![Page 1: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/1.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Ohio Transit Management Academy
Module 5:
Regulatory ComplianceAugust 3, 2017
![Page 2: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/2.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Welcome and Introductions
• ODOT Staff
• Trainers
• Attendees
• Logistics
2
![Page 3: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/3.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Goals of the Training
• ODOT’s Goals for the Training:
o Understand Why Regulations and Regulatory Compliance Are Important
o Understand the Regulations With Which Rural Transit Systems Must Comply (FTA, non-FTA, State and Local)
o Understand How to Comply With the Regulations
3
![Page 4: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/4.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Responsibility
• Your Rural Public Transit System Has to Comply with Many, Many Regulations at the Federal, State and Local levels
• This Training Module is Not Meant to be a Comprehensive List of all Requirements, But it Does Discuss a Wide Range of Them, and Does Provide Resources for Further Research and Preparation
• You Are Ultimately Responsible for Compliance
• Seek ODOT’s Help for Any Questions
4
![Page 5: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/5.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
INTRODUCTION TO
REGULATORY COMPLIANCE
5
![Page 6: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/6.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Introduction to Regulatory Compliance
• What is Regulatory Compliance?
• Why Do We Have Regulatory Compliance?
6
![Page 7: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/7.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Introduction to Regulatory Compliance
• What Can You Do to Make Sure You Comply?
o Adopt formal policies and procedures for each Federal, State and Local Regulation
o Develop and use Checklists of actions and records needed for each action
o Keep records documenting your regulatory compliance each action and for each regulation
7
![Page 8: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/8.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Introduction to Regulatory Compliance
• What Can You Do to Make Sure You Comply? (cont’d):o Assign someone (or yourself) who is very
detailed oriented and compulsive about keeping complete and accurate records
o Conduct random internal checks
o Find best practices from peers, ODOT and other places
o Review the regulations periodically
o Attend training
8
![Page 9: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/9.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Introduction to Regulatory Compliance
• Section 5311 Rural Transit Systems Must Comply With a Range of Federal, State and Local Regulations
o Federal (FTA and Non-FTA)
o State (ODOT and Non-ODOT)
o Local
9
![Page 10: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/10.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Introduction to Regulatory Compliance
• FTA Is the Source of Most Rural Transit Regulations
• Most ODOT Requirements Mirror the FTA Regulations
– However, some ODOT requirements exceed FTA’s requirements, which will be addressed later
10
![Page 11: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/11.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Introduction to Regulatory Compliance
• FTA Rural Transit Funds Flow to ODOT, Then to the Transit Systems
• Transit Systems are Responsible for Complying With all FTA and ODOT Regulations and Requirements
11
![Page 12: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/12.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Introduction to Regulatory Compliance
• ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA and ODOT Regulations
– Tools for ensuring compliance include TARs, annual application reviews, quarterly invoices and reports, and site visits
12
![Page 13: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/13.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Introduction to Regulatory Compliance
• The FTA is Responsible for Monitoring and Ensuring that ODOT and the Transit Systems Comply with the FTA Regulations
• FTA Uses the FTA State Management Review Process, and Occasional System Site Visits, to Monitor ODOT and Transit System Compliance with FTA Regulations
13
![Page 14: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/14.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Introduction to Regulatory Compliance
• Non-FTA Federal, Non-ODOT State Agencies and Local Agencies (JFS, DD, Area Agency on Aging, etc.) Monitor the Use of Non-FTA and Non-ODOT Federal, State and Local Funds
14
![Page 15: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/15.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Introduction to Regulatory Compliance
• Other State Agencies (such as Attorney General, Ohio Ethics Commission, etc.) Monitor Compliance with State Regulations That Do Not Involve Funding
15
![Page 16: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/16.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
COMPLIANCE WITH FTA REGULATIONS: OVERVIEW
16
![Page 17: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/17.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With FTA Regulations: Overview
• Compliance is Required for the Award and Continued Receipt of FTA Rural Transit Funding
17
![Page 18: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/18.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With FTA Regulations: Overview
• Rural Transit Grantees Must Comply with Conditions and Requirements of FTA Master Agreement and the Annual Certifications and Assurances
oMaster Agreement
oCertifications and Assurances
18
![Page 19: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/19.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With FTA Regulations: Overview
