Embed Size (px)
Citation preview
1
Rural Transit System Technical Assistance Review (TAR)
Questions
Administration and Planning
Previous Quality Assurance Reviews (QAR) and TARs
When was the last QAR/TAR?
When was the last financial audit?
When was the last Drug and Alcohol QAR/TAR?
Did the system complete an action plan to address the requirements?
Have all requirements been implemented?
Public Transit Index (PTI)
Have you reviewed the latest PTI system profile?
What are you doing to improve your PTI?
Do you use PTI measures to monitor performance?
Transit Advisory Committee
Does your system have a Transit Advisory Committee (TAC)?
Who appoints the TAC members?
Who is represented on the TAC?
What is the TAC’s role?
How could your TAC be more effective?
How often does the TAC meet? Do you invite the ODOT transit system representative to attend
the meeting?
Do you send meeting minutes to the ODOT transit system representative?
System Planning
Do you have a transit-specific mission statement?
2
Does the transit system follow annual “what by when” goals and objectives?
Do you report annual goal achievement to your ODOT transit representative?
Do you follow a Transportation/Transit Development Plan (TDP)?
How is the plan used? Have you updated the plan?
Does the system conduct strategic planning for service improvement? If so, describe.
How do you monitor system performance?
How could the planning process be improved?
Grants Management
Do you submit ODOT proposals, applications, and reports by the due dates?
Do you request reimbursements, revisions, extensions in a timely manner?
Grantee Relationship (relationship between the Transit System and the Grantee (Mayor,
County Commissioners, Transit Board, etc.)
What support services are provided by the grantee?
What is the grantee’s role in decisions about the annual budget, service design, management, and
operations?
How do you report data and system activities to the grantee?
Four Year Capital and Operating Plan
Describe the process your system uses to prepare its Four Year Capital and Operating Plan.
Is there a vehicle replacement schedule in place?
Is the Four Year Plan reviewed and/or approved by the grantee?
If you are part of an MPO’s planning area, are your capital and operating needs documented in
the MPO’s TIP?
Budget Preparation
Briefly describe the process used to prepare the budget.
3
Is there a detailed budget breakdown?
Who approves the budget?
Data Collection and Reporting
Who is responsible for data collection and reporting to ODOT?
How is system data used to make service changes? Provide examples if possible.
Provide copies of any reports used in data collection – driver manifests, dispatcher forms, trip
count sheets, trip denial log, computer-generated reports, etc. Provide at site visit
Financial Management General
Does your agency utilize a commercial, off the shelf accounting software? If so, what is the
name of the software (e.g., QuickBooks, Peachtree, Sage)?
If an internally-developed accounting system is used, please describe the process, including the
computer software used (e.g., Excel, Access, paper ledgers).
Does the agency maintain an accounting policies and procedures manual that covers accounting
for the budget process, accounts payable process, procurement, payroll, fixed assets, etc.? When
was the manual last updated?
Were there any instances of known or suspected theft or other fraud that occurred within the last
two years? What steps were taken to deal with the situation(s)?
Are there formal (written) job descriptions that clearly set out duties and responsibilities for all
staff, including management? When were the job descriptions last reviewed and updated?
Audits
Please provide a copy of your most recently completed financial statements audit report and
management letter. If an audit report was not completed or available, please explain.
Please provide a copy of any audit reports issued by other grantor agencies within the last two
years (e.g, CDBG, Council on Aging, HHS, etc.).
Budget Monitoring
What type of accounting is used: cash, modified cash, or accrual? Please explain.
Who is responsible for monitoring the transit system’s budget?
4
How often is the budget reviewed?
Do the reports compare actual and budgeted spending?
What do you do if there are significant variances between revenues and expenses?
How are funds transferred between line items?
When would line item transfers typically occur?
Who is responsible for making these decisions?
Who is responsible for recording general ledger transactions?
General Ledger and Invoice Procedures
Are ALL operating revenue and expenditures recorded in your accounting system and reported
on your quarterly operating invoices submitted to ODOT?
Do you use a Trial Balance report (generated from the accounting system general ledger) as the
source document for preparing your quarterly operating invoices submitted to ODOT?
How do you ensure the revenues and expenditures reported on your quarterly operating (and
capital) invoices reconcile to your accounting system? Describe any process used to reconcile
between Cash Basis Reports and Accrual Basis Reporting Requirements.
