Presentation on theme: "Innovative Ways to Perform Exemplary Contractor Oversight"— Presentation transcript:
1Innovative Ways to Perform Exemplary Contractor Oversight Two Case Studies – METRO & SMARTFTA National Training, Little Rock, AR - April 16 – 17, 2014
2Innovative Ways to Perform Exemplary Contractor Oversight Case Study # 1
3FTA Drug and Alcohol Conference Contractor Oversight and Compliance
4The Metropolitan Council is the regional policy-making body, planning agency, and provider of essential services for the Twin Cities metropolitan region.
5The Council’s essential services enhance the region’s 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 developmentCollect 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.
6Metro TransitMajor Transit Provider for Twin Cities Metropolitan Region 2013 Provided 81,368,750 rides Fleet of Vehicles including Bus, Light Rail and Commuter Rail 2,800+ Employees 2,540 Safety Sensitive Employees 1,700+ Drug or Alcohol Tests
7Metropolitan Transportation Services (MTS) 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 ,454,963 Rides 800+ Vehicles
8MTSOversight Responsibility for: 6 Service owners 9 Contractors 6 Local Services 6 Express Services 2 Dial a Ride Services ,168,656 Rides
9Drug and Alcohol Program Metro TransitHR Manager for Occupational Health (FTE .5)HR Assistant for Occupational Health (FTE .5)MTSProject Manager (FTE .3)Two Graduate School Interns
10MTS 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
11Graduate School Interns Recruited from Public Policy Graduate ProgramsFull time in the summer and part time during school yearHired to perform portions of sub-recipient oversight of MTS Contractors and Suburban Transit ProvidersConduct mock collections at both collections sites and at transit garages for Metro Transit
12Intern Duties Review 1/3 of contractors and sub-recipients annually Research changes in regulationsUse triennial workbook as a base for reviewInitially conduct a desk reviewConduct onsite reviewDevelop findings and recommendationsFollow up is done by MTS
13Desk 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 STTMonitoring activities for contractors and safety sensitive employeesSummary of consortium pool the employer is in
14On-Site Review Testing logs Test results Decision making processes Follow-up on positivesRecords of inspection, maintenance and calibration of EBTCredentials of lab, MRO, SAPContracts and agreements with service agentsTraining attendance listsAnything that previously required corrective action
15Results Recent FTA Review Metro Transit and 4 Subcontractors Reviewed FindingsPolicy Manual 37DAPM 20Records 21BATUrine Collection 9MROSAPTotal 96
17Oversight Discussion Case Study # 1 Innovative Ways to Perform Exemplary Contractor OversightCase Study # 1Oversight DiscussionWhat are your similarities to this structure?What ways are you able to adopt some of METRO’s methods?What techniques are you unable to adopt? Why?What oversight techniques could you recommend?
18Innovative Ways to Perform Exemplary Contractor Oversight Case Study # 2
19Suburban Mobility Authority for Regional Transportation FTA Drug and Alcohol ConferenceApril 15-17, 2014
20Background Established in 1967 Southeast Michigan’s only regional public transportationFixed-Route and Connector Paratransit ServicesCovers 1,200 square milesNearly 11 million rides annuallyAs the only regional public transportation provider, SMART offering convenient, reliable and safe transportation for a three county wide area, cover 1,200 square miles. SMART’s Fixed-Route and Connector services connect seniors, students, and professions to employment, educational institutions, medical facilities, and shopping centers. SMART is supported by federal and state funding, local contributions through a transit property tax millage from opt-in communities and bus fares.
21D&A Program Administration SMARTInternalHuman ResourcesFixed RouteConnector ServiceExternal D&A Coordinator/ OmbudsmanCommunity PartnershipMaintenance ContractorsLake Erie TransitThe Drug & Alcohol Program is administered as an internal program which is over-seen by the Authority’s Human Resources Department and the external program that is independently run under the Authority’s Drug & Alcohol Coordinator and Community Ombudsman program. The internal program covers the Authority’s operational services and the external program has oversight of the Community Partnership Program, Maintenance Contractors, and the transportation provider for Monroe County.
22Community Partnership Program Established in 1995 to provide vehicles and operational support to local communitiesSupports 75 communities and organizationsCPP Transit Services are tailored to the needs of the communityIn 1995 SMART established a community partnership program which is the only program of its kind in the United States. We have partnerships with 75 communities and organizations throughout a 1200 sq. mile service area. Through the program SMART provides vehicles and operational support so that municipalities or service organizations can operate local bus service that meets the specific transit needs within their community as long as the use of the vehicles does not violate any state or federal regulations. The program has allowed the Authority to extend its service capability with a greater flexibility. These programs benefits seniors and people with disabilities who depend on public transit.
23Regulatory Responsibility All partnerships are operating “in the shoes” of the AuthoritySubject to 49 CFR §40.1(a)(b)Vehicles provided to the partnerships are Revenue Service Vehicles which are titled to the AuthorityBecause the partnerships are Operating “in the shoes” of our Authority they are subject to 49 CFR §40.1(a)(b) The Authority has the ultimate responsibility for ensuring that all the partnership and maintenance contractors meet all regulatory requirements. The vehicles purchased for this program are Revenue Service Vehicles titled to the Authority.Revenue service vehicle are considered floating and rolling stock that is available to the general public with a reasonable expectation of provided services for the following :Passengers that directly pay faresAre subsidized by public policyProvide payment through some contractual arrangementVehicles operated in 'free fare' service are considered in revenue service
24Program OversightAs 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
26ChallengesThe Partnerships are mostly municipalities or Non-profit organizations with no transit experience and have issues such as:Lack of knowledgeLimited StaffingLimited Resources/Fundingbecause these programs are mostly municipalities or Non-profit organizations, challenges such as of lack of knowledge, limited staffing, limited resources, and funding hamper their ability to effectively run an independent transportation operation.