• All Federal Regulations and Requirements Are Monitored Through ODOT’s Technical Assistance Review (TAR) Process for 5311, 5311(f), Other FTA funds, and State funds
• FAST Act Requirements Are Included in Reviews
19
![Page 20: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/20.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With FTA Regulations: Overview
• New FTA Section 5311 FTA Regulations
– Current version of the FTA Circular issued on October 24, 2014
20
![Page 21: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/21.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT COMPLIANCE WITH
FTA REGULATIONS
21
![Page 22: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/22.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT Compliance With FTA Regulations
• Technical Assistance Reviews -TARs
o FTA’s requirements for ODOT are incorporated into ODOT’s requirements for transit systems
o Section 5311 Compliance with State and Federal Requirements/Regulations are monitored through ODOT’s Technical Assistance Review (TAR) process for OPTGP, EDTFAP
22
![Page 23: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/23.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT Compliance With FTA Regulations
• Technical Assistance Reviews – TARs (cont’d):
o Review of Policies and Procedures
o Documentation of regulatory and requirements compliance
Federal
State
o Action plans for compliance
23
![Page 24: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/24.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT Compliance With FTA Regulations
• FTA State Management Reviews
– Conducted by FTA or its contractor every four years
– Covers essentially many of the same topics and items as in ODOT TARs
24
![Page 25: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/25.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
TITLE VI and Environmental Justice
25
![Page 26: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/26.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Civil Rights Related Requirements for Transit
• Legal Basis
– Title VI of the Civil Rights Act of 1964
– Providing Language Access to Persons with Limited English Proficiency (LEP) – Executive Order 13166
– Environmental Justice – Executive Order 12898, U.S. DOT Order 5610.2(a)
• Regulatory Basis
– FTA Circular 4702.1B
26
![Page 27: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/27.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Title VI
• Applies to All FTA Recipients and Sub-Recipients
– “No person in the United States shall, on the grounds of race, color, or national origin, be excluded from participation in, be denied the benefits of, or be subjected to discrimination under any program or activity receiving Federal financial assistance.”
– 42 U.S.C., Section 2000d
27
![Page 28: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/28.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Title VI Protects
• Anyone Intended to be the Beneficiary of, Applicant for, or Participant in a Federally Assisted Program
• Applies to All Persons
– All races
– All shades of color
– National origin
28
![Page 29: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/29.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Applicability
• Recipient
– State DOT
– Transit agency
– Any public or private agency receiving FTA Funding
• Subrecipient
– Pass through of FTA Financial Assistance
29
![Page 30: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/30.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Institution-wide
• Later Statutes Extended the Scope of Title VI to Include Prohibitions Against Discrimination on the Basis of Income, Age, Sex, and Disability
30
![Page 31: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/31.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
DOT and DOJ Regulation
• Prohibits Disparate Impact Discrimination
– Practice lacks a substantial legitimate justification
– There are other comparable alternatives that would result in less disparate impact
– The justification is a pretext for discrimination
• Intentional Discrimination
– Disparate treatment
31
![Page 32: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/32.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Circulars
• Title VI Circular – 4702.1B Issued August 28, 2012, Effective October 1, 2012
• Environmental Justice Circular – 4703.1 Issued July 14, 2012, Effective August 15, 2012
32
![Page 33: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/33.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Title VI Circular (Continued)
• All FTA Recipients Must Submit to FTA:– Title VI Notice to the Public
– Complaint Procedures
– Complaint Form
– Limited English Proficiency Plan & Public Involvement Plan
– List of investigations, lawsuits, and complaints
– Information regarding siting of fixed facilities (not construction projects)
– Table depicting racial composition of membership of non-elected bodies
33
![Page 34: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/34.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Eight Required Actions
• Develop Title VI Complaint Procedures
– Develop method for filing complaints
– Timeframe for accepting complaint
– Investigation and resolution timeframe
– Who investigates the complaint
– Who resolves the complaint
– Develop method for investigating and tracking complaints
34
![Page 35: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/35.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Eight Required Actions (Continued)
• Record Title VI Investigations, Complaints, and Lawsuits
– Maintain a list of active investigations conducted by entities other than FTA, lawsuits or complaints alleging discrimination
• Date filed
• Summary of allegation
• Current status
• Actions taken in response
35
![Page 36: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/36.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Eight Required Actions (Continued)