How do you ensure that the revenue and expenditures reported on your operating invoice align
with your approved budget? Please explain.
Please provide a copy of the document (crosswalk) that you reference which demonstrates
alignment of each accounting line item from your general ledger to the corresponding line item
on the ODOT operating invoice.
Farebox Collection and Reconciliation
How do the drivers collect the fares?
Where do the drivers keep the fares?
How often do drivers turn in fares?
What is the procedure for the drivers to turn in the fares?
Do the drivers count the fares? Is someone else present when the drivers count fares?
Do the drivers get a receipt for the fares they turn in?
What happens to fares after drivers turn them in?
5
Who makes the bank deposits?
How often are bank deposits made?
Is a reconciliation done between driver manifests/logs and farebox totals? Who is responsible
for this?
Are the drivers given petty cash for making change for fares or for other expenditures such as car
washes and fuel purchases?
In-Kind Contributions
Do you receive in-kind contributions? If yes, please explain and provide details.
Do you have a written in-kind plan approved by ODOT? Provide a copy.
How often is it reviewed and verified?
Who is responsible for monitoring in-kind contributions?
Indirect Costs
Does your agency have a Cost Allocation Plan (CAP)? If yes, please provide the most recent
copy.
Has the CAP been approved by your cognizant agency? Please provide the most recent copy
of the approval.
Have you sent your most recent CAP to ODOT for review?
Federal Revenues
Who ensures that the requirements for non-federal and other allowable Federal funds in FTA
Circular 9040.1F are being followed?
Are they being followed?
Do you have revenues from other allowable Federal funds?
Petty Cash Fund Procedures
Does the transit system have a petty cash fund?
Is it secure?
What types of expenditures is it used for?
6
Who is allowed to withdraw funds?
Are there policies and procedures in place for petty cash expenditures? Provide a copy.
Who reviews petty cash expenditures?
How often are they reviewed?
Timekeeping Procedures
Do all staff, including management, prepare a timesheet? Please provide a copy of your
policies and procedures related to this process.
Who verifies and approves timesheets?
Are all staff, including management, required to submit leave forms for paid time off (e.g.,
vacation, sick, personal, etc.)?
Are accrued leave balances tracked and verified for accuracy?
Fares
Does the system evaluate the fare structure on a regular basis?
When was the last time fares were changed?
How long was the public comment period?
How does your fare structure compare with peer transit system fare structure?
Tickets, Passes, Tokens
Does the transit system use gift certificates, tickets, tokens or passes?
When and where are they sold?
Are they secure?
How are they accounted for?
Do drivers track them on their driver manifests/logs?
Elderly and Disabled Passenger Fares
Are discounts given to E & D riders?
Does the transit system have an E & D certification process? If so, describe.
Is there an E & D identification card issued?
7
How and where does a passenger obtain an E & D card?
How does the public know about the E & D fare?
How does the system monitor and report E & D ridership?
Contract Rates
Are all contracts written and current?
Is your contract service open to the general public?
How often are contracts reviewed?
Are you using a fully allocated cost spreadsheet to determine contract rates? If not, what are you
using?
Resource Management
Are inventories up-to-date and consistent with PTMS records?
Are any vehicles leased to human service agencies, schools, etc.?
Do you have the vehicles and equipment you need to operate effectively?
Is property only being used for transit purposes?
Purchasing and Procurement
Do you have a written purchasing/procurement policy? Provide a copy.
Does it define small purchases versus large purchases/procurements?
What large purchases/procurements have you made in the past three years? Provide a list.
Do you conduct large purchases/procurements without ODOT review and approval? Please
describe.
“Small” Purchases and ARRA Funding
Who is responsible for conducting small purchases?
Are there written purchasing procedures for small purchases?
What limits are used to qualify as a small purchase?
8
If small purchase procedures are used, how many price or rate quotations are received before
making the purchase?
What documentation do you keep (quotes, price sheets, etc.)?
Where do you maintain the documentation (file location)?
How long is the information maintained?
Have you made small purchases using ARRA funds?
Have you provided documentation to ODOT on ARRA purchases?
Was a cost/price analysis done for ARRA funded procurements? How was it documented?
