XO23)

05-06(XO24)

06-07(XO25)

07-08(XO26)

08-09(XO27)

09-10(XO28)

10-11(XO29)

11-12(XO30)

12-13(XO31)

13-14(XO32)

5311 Drawdown Assumptions

All reserves would be used for operating Grantee expenses would continue to

increase at approximately 9% annually The federal allocation would remain level

(neither increased nor decreased) for that same period of time.

State Funding ProgramFY 04-05 $832.7 Million

SourceFiscal Year 04-05

($ Millions)

General Fund $321.7

(PTAF) Public Transportation Assistance Fund -Dedicated

$174.8

General Fund Act 3 Dedicated $75.0

Lottery Fund $136.2

State General Obligation Bond (Transportation Assistance Program-TAP)

$125.0

General FundFY 04-05

($ Millions)

Mass Transportation Assistance $287.8

Rural Transportation Assistance $1.0

Fixed Route Transit$25.0

Intercity Bus and Rail $7.4

Rail Safety Inspection$0.4

Total:$321.7

General FundMass Transportation Assistance $287.8 M

Grantees Distribution

($ Millions)

Local Match Uses Other/

Restrictions

Class 1 $199.6 70.0%

1:3Operating

Assistance

Distribution formula virtually

unchanged since 1987

Class 2 $72.1 25.3%

Class 3 $13.9 4.7%

Urban Total $285.6 100%

Class 4 $2.2

General FundRural Transportation Assistance $1.0 M

Grantees Distribution

($ Millions)

Local Match Uses Other/

Restrictions

Class 3 $0.64

None

Supplemental Operating Assistance

State funding provided in FY 1997

for Class 3 and Class 4. Welfare to Work discretionary

distribution

Class 4 $0.11

Subtotal $0.75

Welfare to Work

$0.25Operating

Trips and Fares

General FundFixed Route Transit

$25.0 M

Grantees Distribution

($ Millions)

Local Match Uses Other/

Restrictions

Class 1

$25.0

DiscretionaryNone

100% fare reimbursement for senior citizens on fixed route transit

Effective 1991. Makes up difference between Lottery

(average or base fare, whichever is LOWER) and

average or base fare, whichever is HIGHER

Class 2

Class 3

Class 4

Other (private)

Rural Persons with Disabilities (PwD)

Up to 85% fare reimbursement for

PwD on shared ride transit

Currently Available in 24 Counties

General FundIntercity Bus & Rail

$7.4 M

Grantees Distribution

($ Millions)

Local Match Uses Other/

Restrictions

Amtrak $5.8 None

Operating

Discretionary Distribution

Intercity Bus

$1.6

1:3

Up to 10% Non Federal Share

Capital

(ADA Retrofit)

General FundRail Safety Inspection

$0.4 M

Grantees Distribution

($ Millions)

Local Match Uses Other/

Restrictions

Consultant

Contract$0.4 None

State Rail Safety Inspection

(SEPTA, PAAC, Johnstown)

FTA required safety oversight of transit fixed

guideway systems (1991)

PTAF – Dedicated Act 26 of 1991

FY 04-05

($ Millions)

Mass Transit Grants$166.2

Rural Transit Grants$3.9

Community Transportation$2.3

Technical Assistance$1.4

Project Management Oversight$1.0

Total:$174.8

Grantees Distribution

($ Millions)

Local Match

Uses Other/

Restrictions

Class 1 $116.1 69.9%

1:29

Minimum of 50% Capital

Up to 50% of total funding may be used for asset

maintenance for all urban systems except Class 1-SEPTA. SEPTA

may use up to 30% for asset

maintenance

Distribution closely replicates general fund

distribution formula

Class 2 $42.0 25.2%

Class 3 $8.1 4.9%

PTAF Dedicated Act 26 of 1991 Mass Transit Grants

$166.2 M

Grantees Distribution

($ Millions)

Local Match Uses Other/

Restrictions

Class 4 $3.9 1:29

Minimum of 50% Capital

Up to 50% of total funding may be used

for Asset Maintenance

Set Aside

PTAF Act 26 of 1991Rural Transit Grants

$3.9 M

Grantees Distribution

($ Millions)

