Implementation Guidelines - Federal Transit Administration - U.S. ...

Do not assume that your contractors are
knowledgeable about the regulatory
requirements or that they have compliant
policies or programs. It is the FTA
recipient’s responsibility to take the
necessary actions to ensure the contractor’s
compliance.
You should notify all contract service
and covered maintenance providers in
writing of the regulatory requirements and
the need for them to comply with the
minimum requirements. Your procurement
and contract documents should include
specific language outlining the compliance
regulations with the agency’s regulatory
compliance as a condition of contract award,
and state that failure to remain compliant
will result in contract termination. You may
also wish to provide them with the necessary
tools and technical assistance needed to
develop and maintain a compliant program,
such as the following:
• Provide each contractor with a copy
of the regulatory requirements, these
Implementation Guidelines, other
FTA publications and resources as
appropriate, and the transit system’s
policy statement, including a
description of the program’s intent
and implications.
• Have each contractor sign a
“Confirmation of Receipt” form
acknowledging receipt of the policy
and the regulations.
• Invite the contractor to participate in
the transit system’s testing and
training program.
• Provide the contractor with a list of
consortia/third party administrators
(C/TPA) that can provide the
necessary services to ensure that the
contractor is in compliance.
• Inform contractors of the record
keeping and reporting requirements
and your intent to monitor
compliance.
It is your responsibility to oversee and
ensure that each contractor is compliant.
You must certify that they are in compliance
and ensure that they have completed their
annual MIS Reports and submitted them to
FTA as appropriate (see Chapter 10).
Section 5. POLICY UPDATES
Given the complexity of the regulation,
diversity of the transit industry, regulatory
emphasis on testing technology, and the
illegal drug trade, all employers covered
under the FTA regulation should anticipate
that policy modifications will be required.
Employers should stay up to date with the
requirements, FTA letters of interpretation,
and DOT/FTA guidance. Policy changes
should be made as appropriate.
Anytime an employer makes substantive
changes in the policy, it must be officially
approved by the governing board and
communicated to all employees. The date
that the policy was last revised and approved
should be clearly indicated in the policy.
Employers should review their policy at
least once per year to determine if
modifications are necessary.
Chapter 4. Policy Development and Communication 4-11 August 2002