Do you have a separate file on ARRA purchases? (Review/Verify)
Large Purchases/Procurements and ARRA Funding
Who is responsible for conducting large purchases/procurements?
Do they contain protest procedures?
Are any purchases made through a consortium?
Are leases handled the same as purchases?
Have you made large purchases/procurements using ARRA funds?
Did you conduct independent cost estimates before receiving bids or proposals? How were they
developed?
Was a cost/price analysis done for ARRA funded procurements? How was it documented?
Have you conducted any piggyback purchases with ARRA funds? How was it documented?
Have you received ODOT approval on ARRA purchases?
Do you have a separate file on ARRA purchases? (Review/Verify)
Vehicle Purchases
Does the grantee purchase from state term contracts?
Does the grantee purchase vehicles directly?
Have you purchased vehicles using ARRA funds? (If so, please list vehicle type and number)
Have you conducted any piggyback purchases with ARRA funds? How was it documented?
9
Leases
Do you have a lease agreement for property use?
a) Do you lease FTA funded assets? If yes, were leases approved by FTA?
b) b. How are leases administered to assure compliance with FTA requirements? Are FTA
property management guidelines followed by private operators under contract?
c) Are lease revenues used for transit purposes?
Fuel Purchases
How are fuel purchases made?
How are fuel purchases accounted for? (Track an invoice from start to finish)
Insurance
Do you purchase insurance or are you self insured?
Do you have a comprehensive insurance policy for vehicles and equipment?
Does your policy meet the minimum insurance requirements set by the State of Ohio?
(Review/Verify)
Vehicle Maintenance Purchases
If maintenance is contracted out, how is the maintenance contractor selected?
Are maintenance purchases made using the system’s purchasing/procurement policy?
Contract Service Provider
Is service competitively procured?
Who is responsible for conducting the procurement?
How often is this procurement conducted?
When was the last time this was done?
Describe the process used to procure services.
Are the proper principles of procurement followed?
Are formal advertisements issued?
10
When and where do you advertise the public notice? Provide a copy.
Provide a copy of the evaluation criteria.
How are proposals evaluated?
Is your RFP approved by ODOT?
Do you have an ODOT concurrence file? Review/Verify
Have there been any sole source or noncompetitive negotiated procurements within the last three
years? Explain.
Was there a cost analysis prepared? (Provide a copy)
Is there a standard contract the grantee uses to enter into with the service provider?
Does it include all of the FTA and ODOT-required clauses?
Do any potential conflicts of interest exist between the policy board members or employees and
consultants/vendors/suppliers or between the service provider and consultants/vendors/suppliers?
Human Resource Management
Training
How do you ensure that training is current with federal and state requirements?
How is training documented and tracked?
What training needs are not being met? Why?
Have you applied for scholarships to attend training and/or conferences?
What training and/or conferences have you attended?
Do you have documentation that all drivers (even those who drive on an occasional basis)
participated in a Defensive Driving class conducted by a National Safety Council (or equivalent)
certified instructor within the last three years?
Do you have documentation that all drivers (even those who drive on an occasional basis)
participated in DRIVE: Transporting Elderly and Disabled Passengers, Passenger Assistance
Training (PAT), (or an equivalent passenger assistance program) conducted by a certified
instructor?
11
Do you have documentation that all drivers (even those who drive on an occasional basis)
participated in First Aid training?
Do you have documentation that all drivers (even those who drive on an occasional basis)
participated in annual blood borne pathogens training?
Do you have documentation that all drivers (even those who drive on an occasional basis)
participated in CPR training?
Do you have documentation that all drivers (even those who drive on an occasional basis)
participated in wheelchair securement training?
Do employees receive any other type of training? If so, what types and how often?
Driver Requirements
If required due to vehicle size/weight, do drivers have CDLs?
Do you have documentation that all newly hired drivers are at least 18 years old?
Do you have documentation that all newly hired drivers have a valid driver’s license?
Do you have a recent certified abstract of record of convictions for all newly hired drivers? (The
maximum number of points on the abstract is six (6).)
Do you have documentation of a criminal background check through the Bureau of Criminal
Identification and Investigation for all newly hired drivers?
Do you have a policy on how you will handle the outcome of the criminal background checks?)
Do all newly hired drivers have a physical exam stating that they are able to provide passenger
assistance?