Local Match Uses Other/

Restrictions

Community Transportation/ Shared-Ride Providers

DiscretionaryNone Capital

Set-aside

Philadelphia and Allegheny

Counties not eligible

PTAF Act 26 of 1991Community Transportation

$2.3 M

Grantees Distribution

($ Millions)

Local Match Uses Other/

Restrictions

Transportation organizations as determined by

PennDOT

Discretionary

Varies depending on use of

funds

Technical assistance, demonstrations,

research, operating and capital

assistance, new rural systems, rural

system expansion, and other PennDOT

initiatives

Set-Aside

PTAF Act 26 of 1991PennDOT Technical Assistance

$1.4 M

Distribution

($ Millions)

Local Match Uses Other/

Restrictions

PennDOT $1.0 None

Administrative expenses

associated with oversight of public

transportation program

Set Aside

PTAF Act 26 of 1991PennDOT Project Management Oversight

$1.0 M

General Fund

Dedicated Act 3 of 1997

FY 04-05

($ Millions)

Urban Mass Transit Grants $69.7

Rural Transit Grants $4.1

Community Transportation $1.2

Total: $75.0

Grantees Distribution

($ Millions)

Local Match Uses Other/

Restrictions

Class 1 $40.3 58.4%

1:29

Up to $52.5 Million may be used for

Operating or Capital Assistance

Remainder may be used for Capital or Asset Maintenance based upon PTAF

percentages

Supplemental dedicated funding

($52.5 million)

provided FY 96-97 to replace reduced federal operating

assistance.

Remainder of funding provided to supplement PTAF dedicated funding

Class 2 $13.4 19.5%

Class 3 $15.9 22.1%

General FundDedicated Act 3 of 1997 Urban Mass Transit Grants

$69.7 M

Grantees Distribution

($ Millions)

Local Match Uses Other/

Restrictions

Class 4 $4.1 1:29 Operating or capital assistance

Supplemental dedicated funding

provided

General FundDedicated Act 3 of 1997 Rural Transit Grants

$4.1 M

Grantees Distribution

($ Millions)

Local Match Uses Other/

Restrictions

Community/

shared-Ride Providers

Discretionary None CapitalAllegheny & Philadelphia Counties not Eligible

General FundDedicated Act 3 of 1997 Community Transportation

$1.2 M

Lottery FundFY 04-05

($ Millions)

Older Pennsylvanians

Free Ride$63.0

Older Pennsylvanians Shared Ride $73.2

Total: $136.2

Grantees Distribution

($ Millions)

Local Match

Uses Other/

Restrictions

Class 1 - 4

Private Fixed Route

Providers$63.0 None

100% Fare Reimbursement for

senior citizens riding free on fixed

route service

1972 Original Authorization

Statutory calculation

changed in 1991 to average or

base fare whichever is

lower. See Fixed Route Transit.

Lottery FundOlder Pennsylvanians Free Ride

$63.0 M

Grantees Distribution

($ Millions)

Local Match Uses Other/

Restrictions

Class 1 - 4 and

Community/Shared-Ride

Providers$73.2

Senior citizen or

sponsoring agency pays

15% of shared-ride

fare

85% Fare Reimbursement for senior citizens on shared-ride fare

Authorized FY 1980 to

accommodate senior citizens

who cannot use free fixed route

service

Lottery FundOlder Pennsylvanians Shared-Ride

$73.2 M

State General Obligation Bonds (TAP)

Grantees Distribution

($ Millions)

Local Match Uses Other/

Restrictions

Class 1 - 4

Other Trans. Agencies determined by PennDOT

Discretionary

(For approved Capital Budget Authorization)

Federal - 1/6 of the non-federal share

Non Federal - 50% state share/50% local share

Statewide Initiative - 0% Special State Initiatives

Capital Assistance and special state

initiatives such as: Vehicle Overhaul Program (VOH),

etc.

