State College, PA
February 28
March 1 and 2, 2005

CONCURRENT B R E A K – O U T
SESSIONS


SESSION A – High Level Discussion –
Bureau Updates
SESSION B – Staff Level Discussion –
 Applications
 Forms
 Reports, etc.

LOTTERY
AND
SPECIAL IZED
TRANSPORTATION
PROGRAMS
LaVerne Collins

 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

 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 –
Applications Due May 2, 2005
Expansion is under consideration
• Incremental
• dependant upon funding availability
In the 24 Counties:
- 7,758 Registered – 19%
- 1,078 Individuals Served in December 04
-11,310 Trips in December 04
-Cost to Program per Trip - $11.25

BOB SHARP
 Rural Operating Assistance
 Rural Capital Assistance
 Federal Transit Administration
Grants, etc.
 Program Payments
 Demonstrations & New Starts
 On-site Technical Assistance

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

 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.

PennDOT FY 2004-2005 BUDGET
$5,668 Million
Highways
$4,010 Million
Public
Transportation
$931 Million
Aviation
$38 Million
Rail Freight
$30 Million
State
Police/Debt
Service/Other
$659 Million

406 Million Annual Boardings
FY 03-04
350
300
250
200
301.0
150
100
68.0
50 31.0
2.0
3.0
0
Class 1 Class2
* Exclusive of paratransit trips provided by Class 1-4
Class3 Class 4 * Comm.
Trans.
1.4
Intercity
Rail/Bus

School
4%
Other
8%
Work
30%
Shopping
23%
Medical
35%

General Fund
Mass Transportation Assistance
$800
$600
Would be $42 million higher if kept pace with inflation
$400
$200
$0
Fiscal Year

Public Transportation Assistance
(PTAF)
$800
$600
$400
$200
$0
Would be $29 million higher if kept pace with inflation
Fiscal Year

$800
$600
$400
$200
$0
Fiscal Year

General Fund - Dedicated
Act 3 of 1997
$100
$50
$0
Capped by Law at $75 M
Would be $22 M higher if not capped
Fiscal Year

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)
$300
$250
$200
$150
$100
$100
$155
$266
$228
$191
Projection based upon no increase of fares; federal, state, local, or other subsidies
$50
$0
04-05 05-06 06-07
Year
07-08 08-09

5311 BALANCE DRAWDOWN PROJECTIONS
$20,000,000
$10,000,000
$0
-$10,000,000
04-05
(XO23)
$9,916,120
$8,824,709
$6,798,070
$3,752,034
-$405,145
05-06
(XO24)
06-07
(XO25)
07-08
(XO26)
08-09 09-10
(XO27) (XO28)
-$5,773,470
10-11
(XO29)
11-12
(XO30)
-$12,461,945
12-13
(XO31)
13-14
(XO32)
-$20,000,000
-$20,589,382
-$30,000,000
-$30,285,289
-$40,000,000
-$41,690,827
-$50,000,000

 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 Program
FY 04-05 $832.7 Million
Source
General Fund
(PTAF) Public Transportation Assistance
Fund -Dedicated
General Fund Act 3 Dedicated
Fiscal Year 04-05
($ Millions)
$321.7
$174.8
$75.0
Lottery Fund
State General Obligation Bond
(Transportation Assistance Program-TAP)
$136.2
$125.0

General Fund
Mass Transportation Assistance
Rural Transportation Assistance
Fixed Route Transit
Intercity Bus and Rail
Total:
Rail Safety Inspection
FY 04-05
($ Millions)
$287.8
$1.0
$25.0
$7.4
$0.4
$321.7

General Fund
Mass Transportation
Assistance $287.8 M
Grantees Distribution
($ Millions)
Local
Match
Class 1
Class 2
Class 3
Urban Total
Class 4
$199.6
$72.1
$13.9
$285.6
70.0%
25.3%
4.7%
100%
$2.2
1:3
Uses Other/
Restrictions
Operating
Assistance
Distribution formula virtually unchanged since 1987

General Fund
Rural Transportation
Assistance $1.0 M
Grantees Distribution
($ Millions)
Local Match
Class 3
Class 4
Subtotal
Welfare to
Work
$0.64
$0.11
$0.75
$0.25
None
Uses Other/
Restrictions
Supplemental
Operating
Assistance
Operating
Trips and Fares
State funding provided in FY 1997 for Class 3 and
Class 4. Welfare to
Work discretionary distribution