Required ADA Policies
Do you have policies available to passengers and employees for the following?
ADA Compliance Yes/No
Job Descriptions Yes/No
Service Area Yes/No
Service Hours Yes/No
Access to Information Yes/No
Lift Procedures Yes/No
Seatbelt Usage Yes/No
Wheelchair Securement Yes/No
Trip Denials Yes/No
Preventive Maintenance Yes/No
Daily Pre-trip Inspections Yes/No
(including lift cycling)
12
Required ADA Documentation
Do you have documentation available to passengers and employees for the following?
Personal Care Attendants Yes/No
Service Animals Yes/No
Oxygen Tank Securement Yes/No
Lift Maintenance Yes/No
Required Communications
What type of two-way communication do you have with your drivers?
Does your two-way communication device have either a 110 volt or 12 volt power source
backup?
Service Delivery
Service Design and Capacity
Do you notify ODOT before making service changes?
Are you using ODOT’s data definitions as defined in the Rural Transit Manual, Attachment 6-A?
Scheduling
How is scheduling done (manually, computer spreadsheet, dispatching software, etc.)?
How many dispatchers/schedulers does the system have?
How many direct phone lines are there to the scheduler/dispatcher?
a. How are the phones answered (e.g., _________ Transit)?
b. If a customer calls and the line is busy, what happens to the call?
c. If, in question b. above, the call rolls to another line, how is that call answered
(e.g., ________ Transit, other, etc.)?
d. How does the scheduler/dispatcher know if an accessible vehicle is needed?
How are calls answered outside regular dispatching hours?
How are “will calls” for return trips handled?
13
How far in advance are customers required to call to reserve a ride (e.g., 24-hours in advance vs.
day before, 48-hours in advance, etc.)?
Are same day calls accepted?
How are no-shows handled? Do you have a written no-show policy?
How are cancellations handled? Do you have a written cancellation policy?
Are no shows and cancellations documented? What is the no-show rate? What is cancellation
rate?
Do you document all service requests? (ie. Trip turndowns, Trip refusals)
How do you know that the dispatchers/schedulers are accurately tracking and documenting trip
denials?
What is the number of trip denials per month?
Have you analyzed and documented the causes of trip denials (days, times, locations, accessible
vehicle availability, etc.) in the ODOT Operating Data Form (Unmet Needs Narrative)?
Have you mapped the locations of the trip denials in the service area?
Have you documented the impact of the trip denials on persons with disabilities in the ODOT
Operating Data Form (Unmet Needs Narrative)?
What percentage of trip denials are persons with disabilities?
Are any trips scheduled outside of the service area? To where? How often?
Are trips prioritized by trip purpose?
Can general public trips ride with the contract trips?
What is the average amount of time a passenger is on a vehicle?
What is the maximum amount of time a passenger is on a vehicle?
Type of Service (indicate)
Door-to-door plus call to inform passenger vehicle is on its way to pick them up
Door-to-door
Curb-to-curb, door-to-door upon request
Curb-to-curb
Stop-to-stop
% General Public Trips (indicate)
14
> 80%
80% - 70%
69.99% - 60%
59.99% - 50%
49.99% - 25%
< 25%
Peak Period Spare Ratio
What periods of the day are peak periods for your system?
What is your current spare ratio? _________
Total number of vehicles in fleet _________
Required number of vehicles for peak hour _________
Number of spares _________
Service Monitoring
Who is responsible for driver supervision?
How many full-time and part-time drivers does the system have?
Do drivers usually drive the same vehicle or route or do drivers switch?
How do you monitor drivers? Do you have on-street monitoring procedures? Do you document
on-street monitoring observations for each driver?
Local and Regional Transportation Coordination Efforts
Has your system ever been involved with a coordination project funded by the Ohio
Coordination Program? How did you participate?
Are you currently involved in any coordination efforts in your area? Describe them, who is
involved and what are the coordination goals?
Do you currently coordinate with other rural systems? With whom?
Do you currently coordinate with other urban systems? With whom?
How could you improve regional coordination efforts?
Are you participating in a Locally Developed Coordinated Public Transit-Human Services
Transportation Plan? Please describe your participation.
15
Title VI Compliance
Is the ODOT Title VI poster located in a place available to the general public? Where is it
located?