Capital Budget

$125 M

B R E A K

Please Return in 15 minutes

Transit Research & Demonstration –

the single solicitation process

The Department’s Perspective - Mike Bonini

and

The PPTA Perspective - Marti Pierce

PRIORITIZATION OF FUNDING

Getting The Best Return for Your Dollars

Bob Sharp

OPERATING

SOURCES OF FUNDING: Federal 5311 State Act 26 Operating State Act 4a State PTAF State Act 3

CAPITAL

SOURCES OF FUNDING Federal 5309 Federal CMAQ Federal STP Federal 5208 Federal 5311 State Capital Bond State Act 26 PTAF State Act 3

STOP GAP FUNDING

Louise Tinkler

STOP GAP FUNDING DISCUSSION

How many overall requests did we receive? How many operating requests did we

approve? How are we handling the capital requests? What about carry-over balances?

L U N C H

Please Return in 1 Hour

Customer Service

Tina Chubb

PUBLIC TRANSPORTATION

SUPPORTED BY

TO ORDER DECALS CONTACT:

PennDOT BUREAU OF PUBLIC TRANSIT PO BOX 3151 HARRISBURG, PA 17105-3151 717 705-1492 717 787-1202

CHARTER ISSUES

What’s right? What’s wrong?

Bob Sharp / Louise Tinkler / LaVerne Collins

Sponsored by Your Rural Transit System

5311 FUNDS

Who: 5311 Grantees/Sub Recipients

What: Charter Service

Transportation using buses or vans or

facilities funded by the FTA.

Federal regulation: Title 49 Part 604

State Oversight:

Provide oversight through the submission and review of the annual operating assistance grant application; require confirmation from the sub-recipients that their procedures are in compliance with regulations and certifications through the FTA certification and assurance process, and as part of the annual compliance review. 

Why: Part of the State Management Plan

The SMP for the Section 5311 program, submitted to and approved by the FTA, describes in detail how the state will monitor

its sub recipients.

Overview:

If a recipient desires to provide any charter service using FTA equipment or facilities the recipient must first determine if there are any private charter operators willing and able to provide the charter service that the recipient desires to provide.

WHAT IS THE PROCESS?

The process for determining if there are any willing and able private charter operators must at a minimum include:

1.     Placing a notice in a newspaper, or newspapers, of general circulation within the proposed geographic charter service area. THIS MUST BE DONE ANNUALLY!!!!!!!!

2.     Sending a copy of the notice to all private charter service operators in the proposed geographic service area and to any private charter operator that requests notification.

3.     Sending a copy of the notice to the United Motor Coach Association, 113 S. West Street, Alexandria, VA 22314 and the American Bus Association, 700 13th Street, NW, Suite 675, Washington, D.C. 20005.

4.     Notice information contained in Part 604, Section 604-11.  

Vehicle Definition:

The regulations recognize only two categories

of vehicles: buses and vans.

Rubber-tired replica trolleys, articulated buses, double decker buses, and other types of specifically modified equipment are all buses and are subject to the same rules as transit buses.

Any charter service that a recipient provides under any of the allowed exceptions must be incidental charter service.

Incidental charter service does not interfere with, or detract from, providing mass transportation service or does not shorten the mass transportation life of the equipment being used.

Exceptions: 49 CFR PART 604.9 

INCIDENTAL CHARTER SERVICE

Exception 1, applies if no willing and able operator exists.

If an operator does exist, the grantee can provide charter service only if the other exceptions apply. 

Exception 2, providing FTA funded vehicles to private operators to satisfy a capacity need or need for accessible vehicles.

This exception is used often by grantees that have vehicles available for charter use by willing and able private operators.

Under this exception, the grantee provides service under contract to the private operator, who is responsible for the direction and control of the grantee’s vehicles while the service is being provided.

Grantees cannot lease a trolley to a private operator and claim that the charter service is allowed under exception 2 unless the private operator has exhausted its supply of buses. The intent of exception 2 is to satisfy a genuine capacity need for buses in general or a need for accessible equipment.

Transit systems that have established an ongoing relationship with other agencies or companies to provide revenue service vehicles, must require that these entities establish and maintain drug and alcohol testing programs compliant with the FTA regulations for the portion of the business that uses these vehicles.

The grantee does not contract directly with the public for the service.

FTA requires a contract between a private charter operator and the grantee for the provision of equipment or service when the private contractor needs extra capacity or accessible equipment.

