Implementation Guidelines - Federal Transit Administration - U.S. ...
Implementation Guidelines - Federal Transit Administration - U.S. ... Implementation Guidelines - Federal Transit Administration - U.S. ...
compliance. You are encouraged to communicate the requirements to your contractors, and if necessary, provide them with tools and technical assistance, such as the following: • Provide copies of the regulations (Part 655 and Part 40). • Provide copies of resource materials: Implementation Guidelines; Best Practices manual; Random Drug Testing Manual; and the FTA Drug and Alcohol Regulations Update. • Provide contractor DAPMs with education and training on the regulations. • Offer substance abuse awareness training to safety-sensitive employees. • Offer reasonable suspicion training for supervisors. • Provide assistance in establishing a scientifically valid random selection process. • Develop specification and evaluation criteria for service agents. • Conduct a detailed policy review. • Assist in the establishment of record keeping procedures. • Assist in the preparation of MIS reports. If your contractor(s) is unable to comply, you may include them in your own program (e.g., random selection process, testing services). Under this scenario, the contractor will still be responsible for program administration, but you will have greater control over the technical aspect of their testing program. You should also conduct ongoing oversight of your contractor(s) to ensure that their programs remain in compliance. Oversight functions might include requiring and monitoring periodic (e.g., monthly, quarterly) management reports on policy modifications, changes in service agents, training, and the number, type, and results of tests. You can also perform mock audits on contractors mimicking the FTA audit process (see Chapter 14 for information on the audit process). The Best Practices manual also discusses contractor oversight and provides examples of contactor oversight checklists in Section 4.2 and Appendix C. This checklist can be used to structure the contractor review, document your oversight efforts, and identify areas that require corrective action. If your agency has direct oversight responsibilities, you may also directly access contractor employee records including test results. You must take whatever actions are necessary and appropriate to ensure contractor compliance. If a contractor is unwilling or unable to comply with the regulations, you must discontinue using this contractor for safety-sensitive duties, or jeopardize your FTA funding. Contractors that bid on safety-sensitive work should be considered non-responsive if they do not have or are not able to establish an FTAcompliant drug and alcohol testing program. Section 4. STATE OVERSIGHT OF SUBRECIPIENT The FTA regulation (§655.81) requires that each grantee including states, ensure that recipients of funds under 49 U.S.C. Chapter 12. Program Monitoring 12-5 August 2002
5307, 5309, 5311, or 23 U.S.C. 103(e)(4) comply with this part. The regulation (§655.82(c)) also requires that each state certify compliance on behalf of its subrecipients of these funding programs. In order to provide the certification, the state must ensure that each subrecipient is in compliance with Part 655 and Part 40. If a subrecipient is not in compliance with the regulations, the state may suspend its funding. FTA does not specify what actions must be taken by states to ensure subrecipient compliance, but they are encouraged to develop an oversight program that provides a reasonable level of confidence that their subrecipients are complying before they certify compliance. Successful oversight activities include policy review, ongoing training, technical assistance and compliance checklists. The Best Practices manual provides additional information and examples of monitoring forms and checklists for state DOTs (Section 4.2 and Appendix C). Policy reviews are informative, and several states evaluate their subrecipient’s policies to make certain that every system has a policy in place and that its contents comply. These states have found the reviews useful because they often reveal the nature and extent of a subrecipient’s compliance problems. Information sharing and training are also effective oversight activities. Most states have provided some level of training for their subrecipients. A few states have supplemented their initial training by providing refresher courses to inform subrecipients of regulatory changes, new interpretations, and ways to avoid common mistakes. Several states have also developed resource libraries that are available to subrecipients and have disseminated information through newsletters, alerts, emails, and faxes. Some states have developed monitoring programs that require subrecipients to complete comprehensive checklists and provide documentation showing how they complied with each regulatory requirement. A review of the checklists enables the state to identify problems and require the subrecipients to take corrective actions. Other states have included abbreviated testing program checklists in their ongoing regulatory compliance review process. Regardless of the methods used, each state should be committed to the program and should take their oversight responsibilities seriously. Oversight programs that successfully identify problem areas and initiate corrective actions will enhance the integrity of each subrecipient’s testing program, minimize compliance issues, avoid potential legal conflicts, and improve the overall effectiveness of the program. Chapter 12. Program Monitoring 12-6 August 2002
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5307, 5309, 5311, or 23 U.S.C. 103(e)(4)<br />
comply with this part. The regulation<br />
(§655.82(c)) also requires that each state<br />
certify compliance on behalf of its<br />
subrecipients of these funding programs. In<br />
order to provide the certification, the state<br />
must ensure that each subrecipient is in<br />
compliance with Part 655 and Part 40. If a<br />
subrecipient is not in compliance with the<br />
regulations, the state may suspend its<br />
funding.<br />
FTA does not specify what actions must<br />
be taken by states to ensure subrecipient<br />
compliance, but they are encouraged to<br />
develop an oversight program that provides<br />
a reasonable level of confidence that their<br />
subrecipients are complying before they<br />
certify compliance. Successful oversight<br />
activities include policy review, ongoing<br />
training, technical assistance and<br />
compliance checklists. The Best Practices<br />
manual provides additional information and<br />
examples of monitoring forms and<br />
checklists for state DOTs (Section 4.2 and<br />
Appendix C).<br />
Policy reviews are informative, and<br />
several states evaluate their subrecipient’s<br />
policies to make certain that every system<br />
has a policy in place and that its contents<br />
comply. These states have found the<br />
reviews useful because they often reveal the<br />
nature and extent of a subrecipient’s<br />
compliance problems.<br />
Information sharing and training are also<br />
effective oversight activities. Most states<br />
have provided some level of training for<br />
their subrecipients. A few states have<br />
supplemented their initial training by<br />
providing refresher courses to inform<br />
subrecipients of regulatory changes, new<br />
interpretations, and ways to avoid common<br />
mistakes. Several states have also<br />
developed resource libraries that are<br />
available to subrecipients and have<br />
disseminated information through<br />
newsletters, alerts, emails, and faxes.<br />
Some states have developed monitoring<br />
programs that require subrecipients to<br />
complete comprehensive checklists and<br />
provide documentation showing how they<br />
complied with each regulatory requirement.<br />
A review of the checklists enables the state<br />
to identify problems and require the<br />
subrecipients to take corrective actions.<br />
Other states have included abbreviated<br />
testing program checklists in their ongoing<br />
regulatory compliance review process.<br />
Regardless of the methods used, each<br />
state should be committed to the program<br />
and should take their oversight<br />
responsibilities seriously. Oversight<br />
programs that successfully identify problem<br />
areas and initiate corrective actions will<br />
enhance the integrity of each subrecipient’s<br />
testing program, minimize compliance<br />
issues, avoid potential legal conflicts, and<br />
improve the overall effectiveness of the<br />
program.<br />
Chapter 12. Program Monitoring 12-6 August 2002