Does your poster include a local contact?
Have you had any civil rights complaints in the past three (3) years? Are any of these public
transportation related complaints or lawsuits?
Describe the procedure for investigating and tracking Title VI complaints filed against the
system/agency.
Describe the mechanism(s) for disseminating system/service information to the public. Provide
a summary of public outreach and involvement activities.
How do you ensure that minority, low-income, and Limited English Proficiency populations
have meaningful access to your service?
Does your system or agency have a public participation plan that includes an outreach plan to
engage minority and LEP populations? Provide a summary of outreach efforts. What
populations are targeted for outreach?
When was the transit system LEP program last submitted to ODOT? Have there been any
changes to the program since then?
Does your system have any transit related TACs or non-elected planning boards or similar
bodies? Does your system have a table depicting the racial breakdown of the membership of
those committees? Provide a description of efforts made to encourage participation of
minorities.
Public Participation Policy
Did the system hold the required public hearing for the grant application? How was it
advertised?
Do you have a written public participation process when making service changes?
Have you received ODOT concurrence on all significant service changes?
Is there a written complaint policy for passengers and the general public? How is this policy
advertised to the public?
Who receives complaints and how are they resolved?
Does the policy provide timeframes for response to the complainant?
Marketing and Public Relations
Who is responsible for marketing the system?
16
Do you follow a formal marketing plan?
How often is the marketing plan updated?
How do you keep the public aware of policy and procedure changes?
How does your system ensure that it is marketed as “open to the general public”?
How does your system promote service accessibility?
System Brochure
How often do you review and update the system brochure/rider’s guide?
Do you submit the brochure/rider’s guide to ODOT for review before changes/revisions are
made?
Does the brochure/rider’s guide contain the required elements?
Mission statement
System name
Contact name
Address
Telephone number
TDD and/or Ohio Relay Number
Type of service
Hours/days of operation
Service area
Fares
How to receive reduced fares
Funding sources
Complaint contact
Alternate formats available
Date of last revision
Title VI statement
How and where are brochures distributed?
Phone Book
How is the system listed in the telephone book?
Vehicles
Do all vehicles clearly display the system’s name and telephone number?
17
Do all vehicles say “public transit or transportation” or “open to the public”?
Public Presentations/Press Releases
Do you make public presentations on the transit system to local groups, etc.?
Do you issue press releases regarding system activities/highlights?
Surveys
How often do you conduct passenger surveys? How did you use the results?
Do you conduct non-rider, agency or employer surveys? How did you use the results?
Fleet Management
Vehicle Maintenance
Do you have over $100,000 in preventive/capitalized maintenance expenditures?
Have you submitted a Force Account Plan to ODOT?
Is maintenance performed in-house or contracted out?
If maintenance is performed in-house, who is responsible?
Where are maintenance activities performed?
Who is responsible for cleaning the vehicles and how often are they cleaned?
Do you have a written preventive maintenance plan? Provide a copy.
Who schedules preventive and corrective maintenance?
Are vehicles maintained at regular intervals (3,000 miles, 4,000 miles, 5,000 miles, etc.)?
Do you document that the manufacturer’s recommended PM schedule is followed? Review
records.
Do you include additional elements to the manufacturer’s PM schedule?
Are PM inspections performed as scheduled or within 500 miles (plus or minus) of scheduled
inspection? How is this tracked? Provide copy of report or tracking sheet.
What controls (e.g. procedures or random checks) are in place to ensure inspections are being
done on time?
18
Who is responsible for conducting pre-trip inspections? How are the inspections documented?
Provide copy
What is the procedure for this person to report necessary maintenance?
ADA Required Maintenance
Do you have documentation of all maintenance conducted on the wheelchair lift for each
vehicle?
Is the person who conducts wheelchair maintenance trained by Braun or Ricon to perform the
maintenance?
What procedure do you follow when a wheelchair lift is inoperable?
Are ADA-mandated accessibility features included in the PM plan?
Are the lifts cycled as part of the daily vehicle inspection?
Are the lifts maintained and serviced according to the manufacturer’s recommendations?
Are the securement tracks cleaned regularly?
Are the securement belts checked regularly for wear and tear? Are the clips for the tracks
checked for proper operation regularly?