• Provide Meaningful Access to Persons with Limited English Proficiency – Benefits, Services, Information, and Other Important Portions of Their Programs
– Develop an LEP Plan or equivalent
36
![Page 37: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/37.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Eight Required Actions (Continued)
• Notify Beneficiaries of Title VI Protections
– Disseminate information to public
• Statement that agency operates programs without regard to race, color, or national origin, and disability (ADA); should be included in all printed materials regarding service
• Procedures for requesting additional information on non-discrimination obligations
• Compliant procedures
37
![Page 38: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/38.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Eight Required Actions (Continued)
• Notify Beneficiaries of Title VI Protections
– Use variety of dissemination methods
• General notification
• Document translation
• See example
38
![Page 39: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/39.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Eight Required Actions (Continued)
• Provide Additional Information Upon Request
– In response to a complaint investigation
– To resolve concerns about possible non-compliance
• Prepare and Submit a Title VI Program
– Report certain general information as part of grant application
39
![Page 40: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/40.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Eight Required Actions (Continued)
• Analyze Impact of Construction Projects
– National Environmental Policy Act (NEPA)
– Categorical exclusion
– DOT will work with system to determine if a Environmental Impact Statement (EIS) is required.
40
![Page 41: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/41.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Eight Required Actions (Continued)
• Promote Inclusive Public Participation– Conduct public outreach and involvement
activities with minority and low-income individuals
– Agency determines most appropriate approach• Should seek out and consider the viewpoints of
minority, low-income, and LEP populations when conducting public outreach and involvement activities
• Early and continuous opportunity for input
41
![Page 42: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/42.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Guidance for Transit Agencies
• Certify Your Compliance
• Document Title VI Complaints/Lawsuits
• Inform Public on Your Title VI Policy and Complaint Process
42
![Page 43: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/43.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Guidance for Transit Agencies (Continued)
• Set System-Wide Service Standards (for fixed route systems only)
– Vehicle load, headway, assignment, access,
• Set Service Policies
– Distribution of amenities, vehicle assignment
• Monitor and Compare
– Protected populations of upcoming service changes
43
![Page 44: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/44.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Guidance for Transit Agencies (Continued)
• Provide a Racial Breakdown of Non-Elected Boards, Advisory Councils, and Committees
– Encourage participation of protected populations’ representatives
44
![Page 45: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/45.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Guidance for Fixed Route Systems
• All Transit Providers Regardless of Size Must Adopt Service Standards and Policies
45
![Page 46: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/46.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Guidance for Fixed Route Systems
• Large Transit Providers – Annual Operating Budgets of $10 Million or More
• Must Submit:
– Monitoring program
– Service and fare equity analysis
– Demographic analysis of customers
– Customer demographics and travel patterns
46
![Page 47: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/47.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Guidance for Fixed Route Systems
• Clarifies Existing Requirements
• Requires Demographic Maps That Overlay the Percent Minority and Non-Minority Populations
• Requires Charts That Analyze the Impacts of the Distribution of State and Federal Funds
47
![Page 48: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/48.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Guidance for Fixed Route Systems
• Includes Templates and Checklists for Information Submitted to FTA
• Flow Charts of Responsibilities
• Updated Title VI Plans Due Dates:– Plans that expire prior to October 1, 2012
must submit to FTA prior to October 1, 2012 compliant with Circular 4702.1A
– Plans that expire after October 1, 2012 must submit a plan compliant with 4702.1B by April 1, 2013
48
![Page 49: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/49.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Limited English Proficiency – Title VI Requirements
• FTA Recipients Must Take Responsible Steps to Ensure Meaningful Access to the Benefits, Services, Information, and Other Important Portions of Their Programs and Activities for Individuals Who Are LEP
49
![Page 50: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/50.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Provide Meaningful Access to Persons with LEP and Low Literacy• Persons with Limited English Proficiency
(LEP)– Persons who do not speak English as their
primary language
– Persons who have a limited ability to read, write, speak, or understand English
• Households with Limited English Proficiency (LEP)– No one over age 14 speaks English well, and is
linguistically isolated
50
![Page 51: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/51.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
LEP Population in the U.S.