General Fund
Fixed Route Transit
$25.0 M
Grantees
Class 1
Class 2
Class 3
Class 4
Other (private)
Rural Persons with
Disabilities (PwD)
Distribution
($ Millions)
$25.0
Discretionary
Local Match Uses Other/
Restrictions
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
None
Up to 85% fare reimbursement for
PwD on shared ride transit
Currently Available in 24
Counties

General Fund
Intercity Bus & Rail
$7.4 M
Grantees
Amtrak
Distribution
($ Millions)
$5.8
Local Match
None
Intercity Bus
$1.6
Uses
Operating
1:3
Up to 10% Non
Federal Share
Capital
(ADA Retrofit)
Other/
Restrictions
Discretionary
Distribution

General Fund
Rail Safety Inspection
$0.4 M
Grantees Distribution
($ Millions)
Local Match
Consultant
Contract
$0.4
Uses Other/
Restrictions
None
State Rail Safety
Inspection
(SEPTA, PAAC,
Johnstown)
FTA required safety oversight of transit fixed guideway systems (1991)

PTAF – Dedicated Act 26 of
1991
Mass Transit Grants
Rural Transit Grants
Community Transportation
Technical Assistance
Total:
Project Management Oversight
FY 04-05
($ Millions)
$166.2
$3.9
$2.3
$1.4
$1.0
$174.8

PTAF Dedicated
Act 26 of 1991 Mass Transit Grants
$166.2 M
Grantees Distribution
($ Millions)
Local
Match
Uses Other/
Restrictions
Class 1
Class 2
Class 3
$116.1
$42.0
69.9%
25.2%
$8.1
4.9%
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

PTAF Act 26 of 1991
Rural Transit Grants
$3.9 M
Grantees Distribution
($ Millions)
Class 4 $3.9
Local
Match
Uses Other/
Restrictions
1:29
Minimum of 50%
Capital
Up to 50% of total funding may be used for Asset
Maintenance
Set Aside

PTAF Act 26 of 1991
Community Transportation
$2.3 M
Grantees
Community
Transportation/
Shared-Ride
Providers
Distribution
($ Millions)
Local Match Uses Other/
Restrictions
Discretionary
None Capital
Set-aside
Philadelphia and
Allegheny
Counties not eligible

PTAF Act 26 of 1991
PennDOT Technical Assistance
$1.4 M
Grantees Distribution
($ 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 1991
PennDOT Project Management Oversight
$1.0 M
PennDOT
Distribution
($ Millions)
Local Match
$1.0
Uses Other/
Restrictions
None
Administrative expenses associated with oversight of public transportation program
Set Aside

General Fund
Dedicated Act 3 of 1997
Urban Mass Transit Grants
Rural Transit Grants
Community Transportation
Total:
FY 04-05
($ Millions)
$69.7
$4.1
$1.2
$75.0

General Fund
Dedicated Act 3 of 1997 Urban Mass Transit Grants
$69.7 M
Grantees Distribution
($ Millions)
Local
Match
Uses Other/
Restrictions
Class 1
Class 2
Class 3
$40.3
58.4%
$13.4
19.5%
$15.9
22.1%
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 a ssistance.
Remainder of funding provided to supplement PTAF dedicated funding

General Fund
Dedicated Act 3 of 1997 Rural Transit Grants
$4.1 M
Grantees Distribution
($ Millions)
Class 4 $4.1
Local
Match
Uses Other/
Restrictions
1:29
Operating or capital assistance
Supplemental dedicated funding provided

General Fund
Dedicated Act 3 of 1997
Community Transportation
$1.2 M
Grantees Distribution
($ Millions)
Local Match Uses Other/
Restrictions
Community/ shared-Ride
Providers
Discretionary None Capital
Allegheny &
Philadelphia
Counties not
Eligible

Lottery Fund
Older Pennsylvanians
Free Ride
Older Pennsylvanians Shared Ride
Total:
FY 04-05
($ Millions)
$63.0
$73.2
$136.2

Lottery Fund
Older Pennsylvanians Free Ride
$63.0 M
Grantees
Class 1 - 4
Private Fixed
Route
Providers
Distribution
($ Millions)
$63.0
Local
Match
None
Uses Other/
Restrictions
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 Fund
Older Pennsylvanians Shared-Ride
$73.2 M
Grantees Distribution
($ Millions)
Local Match Uses Other/
Restrictions
Class 1 - 4 and
Community/Sh ared-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