What provisions are made for additional lift equipped vehicles if needed?
Warranties
Are vehicles and components maintained according to manufacturer warranty requirements?
Disposition
Describe your process for disposition of equipment/vehicles/real property.
a. Do you have property control procedures for adding and deleting items from the
records?
b. Has the FTA been reimbursed for its share of property, if required?
Facility Maintenance (applies to FTA/ODOT-funded facilities)
Do you have a Facility Maintenance Plan? Provide a copy
19
Has it been submitted to ODOT for approval?
Who monitors the maintenance of the facility?
Are repair and maintenance records current and complete?
System Safety, Security, & Vehicle Reliability
Do you have a system safety plan? Provide a copy
Do you have a system security plan? Provide a copy
Do you have an Emergency Preparedness Plan? Provide a copy
How often are plans updated?
When are vehicles or drivers with a safety problem removed from the road?
What do you do if you get complaints from passengers about unsafe driving?
How could your safety program be improved?
Do you have any security issues?
What is your role in implementing the Emergency Preparedness Plan with the county?
Do you have written procedures for responding to the various DHS threat levels? (Provide a
copy)
Accidents/Incidents
How do you define an accident?
Do you have an accident policy? Provide a copy
How do you define an incident?
Do you have an incident policy? Provide a copy
Are drivers aware of the accident and incident policies?
Are the vehicles equipped with insurance kits/witness cards?
Is there a safety committee? What is its role? What personnel are members? When do they
meet?
20
What environmental aspects of your system (e.g. topography, long trips, road conditions, etc.)
affect system safety?
What environmental aspects of your system affect vehicle reliability?
Road Calls
How do you define a road call?
What is your road call policy?
How many road calls did you report last year? Is there a trend over the last three to five years?
What are the most common reasons for road calls?
Seatbelts
What is your system’s seatbelt policy? Is it compliant with ADA?
Child Safety Restraint Seats
What is the policy for the child safety restraint seats? Do the drivers seat the child?
Does the system provide child safety restraint seats? If so, does the system use integrated seats
or portable seats?
What training have the drivers received for installing and removing portable child seats?
Does the system comply with Ohio’s Booster Seat Law? (under 4’9” and less than 8 years old)
Vehicle Safety Equipment
Do all vehicles have first aid kits, annually-inspected fire extinguishers, bloodborne pathogens
kits, and flare/triangle kits?
OSHA Sign
Is the Job Safety & Health Protection (OSHA) sign clearly posted for employees?
OSHA Bloodborne Pathogens
Does the system have an exposure control plan?
Is the plan reviewed and updated annually or whenever necessary?
21
Have the drivers received annual blood borne pathogens refresher training?
Are the training records kept in each employee’s file?
Have the drivers been offered the hepatitis B vaccine? If so and the driver did not want the
vaccine, was the proper form completed and placed in the employee’s file?
Regulatory Compliance
Americans with Disabilities Act and Section 504
Percent of vehicle fleet which is accessible – determine the % of vehicle fleet which is lift or
ramp-equipped.
100%
80% - 99.99%
60% - 79.99%
40% - 59.99%
20% - 39.99%
< 20%
* Note to Rural Transit System: Please do not complete the following
table but have documentation available on-site during the QAR Site visit
for review.
Rural Transit Program QAR
Federal Regulatory Compliance
Review
Topic
Compliant
(yes/no)
Documentation: Verification
and/or Observation Notes
Charter
Compliance with
FTA’s Charter
Regulations effective
4/30/08.
Application of
“Exemption” or
Documentation of an
“Exception”
Registration of
Qualified Human
Service Organizations
and QHSO Verification
Civil
Rights/ADA
ADA Compliance
Policy
Provision of Equivalent
Service
System Accessibility
System
22
Communications
(Brochure, Telephone
Book, Ohio Relay,
Information in
alternative formats)
ADA required policies
and documentation
(Job Descriptions,
Service Area, Service
Hours, Access to
Information, Seatbelt
Usage, Wheelchair
Securement, Lift
Procedures and
Training, Preventive
Maintenance, Trip
Denials, Pretrip
Inspections, PCAs,
Service Animals,
Oxygen Tanks)
Trip Denial Analysis
Civil Rights Poster-
ODOT Division of
Equal Opportunity
Poster shown in a
public place-available
to the general public.