All equipment or services provided under this exception must be incidental service (i.e., non-peak period and priced at fully allocated costs).

Exception 3, does not apply

In instances where vehicles are provided on a one-time or incidental basis, and there is no ongoing relationship (i.e., mayor drives a bus in a parade, radio personality drives a bus during a vehicle rodeo), the regulations do not apply. 

 

Exception 4, a special events exception

This exemption requires the grantee to submit its petition to the FTA Administrator at least 90 days prior to the event.

The petition must describe the event, explain how it is special, and explain the amount of charter service that private operators are not capable of providing.

The Administrator will issue a written decision granting or denying the request in whole or in part.

Exception 5, is to provide service to government entities or non-profit agencies serving persons with disabilities or persons receiving public welfare funds.

The contracting entity must provide a certification as specified in the regulations, which attests to the non-profit nature of the agency, identifies the passengers, declares that the requested charter trip is consistent with the function of the organization, and is consistent with Title VI of the Civil Rights Act of 1964.

Exception 6, does not apply

Exception 7, the formal agreement with all private operators, may be used by grantees who wish to provide charter service when there are willing and able private operators.

This exception requires that the grantee execute a formal agreement with all private operators it has determined to be willing and able.

The agreement must specifically allow the grantee to provide the particular type of charter service defined.

The grantee’s annual public notice must provide for this type of agreement or must be amended to refer to the agreement before the grantee undertakes the charter trips the agreement describes.

The grantee and the private operators may define the excepted charter service in any agreed to terms and conditions.

If a grantee or their sub recipients operates charter service with a formal agreement, or because no willing and able operator is identified, an annual notice is required.

When providing charter service under the other three exceptions (non-profit, special event, or contract with a private operator to satisfy a capacity need), an annual notification is not necessary.

ATTACKING THE LANGUAGE BARRIER – Increasing Latino Mobility

“You don’t have to speak

English to ride the bus…”

Tina Chubb

Transit Research & Demonstration Project

TMACC and PennDOT

B R E A K

Please Return in 15 minutes

DEADLINES

Why do we have them? What do we do with the information? What does it mean if the requirements are not met?

Bob Sharp &

Louise Tinkler

FY 2005-2006

RURAL PROGRAM FILING DEADLINES

FY 2005-2006 RURAL PROGRAM FILING DEADLINES

DUE DATE ITEM PURPOSE OF COMPLIANCE

April 30, 2005 2004-05 Third Quarter ROA-3 and Accident Report.

Contractual Obligation

May 1 Proposed Service Standards. Legislative Requirement per Public Transit Law (PTL)

May 302005-06 Section 5311/Act 26 Operating

Assistance Applications must be received.

Program Administration

June 1 DBE Report( Data October 1, 2004-

March 31, 2005 )

Contractual Obligation

June 30 Request For Items To Be Included In Next Capital Budget

Program Planning & Administration

July 31 2004-05 Fourth Quarter ROA-3 and Accident Report.

Contractual Obligation

August 15 Approved/Actual Service Standards. Legislative Requirement per Public Transit Law (PTL)

October 31 Form 26C – FY 04-05 Project Report For Use Of Dedicated Funds

Legislative Requirement per Public Transit Law (PTL)

October 31 NPR 1 2005-06 Program Administration

October 31 2005-06 First Quarter ROA-3 and Accident Report.

Contractual Obligation

November 30 2004-05 Data Certification Program Administration

December 1 DBE Report( Data April 1, 2005 -

September 30, 2005 )

Contractual Obligation

December 31

2004-05 Section 5311/ Act 26 Audit Report. Contractual Obligation

December 31 5333(b) Special Labor WarrantyFY 2006-2007

Federal Regulations

January 31 2005-06 Second Quarter ROA-3 and Accident Report.

Contractual Obligation

PLEASE NOTE: It is expressly understood that if a deadline date is either a Saturday, Sunday or legal holiday, the deadline is automatically extended to the next business day.

