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Innovative Ways to Perform Exemplary Contractor Oversight Two Case Studies – METRO & SMART FTA National Training, Little Rock, AR-April 16 – 17, 2014.

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Presentation on theme: "Innovative Ways to Perform Exemplary Contractor Oversight Two Case Studies – METRO & SMART FTA National Training, Little Rock, AR-April 16 – 17, 2014."— Presentation transcript:

1 Innovative Ways to Perform Exemplary Contractor Oversight Two Case Studies – METRO & SMART FTA National Training, Little Rock, AR-April 16 – 17, 2014

2 Case Study # 1 Innovative Ways to Perform Exemplary Contractor Oversight

3 FTA Drug and Alcohol Conference Contractor Oversight and Compliance

4 The Metropolitan Council is the regional policy-making body, planning agency, and provider of essential services for the Twin Cities metropolitan region.

5 The Councils essential services enhance the regions quality of life and economic competitiveness. We: Operate Metro Transit, serving 81 million bus and rail passengers in 2012 with award-winning, energy-efficient fleets. Our strategic investments support a growing network of bus, rail and transit ways, and transit oriented development Collect and treat wastewater at rates 40% lower than peer regions, while winning national awards for excellence. Work to ensure adequate clean water for the future, through our water supply planning and lake and river monitoring programs. Plan for future growth in partnership with communities and the public. Plan, acquire and develop a world-class regional parks and trail system. Provide affordable housing for qualifying low-income residents.

6 Metro Transit Major Transit Provider for Twin Cities Metropolitan Region 2013Provided 81,368,750 rides Fleet of 1000+ Vehicles including Bus, Light Rail and Commuter Rail 2,800+ Employees 2,540 Safety Sensitive Employees 1,700+ Drug or Alcohol Tests

7 Service Owner 8 Service Contractors(1 subcontractor) 5 Paratransit Services (Metro Mobility) 4 Dial a Ride Services (Transit Link) 3 Local Services 2 Express Services 2013 5,454,963 Rides 800+ Vehicles Metropolitan Transportation Services (MTS)

8 MTS Oversight Responsibility for: 6 Service owners 9 Contractors 6 Local Services 6 Express Services 2 Dial a Ride Services 2013 5,168,656 Rides

9 Drug and Alcohol Program Metro Transit HR Manager for Occupational Health (FTE.5) HR Assistant for Occupational Health (FTE.5) MTS Project Manager (FTE.3) Two Graduate School Interns

10 MTS D & A Program Manager Review provider policies and provide feedback and assistance with revisions if necessary -Notify providers of annual MIS reporting deadline (written notice) -Review all MIS reports in DAMIS prior to submission deadline -Review random testing charts semi-annually -Perform on-site audits (post accident and random testing, etc) at least once per year -Ongoing resource for regional providers

11 Graduate School Interns Recruited from Public Policy Graduate Programs Full time in the summer and part time during school year Hired to perform portions of sub-recipient oversight of MTS Contractors and Suburban Transit Providers Conduct mock collections at both collections sites and at transit garages for Metro Transit

12 Intern Duties Review 1/3 of contractors and sub-recipients annually Research changes in regulations Use triennial workbook as a base for review Initially conduct a desk review Conduct onsite review Develop findings and recommendations Follow up is done by MTS

13 Desk Review –Policies –MIS Form –Training Materials –Service Agents –Service Agent and contractor oversight plan and/or documentation of monitoring activities for Collection Site, Laboratory, MRO, SAP, BAT and STT –Monitoring activities for contractors and safety sensitive employees –Summary of consortium pool the employer is in

14 On-Site Review –Testing logs –Test results –Decision making processes –Follow-up on positives –Records of inspection, maintenance and calibration of EBT –Credentials of lab, MRO, SAP –Contracts and agreements with service agents –Training attendance lists –Anything that previously required corrective action

15 Results Recent FTA Review Metro Transit and 4 Subcontractors Reviewed Findings Policy Manual37 DAPM20 Records21 BAT 3 Urine Collection 9 MRO 5 SAP 1 Total96

16 FTA Drug and Alcohol Conference

17 Case Study # 1 Innovative Ways to Perform Exemplary Contractor Oversight Oversight Discussion What are your similarities to this structure? What ways are you able to adopt some of METROs methods? What techniques are you unable to adopt? Why? What oversight techniques could you recommend?

18 Case Study # 2 Innovative Ways to Perform Exemplary Contractor Oversight

19 Suburban Mobility Authority for Regional Transportation FTA Drug and Alcohol Conference April 15-17, 2014

20 Background Established in 1967 Southeast Michigans only regional public transportation Fixed-Route and Connector Paratransit Services Covers 1,200 square miles Nearly 11 million rides annually

21 D&A Program Administration SMART Internal Human Resources Fixed Route Connector Service External D&A Coordinator/ Ombudsman Community Partnership Maintenance Contractors Lake Erie Transit

22 Community Partnership Program Established in 1995 to provide vehicles and operational support to local communities Supports 75 communities and organizations CPP Transit Services are tailored to the needs of the community

23 Regulatory Responsibility All partnerships are operating in the shoes of the Authority Subject to 49 CFR §40.1(a)(b) Vehicles provided to the partnerships are Revenue Service Vehicles which are titled to the Authority

24 Program Oversight As the Drug and Alcohol Coordinator, I am responsible for the oversight of 76 programs which are uniquely organized and independently governed. Bottom line I am directly responsible for program effectiveness for all 76 programs

25 Challenges

26 Challenges The Partnerships are mostly municipalities or Non-profit organizations with no transit experience and have issues such as: Lack of knowledge Limited Staffing Limited Resources/Funding

27 Solutions

28 Assistance The key element for both the ombudsman and the D&A Coordinator oversight is assistance. Be a regulation expert Audit Assistance Creating a standard policy Find the most efficient but economical way to maintain their programs

29 FTA Audit August 2014 Findings Polices Collection Sites Third Party Administrators

30 Key Elements Contractors who perform Safety-Sensitive functions must meet all requirements of Parts 655 & 40 and must have: Knowledgeable DAPM Compliant Policy Testing Record Keeping Training

31 What to Look for in an Audit Knowledgeable DAPM Compliant Policy Are they part of a consortium? Readily apparent test processes All applicable training & certifications Info for a qualified SAP DAMIS Compliance

32 Tools DAMIS Reporting Program Policy Files/Spreadsheets Knowledge of Contractors Operation Comprehensive Knowledge of Regulations Audits

33 Case Study # 2 Innovative Ways to Perform Exemplary Contractor Oversight Oversight Discussion What are your similarities to this structure? What ways are you able to adopt some of SMARTs methods? What techniques are you unable to adopt? Why? What oversight techniques could you recommend?


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