• More Than 10 million Do Not Speak English at All or Well
• Increased by 65% from 1990 to 2000
• Other Common Languages– Spanish
– Chinese
– Vietnamese
– Korean
• Greater Than 11% of LEP Persons Take Transit to Work
51
![Page 52: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/52.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Low Literacy
• National Literacy Council Defines “Low Literacy” as:– “An individual’s ability to read, write, and
speak English and compute and solve problems at levels of proficiency necessary to function on the job and in society, to achieve one’s goals, and develop one’s knowledge and potential.”
• On a Scale of 1 – 5, 21% Had the Lowest Literacy Skills (Level 1) and 27% Had the Second Lowest (Level 2)
52
![Page 53: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/53.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Significant LEP Population –Develop a Language Implementation Plan
• FTA Publication
– “Implementing the Department of Transportation’s Policy Guidance Concerning Recipients’ Responsibilities to Limited English Proficiency (LEP) Persons: A Handbook for Public Transportation Providers”
53
![Page 54: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/54.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Four Factors Included in Plan
• Identify Number or Proportion of LEP Persons Eligible or Likely to be Served
– Compare service area with geographic distribution of LEP persons
• Identified in Census data
• Safe Harbor threshold– 5 percent or 1,000 persons: whichever is less
54
![Page 55: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/55.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Four Factors Included in Plan (Continued)
• Determine Frequency with Which LEP Persons Come into Contact with the Service
– Track number of calls or service requests made by LEP persons
– Track number of requests for a translator, travel trainer
– Track number of LEP persons that attended public meetings or outreach activities
55
![Page 56: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/56.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Four Factors Included in Plan (Continued)
• Define the Nature and Importance of the Program, Activity, or Service Provided to LEP Persons– System’s mission statement
– Provide a trip purpose summary
– List major trip generators
– Type of Information• Fares/Tickets
• Route and Schedules
• Safety/Security/Evacuation
56
![Page 57: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/57.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Four Factors Included in Plan (Continued)
• Identify Resources and Costs Associated with Providing Meaningful Access to LEP Persons
– Identify others in community that address the needs of LEP persons
– Identify resources available in local community
• Resources that can provide oral and written translation
57
![Page 58: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/58.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Safe Harbor and LEP Thresholds
• Vital Documents
– Documents critical for accessing recipients services or benefits
– Letters requiring response from customer
– Informing customers of free language assistance
– Complaint forms
– Notification of rights
58
![Page 59: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/59.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Reasonable Steps
• Smaller Agencies Are Encouraged to Explore the Most Cost-Effective Means of Delivering Competent and Accurate Language Services Before Limiting Services Due to Resource Concerns
• Reduce Cost by Technological Advances, Reasonable Business Practices and Sharing Language Assistance Materials and Resources
59
![Page 60: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/60.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Reasonable steps – Providing Language Assistance
• Oral Interpretation in Person– Train bilingual staff to serve as interpreters or
translators
– Use qualified community volunteers to provide interpretive services
– Hire qualified interpreters for critical presentations/meetings provided to a high volume of LEP persons
• Oral Interpretation via Commercially Available Telephonic Interpretation Services
60
![Page 61: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/61.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Reasonable steps – Providing Language Assistance (Continued)• Guidance on Oral Interpretation Services
– Ensure competency of interpreters
– Ensure interpretation is made in a timely manner
– Utilize skills of existing staff
– Contract with interpreters when there is no regular need for a particular language skill
61
![Page 62: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/62.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Reasonable steps – Providing Language Assistance (Continued)• Written Translation
– Translate entire reports that provide essential information
– Translate a short description of the report
– Translate reports upon request
– Use qualified translators to make sure documents are accurate
– Translate into languages where there is identified need (four factor analysis)