Commercial
Driver’s
License
# of CDL Vehicles
Licenses and
Certifications Policy
and Procedure
Civil
Rights/DBE
DBE Program
Documentation (Goal
Projections for all
systems on an annual
basis)
Plans and Reports
(Systems with
contracting
opportunities above
$250,000 threshold,
excluding vehicles)
Debarment
and
Suspension
Debarment and
Suspension
Certification (signed
contract w/FTA Master
Agreement)
Drug and
Alcohol
D & A Policy
Employee Awareness
& Training
23
documentation
Third-Party
Administrator
Reporting (testing
rates)
Collection Site
Reviews (ODOT
requirement) and
System Oversight
documentation
MRO, BAT, SAP
Certifications and
Credentials on file
Recordkeeping and
Confidentiality (secure
access to records and
communication of
results)
Civil
Rights/EEO
EEO Program
Documentation
Posted EEO Sign
FMCSA
If travel over state
lines, FMCSA
application & approval
documentation
Ohio State
Highway
Patrol
Mandatory
Bus
Inspections
(>15
passengers
and/or >
10,000 lbs.)
Inspection
documentation
New Model
Testing
If purchased directly,
vehicle procurement
procedure and
documentation
(Altoona testing)
Pre-
Award/Post
Delivery
Audit & Buy
America
Vehicle Delivery
Checklist(s)
If purchased directly,
Pre-Award/Post
Delivery and Buy
America Certification
If purchased directly,
vehicle procurement
procedure and
documentation
24
Private
Sector
Participation
Private Sector
Involvement
documentation
Restrictions
on
Lobbying
Procurement Procedure
(signed contract w/FTA
Master Agreement)
School Bus School Bus Service
Contracts and service
Section 504 Complaints filed on the
basis of a disability
Section
5333(b)
Labor
Warranty
Posted Labor Warranty
Civil
Rights/Title
VI Plan
Submission of Title VI
Plan to ODOT
Civil
Rights/Limite
d English
Proficiency
(LEP)
LEP Assessment
LEP Plan
Drug and Alcohol Program Requirements
Administration
Who is the D & A Program Manager (DAPM)? Is the DAPM also the Designated Employee
Representative (DER)? If not, who is the DER?
Where are D & A records kept?
Who has access to the records?
Contract Service: Is D & A Program compliance included in the RFP and the contract? How do
you monitor contractor D & A Program compliance?
Drug-Free Workplace Posting: Yes/No
FTA Drug and Alcohol Policy
Last Update: __________
Date Adopted by Governing Board: __________
Do you have signed documentation that all employees received a copy of the latest D &
A Policy?
25
Do you have documentation that all employees received one (1) hour of D & A training
within 30 days of hire?
Do you conduct D & A refresher training?
Do you have two people trained in reasonable suspicion? When were they trained? Who
conducted the training? Have they taken reasonable suspicion refresher training in the
past three (3) years?
Current Certifications on File
MRO Certification: Yes/No
BAT Certification: Yes/No
SAP Certification: Yes/No
Is the EBT on the conforming products list? Yes/No
Are the primary and back-up labs DHHS certified? Yes/No
Preemployment
Do you have documentation that you sent the required form to the applicant’s previous DOT
employer? Did the DOT employer complete and return the form?
Random Testing
Are you a member of a consortium and/or third party administrator?
Who is in the random drawing pool? (only transit employees, only your system, other DOT
employees)
Who does the drawing and how are you notified? How often is it updated?
What if the DAPM is in the pool?
Do you have documentation that the consortium is testing the correct percentages (FTA 25% and
FMCSA 50% drugs/10% alcohol)?
How do you determine when a random test is done? How is the employee notified? Is there an
order to test form? How much time do you allow the employee to arrive at the collection site?
Who receives the test results (Consortium/DAPM/Collection Site) and how are they notified?
How long does it take to get results?
Post Accident
26
Are the post accident tests being conducted in accordance with FTA procedures?
Collection Site Review
Do you have documentation of your last visit to your primary and back-up collection sites?
Were there issues that required follow up? Do you have documentation that they were resolved?
X:\QAR\Rural Transit Program QAR\TAR Questions\Rural TAR Questions September Final 2012.doc