27SolutionsAt the Authority support for these programs are provided by a dedicated Ombudsman for each county and a Drug and Alcohol Coordinator who is directly responsible for testing oversight of each program.
28AssistanceThe key element for both the ombudsman and the D&A Coordinator oversight is assistance.Be a regulation expertAudit AssistanceCreating a standard policyFind the most efficient but economical way to maintain their programs
29FTA Audit August 2014 Findings Polices Collection Sites Third Party AdministratorsOne of the most recent was in August 2014 the FTA Audited the AuthorityThe findings indicated that some corrections were required to the Authority’s program. The following items were identified and have already been corrected:Policies Both the Authority and contractors required corrections to their policies to ensure that the policies correctly outlined how each program conducted their testing.Collection Sites Both the Authority and contractors had had the following Issues:Communications require the establishment of passwords to ensure that proper transmission of information was only passed to the DAPMNumerous errors were found on several Custody Control Forms which required correction affidavitsGhosting was found on all of the CCF’s reviewed which indicated that the collector was having the subject initial the tamper seal while it was still on the form.The several CCF’s had the wrong regulatory agency markedOne of contractors had an onsite collection, the auditor found that a mirror in the bathroom was a medicine cabinet and could have been used to hide items to throw the test result.Third Party Administers one of the contractors required a password to ensure that proper transmission of test results or information was only passed to the DAPMThe FTA Drug & Alcohol program is similar to my Coast Guard experience, from which many of the procedures I established helped the contractors prepare for their audit. Over the past five years I have implemented many of the procedures I will talk about during this presentation.
30Key ElementsContractors who perform Safety-Sensitive functions must meet all requirements of Parts 655 & 40 and must have:Knowledgeable DAPMCompliant PolicyTestingRecord KeepingTrainingTo be in compliance each contractor must have these elements.
31What to Look for in an Audit Knowledgeable DAPMCompliant PolicyAre they part of a consortium?Readily apparent test processesAll applicable training & certificationsInfo for a qualified SAPDAMIS ComplianceKNOWLEDGEABLE DAPMAre they in the testing poolHave they had training on how to perform their dutiesDo they utilize guiding formsAre they trained to perform reasonable suspicion determinationsDo they have good communications and passwords withSAPMROCollection siteDo they maintain a follow-up scheduleCOMPLIANT POLICYUp-to-dateTailored to Meet the needs of the organizationKnowledgeable DAPMCompliant policiesARE THEY PART OF A CONSORTIUM?Readily apparent test processesAll applicable training & certificationsInfo for a qualified SAPDAMIS complianceREADILY APPARENT TEST PROCESSESPre-EmploymentBack ground checksRemoval from the poolRandom TestingAdequately SpreadMinimum testing ratesPost-Accident TestingMust meet FTA testing thresholds, time requirementsDocumentationReturn-to-Duty/Follow-up TestingTesting rate, documentationObservedALL APPLICABLE TRAINING & CERTIFICATIONSDrug and alcohol awarenessReasonable suspicionHas it been documentedINFORMATION FOR A QUALIFIED SAPDo they have a contracted SAPIs the SAP Certified for Safety Sensitive programsIs the certification currentIs the SAPs role clearly defined in the policyDAMIS COMPLIANCEAre they correctly reporting their testing numbersAre they listing the tests under the proper job descriptionAre they only reporting FTA Safety Sensitive employees
32Tools DAMIS Reporting Program Policy Files/Spreadsheets Knowledge of Contractors’ OperationComprehensive Knowledge of RegulationsAuditsDAMIS ReportingEach programs DAMIS report is reviewed for:Any issues that will require updates or corrective actionsRandom testing (are they meeting their percentages)Accidents (Check sheets, testing performed)Reasonable suspicion (Documentation)Return to duty testing /follow up testing (Direct observation, frequency)Testing percentageProgram PolicyEach policy should provide a detailed process of the how the contractor runs its programThe policy must provide contact information for:DAPMTPACollection site(s)SAPKnowledge of contractors operationVisit the contractorWhat kind of service do they performHow is it structuredAre the FTA regulated employees in a pool with employees regulated by another transit administration (i.e. FMCSA, USCG)Files/Spread SheetsCreate simple “go-to” binders:Contact informationCorrespondenceCurrent policy MIS reportsAudit documentation /follow-upUse a basic spreadsheet to collect pertinent info and to keep consistent, accurate info about your contractor’s compliance status. Be sure to keep sensitive data secure.Comprehensive knowledge of the regulationsEach of your contractors may operate under more than one regulatory agencyAuditsAll the tools mentioned should provide good information to prepare for your auditUse the interview check list used by FTA auditors to determine compliance
33Oversight Discussion Case Study # 2 Innovative Ways to Perform Exemplary Contractor OversightCase Study # 2Oversight DiscussionWhat are your similarities to this structure?What ways are you able to adopt some of SMART’s methods?What techniques are you unable to adopt? Why?What oversight techniques could you recommend?