? PENALTIES FOR NON-COMPLIANCE

Program Trends

Bob Sharp & Louise Tinkler

FUNDING AMOUNTS F.Y. 2005-2006

Louise Tinkler

FUNDING SOURCES:

Federal 5311 Operating = $9,642,936State Act 26 Operating = $2,284,099Free Transit Lottery (varies by system) Act 26 PTAF Asset. Maintenance = $4,001,000Act 3 BSG = $3,649,428Act 3 ASG = $ 484,681Act 4A = $ 106,882Local (varies by system)

FEDERAL FUNDING DISTRIBUTION RATIONALE

Appropriation Amount 15% Intercity Bus Administration Costs Funding Levels and Rationale Capital reserve RTAP - PennTRAIN

FUNDING DISTRIBUTION OF NEW FEDERAL GRANT

Appropriation Amount = $11,335,018 15% Intercity Bus = $1,700,255 Administration Allocation = $300,000 Funding Levels and Rationale = 50% of

’04/05 deficit = Base Grant for this year Capital obligations = $_0__ RTAP = $149,138

PROGRAM EVALUATION

Louise Tinkler

Adjourn

Day 1

RMA 2005

Day 2

Questions& / or

Unfinished Business

from Tuesday

FTA Updates

Federal Transit Administration Staff

Florence Bicchetti & Michele Destra

Cindy Conaway

Mike Noel & Bob Schmidt

PENNTRAIN Update

B R E A K

Please Return in 15 minutes

PENNTRAIN (Cont’d.)

TWO NEW TRAINING TOOLS

Revised Board Training Manual&

Roles & Responsibilities of

Transit Managers– Something new from National RTAP

L U N C H

Please Return in 1 Hour

Results of

Compliance Reviews

Bob Sharp

COMPLIANCE REVIEWS

WHY DO WE HAVE THEM?

WHAT HAVE WE FOUND?

WHAT DO WE DO WITH OUR FINDINGS?

COMPLIANCE REVIEWS

HOW DO COMPLIANCE REVIEWS HELP GRANTEES?

DOES THE COMPLIANCE REVIEW CHECKLIST HELP YOU PREPARE?

WHAT CAN WE DO DURING THE COMPLIANCE REVIEW TO MAKE IT LESS STRESSFUL?

COMPLIANCE REVIEWS

SHOULD WE VISIT GRANTEES MORE THAN ONCE A YEAR?

Drug & Alcohol Update

The latest out of Washington

Bob Sharp

49 CFR PART 655

POLICY

AND

DEFINITIONS

Overview

Requirements for Policy in Part 655

Definitions

Policy Requirements

Outlined in Section 655.15– (a) Designated contact person (person, office, branch,

and/or position) – (b) Categories of employees covered– (c) Prohibited behavior– (d) Testing circumstances– (e) Testing procedures– (f) Requirements for testing– (g) Test refusal– (h) and (i) Consequence– (j) Employer-specific requirements

(a) Designated Contact Person

Identity of person, office, branch, and/or position– If providing specific person’s name, consider

listing in appendix so easily updated

(b) Applicability: Safety-Sensitive Functions

Operation of a revenue service vehicle, in or out of revenue service

Operation of a non-revenue vehicle requiring a CDL Controlling movement or dispatch of a revenue service vehicle

(determined by employer)– Always included for fixed rail, transit system assessment

for other vehicles Security personnel that carry firearms

(b) Applicability: Safety-Sensitive Functions (Cont.)

Maintenance of a revenue service vehicle Contractor employees that stand in the shoes of

Transit System employees also have to comply – covered in more detail in next section

Note: Include supervisors only if they perform safety-sensitive functions

(b) Common Problems: Safety-Sensitive Functions

Identify safety-sensitive positions– Review each employee’s job function

(independent from title) – Determine if the employee could cause or

contribute to an accident– Include employees who can be called upon to

perform safety-sensitive functions

(c) Prohibited Behavior

Consumption of alcohol from any source is prohibited. . .