– Use pictures/pictograms for low-literacy persons
62
![Page 63: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/63.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Other Suggestions
• Use of Pictograms Where Possible
• Use Language Identification Cards (U.S. Census)
• Advertise in Ethnic Media
63
![Page 64: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/64.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Elements of an Effective Implementation Plan on Language
Assistance• Conduct Needs Assessment – 4 Factor
Analysis• Develop Language Assistance Measures• Train Staff• Translate Vital Documents, as Appropriate• Provide Notice to LEP Persons• Expand Outreach Efforts• Monitor and Update Plan
64
![Page 65: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/65.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Engaging Low-Literacy and LEP Populations in Transportation
Decision Making• Hold Public Meeting in Accessible Locations
and at Accessible Times• Provide Notice Through Radio
Announcements• Be Observant and Sensitive to People Who
Cannot Read English• Give Opportunity to Provide Verbal
Comments• Use Maps, Diagrams, Pictures
65
![Page 66: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/66.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Environmental Justice Circular
• Provides Framework for Integrating EJ Principles in Transportation Decision-Making Processes
• Discusses Public Outreach Strategies When Engaging EJ Populations– Planning
– Decision making
– Environmental reviews
• Discusses Meaningful Demographic Information
66
![Page 67: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/67.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
EJ Circular (Continued)
• Three Principles of EJ
– Avoid, minimize or mitigate disproportionately high and adverse human health and environmental effects, including social and economic effects
• Minority populations
• Low-income populations
67
![Page 68: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/68.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
EJ Circular (Continued)
– Ensure full and fair participation by all potentially affected communities in the transportation decision-making process
68
![Page 69: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/69.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
EJ Circular (Continued)
– Prevent the denial of, reduction in, or signification delay in receipt of benefits by minority or low-income populations
69
![Page 70: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/70.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Circular (Continued)
• Three Fundamental Steps for an EJ Analysis
– Determine if there are any EJ populations potentially impacted
– Consider potential effects
– Determine whether any disproportionally high and adverse effects can be voided, minimized, or mitigated and if there are off-setting benefits
70
![Page 71: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/71.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
EJ Population Compared to General Population
• Meaningfully Greater Determined on a Case-by-Case basis
• Always When the Percentage of Minority Population Exceeds 50%
71
![Page 72: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/72.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
EJ Analysis Required
• Service Cuts, Changes or Restructuring
• Building or Extending a Rail Line
• Establishing a Multi-Modal Station
• Increasing Fares
• Building New Facilities
72
![Page 73: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/73.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
73
• Failure to Submit Program to ODOT
• No Documentation of Census Data to Support LEP Analysis
• Lack of Language Assistance Plan (LAP)
Common Title VI Compliance Findings
![Page 74: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/74.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5 CHARTER
74
![Page 75: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/75.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Revised Charter Rule Effective Date
• Final Rule Issued on January 14, 2008
• There are Significant Changes
• Rule Went Into Effect on April 30, 2008
75
![Page 76: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/76.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Significant Changes
– New Definition of “Charter”
– Categorical Exemption for Section 5311 if Service is for “Program Purposes”
– Other New Exemptions
– New Exceptions
– Registration Process Replaces Transit System Solicitation of “Willing and Able” Operators
76
![Page 77: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/77.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Definition of Charter Service
– Transportation Provided By a Recipient At the Request of A Third Party For the Exclusive Use of a Bus or Van For a Negotiated Price
77
![Page 78: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/78.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Definition of Charter Service
– Transportation Provided By a Recipient To The Public for Events or Functions That Occur on An Irregular Basis or For a Limited Duration and:
• A Premium Fare Is Charged That Is Greater Than The Usual or Customary Fixed Route Fare; or
• The Service Is Paid For In Whole Or In Part By A Third Party
78
![Page 79: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/79.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Definition of Charter Service
– Key Characteristics of Charter Service
• A Third Party Pays the Transit Provider a Negotiated Price For the Group
• Any Fares Charged To Individual Members of the Group Are Collected By a Third Party
• The Service Is Not Part of the Transit Provider’s Regularly Scheduled Service, or Is Offered For a Limited Period Of Time;
• A Third Party Determines the Origin and Destination and Trip Schedule
79
![Page 80: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/80.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Definition of Charter Service
– Service Provided to Individuals in Demand Response Mode is Not Charter Service Under the New Regulations
80
![Page 81: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/81.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Applicability
– Rule Applies to Recipients of FTA Financial Assistance
• Also Applies to Subrecipients and Third Party Contractors That Utilize FTA Funded Equipment
• Charter Certification Still Required
81
![Page 82: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/82.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exemptions - Transportation of Employees
– Transportation of Employees of the Transit System To/From Transit Facilities Within the Service Area
• Other Transit System Employees, Bidders or Contractors, or Other Governmental Officials Fall Under this Exemption
82
![Page 83: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/83.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exemptions - Emergency Preparedness
– Transportation of Employees of the Transit System To/From Emergency Preparedness Planning and Operation
83
![Page 84: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/84.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exemptions - Rural Training
– Nonurbanized Areas Transit Systems May Transport Their Own Employees, Other Transit System Employees, Transit Management Officials, and Transit Contractors and Bidders To/From Transit Training Outside Its Geographic Service Area
84
![Page 85: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/85.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exemptions - Private Sector Receiving FTA Funds
– If a Private Charter Operator Receives FTA Funding, Directly or Indirectly, Is Not Subject to the Rules on Its Non-FTA Funded Activities
85
![Page 86: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/86.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exemptions - National, State and Local Emergencies– Service Provided in Direct Response to an
Emergency Declared By the President, a Governor, or a Mayor
– Service Provided in Direct Response to an Emergency Requiring Immediate Action Prior to a Formal Declaration
– Exemption Applies for 45 Days• Beyond 45 Days, Permission Must be Granted by
the FTA Administrator
86
![Page 87: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/87.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exemptions - Program Exemptions
– The Following FTA Programs are Exempt From the Regulations
• Section 5310 (Elderly and Persons with Disabilities Program)
• Section 5311 (Nonurbanized Area Program)
• Section 5316 (JARC Program)
• Section 5317 (New Freedom Program)
87
![Page 88: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/88.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exemptions - Program Exemptions
– This Exemption Only Applies if the System is Transporting Groups for “Program Purposes”
88
![Page 89: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/89.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exemptions - Program Exemptions
– Program Purposes Means Transportation That Serves the Needs of Either Human Service Agencies or Targeted Populations (Elderly, Individuals With Disabilities, and/or Low Income Individuals)
89
![Page 90: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/90.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exemptions - Program Exemptions
– Program Purposes Do Not Include Exclusive Service For Other Groups Formed for Purposes Unrelated to the Special Needs of the Targeted Populations
90
![Page 91: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/91.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exceptions - General
– If the Exemptions Listed in the Previous Module Do Not Apply, Your Organization is Subject to the Charter Regulations
– There are Also “Exceptions” to the Regulations
– Many Exceptions are Continuations of Exceptions in the Former Rule
91
![Page 92: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/92.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exceptions - Government Officials
– New Exception
– A Transit System May Provide Charter Service to Government Officials for Official Governmental Business
– Conditions