State General Obligation
Bonds (TAP)
Capital Budget
$125 M
Grantees Distribution
($ Millions)
Local Match Uses
Class 1 - 4
Other Trans.
Agencies determined by
PennDOT
Discretionary
(For approved
Capital Budget
Authorization)
Federal - 1/6 of the nonfederal 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.
Other/
Restrictions

B R E A K
Please Return in 15 minutes

Mike Bonini and
Marti Pierce

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

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

Louise Tinkler

 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

PUBLIC
TRANSPORTATION
SUPPORTED BY
Customer Service
TO ORDER DECALS
CONTACT:
PennDOT
BUREAU OF PUBLIC
TRANSIT
PO BOX 3151
HARRISBURG, PA 17105-3151
717 705-1492
717 787-1202
Tina Chubb



What’s right?
What’s wrong?
Bob Sharp / Louise Tinkler / LaVerne Collins

5311 FUNDS

5311 Grantees/Sub Recipients
Charter Service
Transportation using
or
or

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 13 th 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:
and
.
Rubber-tired replica trolleys, articulated buses, double decker buses, and other types of specifically modified equipment

INCIDENTAL CHARTER SERVICE
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

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 nonprofit 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
Transit
Research & Demonstration Project
TMACC and PennDOT
Tina Chubb

B R E A K
Please Return in 15 minutes




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
April 30, 2005
May 1
May 30
June 1
June 30
July 31
ITEM
2004-05 Third Quarter ROA-3 and Accident
Report.
PURPOSE OF COMPLIANCE
Contractual Obligation
Proposed Service Standards.
2005-06 Section 5311/Act 26 Operating
Assistance Applications must be received.
DBE Report
( Data October 1, 2004-
March 31, 2005 )
Request For Items To Be Included In Next
Capital Budget
2004-05 Fourth Quarter ROA-3 and
Accident Report.
Legislative Requirement per Public
Transit Law (PTL)
Program Administration
Contractual Obligation
Program Planning & Administration
Contractual Obligation

August 15 Approved/Actual Service Standards.
October 31 Form 26C – FY 04-05 Project Report For
Use Of Dedicated Funds
October 31 NPR 1 2005-06
Legislative Requirement per Public
Transit Law (PTL)
Legislative Requirement per Public
Transit Law (PTL)
Program Administration
October 31 2005-06 First Quarter ROA-3 and Accident
Report.
2004-05 Data Certification
Contractual Obligation
Program Administration November 30
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
January 31
5333(b) Special Labor Warranty
FY 2006-2007
2005-06 Second Quarter ROA-3 and
Accident Report.
Federal Regulations
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

Bob Sharp &
Louise Tinkler

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

RMA 2005

FTA Updates
Federal T ransit A dministration Staff
Florence Bicchetti &
Michele Destra

Mike Noel & Bob Schmidt

B R E A K
Please Return in 15 minutes

 Revised Board Training Manual
&
 Roles & Responsibilities of
Transit Managers
– Something new from National RTAP

L U N C H
Please Return in 1 Hour

of
Bob Sharp

WHY DO WE HAVE THEM?
WHAT HAVE WE FOUND?
WHAT DO WE DO WITH OUR
FINDINGS?

 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?

 SHOULD WE VISIT GRANTEES MORE
THAN ONCE A YEAR?

Bob Sharp

49 CFR PART 655
POLICY
AND
DEFINITIONS

 Requirements for Policy in Part 655
 Definitions

 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

 Identity of person, office, branch, and/or position
–
If providing specific person’s name, consider listing in appendix so easily updated





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



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

 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



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

 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

 Marijuana
 Cocaine
 Amphetamines
 Opiates
 Phencyclidine
 Alcohol -- AS DETAILED ABOVE

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

 Drug test – anytime on while on duty
 Alcohol test – Just before, during, or immediately after safety-sensitive duty

 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

 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

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







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







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

 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

 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
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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

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Referral for assessment by a Substance Abuse
Professional
–
–
SAP referral is required even if no 2 nd chance allowed
For 2 nd 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)

 Must be identified
– Define additional employer thresholds for postaccident tests
 The provisions of the Drug Free Workplace
Act of 1988 may be incorporated in the policy statement but must be so identified

 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 distribution
-Employees should be requested to sign a confirmation of receipt form
 Part 40 must be available for review by employees

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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

 Always update your policy when new regulations are implemented
 Make sure the date of the last policy is clearly stated on the policy

 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

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.

February 27, 28, and March 1, 2006