– While performing safety-sensitive functions– 4 hours before safety-sensitive function– 8 hours after an accident– While on call

Consumption of illegal drugs is prohibited at all times

(c) Prohibited Behavior -- Alcohol

Any covered employee who is found to have an alcohol concentration between 0.02 and 0.04 must be removed from safety-sensitive duty– Until a retest shows an alcohol concentration of

less than 0.02, or 8 hours have passed

(c) Prohibited Substances

Marijuana Cocaine Amphetamines Opiates Phencyclidine Alcohol -- AS DETAILED ABOVE

(d) Testing Categories

Pre-employment Reasonable suspicion Post-accident Return-to-duty Follow-up Random

(d) Period of Coverage

Drug test – anytime on while on duty

Alcohol test – Just before, during, or immediately after safety-sensitive duty

(e) Testing Methods

Consistent with 49 CFR Part 40 procedures– Incorporate Part 40 as amended

by reference– Make Part 40 readily available

to employees– Establish whether company will retest

after dilute negative test result

(e) Testing Methods (Cont.)

Drug & alcohol tests - detailed discussion in policy now optional

-It is only necessary to reference Part 40, but if referenced, copies must be available for employees

(f) Test Requirement

All covered employees are required to submit to drug and alcohol tests as a condition of employment

(g) Test Refusal -- Violation of Employer’s Policy

Refusing to provide specimen– Insufficient volume without valid medical explanation

Tampering, adulterating, or substituting specimen Failing to appear within a reasonable time - defined by

employer Leaving the scene of an accident without just cause

prior to submitting to a test Leaving collection facility prior to test completion Failing to permit an observed or monitored collection

when required

(g) Test Refusal (Cont.)

Failing to take a second test when required Failing to undergo a medical examination when required Failing to cooperate with any part of the testing process Failing to sign Step 2 of alcohol test form Once test is underway, failing to remain at site and provide a

specimen For pre-employment, the following are NOT refusals:

– Failure to appear – Failure to remain at site prior to commencement of test– Aborting the collection before the test commences

(h) and (i) Consequences

Positive drug or alcohol (above 0.04) test result or test refusal– Remove employee from safety-sensitive position– Advise employee of available resources– Refer for assessment by a Substance Abuse

Professional– Apply transit system disciplinary policy

(h) and (i) Consequences (Cont.)

Alcohol test result of 0.02 or greater but less than 0.04

– Remove from safety-sensitive position for a minimum of 8 hours unless subsequent test results in a concentration of less than 0.02

– Apply employer disciplinary policy Note: employer has options in this circumstance and should

clearly state disciplinary actions to be taken in policy Range of choices goes from termination to no action beyond

the 8-hour removal from duty

SAP Referral Required

Referral for assessment by a Substance Abuse Professional

– SAP referral is required even if no 2nd chance allowed– For 2nd chance, SAP referral must be followed– SAP referral gives employee chance to work for other

systems

Part 655 and Part 40 require that employer provide listing of qualified SAPs (as recommended in the policy)

(j) Additional Employer Provisions Allowed

Must be identified– Define additional employer thresholds for post-

accident tests

The provisions of the Drug Free Workplace Act of 1988 may be incorporated in the policy statement but must be so identified

Documentation Required

Proof of policy adoption by Local Governing Board or Other Authorized Official

-Normally found on cover of policy

Effective date of policy

-Also on cover

Policy Dissemination

Policy distribution

-Employees should be requested to sign a confirmation of receipt form

Part 40 must be available for review by employees

Common Policy Flaws

Not formally adopted/dated Not compliant with FTA regulations Confuse FTA/FMCSA requirements Not current with regulatory changes Consequences not clearly defined Insufficient notification of employees Use of boilerplate policy without modifying for

local circumstances

Compliance Tips

Always update your policy when new regulations are implemented

Make sure the date of the last policy is clearly stated on the policy

Compliance Tips (Cont.)

Make sure future revisions of a substantive nature also receive Board approval

Make sure all employees have the most current version of the policy

Clearly differentiate between FTA and company authority

PROGRAM EVALUATION

Louise Tinkler

No Hershey Follow-Up This Year

The Hershey Agenda is jam-packed, so we will not have a formal, scheduled follow-up session.

As always, Rural staff will be available to discuss your projects, answer questions, and /

or address your concerns.

Plan for Next YearMark Your Calendars

February 27, 28, and March 1, 2006

Adjourn