• Within Service Area
• Trip Does Not Generate Revenue
• Limited to 80 Hours Per Year
92
![Page 93: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/93.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exceptions - Government Officials
– Recordkeeping Required (See Appendix B of Guidebook or FTA Website)
– Transit System May Petition FTA Administrator Seeking Permission to Exceed 80 Hours
• Petitions Get Posted to a New Docket for Comment
93
![Page 94: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/94.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exceptions - Qualified Human Service Organization (QHSO)
– New Concept
• An Organization That Serves Persons Who Qualify For Human Service Program Funding (See Appendix A to the Regulation)
• An Organization That Provides Human Services to – Individuals with Disabilities
– Individuals with Low Income
– Individual with Advanced Age (Elderly)
94
![Page 95: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/95.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exceptions - Qualified Human Service Organization (QHSO)
– A Human Service Agency is Categorically Assumed to be a QHSO if it Receives Funding Under the Standard List of Federal Programs Found in Appendix A of the Regulation
– If the Organization Does Not Receive Such Funding, Then it Must Register on a New FTA Website as a QHSO
95
![Page 96: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/96.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exceptions - Qualified Human Service Organization (QHSO)
– A Transit System May Provide Charter Service to a QHSO
– Recordkeeping Requirements
96
![Page 97: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/97.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exceptions - Leasing of Equipment/ Drivers
– A Transit System May Lease Its FTA Funded Equipment and Provide Drivers to a Registered Charter Provider
– Conditions
• Provider is Registered
• Provider Owns and Operates Buses and Vans in a Charter Business
• Provider Received a Request that Exceeds Its Capacity
• Provider Has Exhausted All Available Vehicles From Other Registered Private Charter Operators
97
![Page 98: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/98.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exceptions - Leasing of Equipment/ Drivers
– Recordkeeping Requirements
– Similar Information But Also Includes System Retention of the Private Charter Operator’s Documentation That the Four Conditions are Met
98
![Page 99: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/99.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exceptions - Agreements with Registered Private Charter Operators
– A Transit System May Negotiate with Registered Providers To Seek Permission to Provide Certain Charter Trips
– Agreements Must be Reached With All Providers
– If a New Provider Registers, the Transit System May Continue to Operator Under the Current Agreements With Operators
• An Agreement Must be Reached with the New Operator in 90 Days
99
![Page 100: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/100.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exceptions - Petitions to the FTA Administrator
– A Transit System May Submit Requests (Petitions) to the FTA Administrator to Provide Charter Service Under Three Scenarios
• Events of Regional or National Significance
• Hardships (Nonurbanized Areas Only)
• Unique and Time Sensitive Events (e.g., Funerals of Local, Regional, or General Public Interest
100
![Page 101: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/101.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exceptions - Petitions to the FTA Administrator– Petitions Are One-Time Events
– Petitions Must Indicate• Date and Description of the Event
• Type of Service Requested and the Type of Equipment
• Anticipated Number of Charter Service Hours Needed For the Event
• Anticipated Number of Vehicles and Duration of The Event
101
![Page 102: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/102.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exceptions - Petitions to the FTA Administrator– National Events
• Super Bowl
• Democratic National Convention
• Presidential Addresses
– System Must Also Provide A Description of How Registered Charter Providers• Were Consulted
• Will Be Utilized
– System Must Certify That It Has Exhausted All of the Registered Charter Providers In Its Geographic Service Area
102
![Page 103: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/103.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exceptions - Petitions to the FTA Administrator
– Hardships
• Designed for Nonurbanized Areas
• Situations Where a Charter Operator Would Impose Minimum Duration or Similar Charges That Would Make the Cost Prohibitive to the Chartering Party
– This Exception Has Been Extended to Small Urbanized Areas (Under 200,000)
103
![Page 104: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/104.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exceptions - No Response To Notice
– A Transit System Is Permitted to Provide A Requested Charter Service If, After Providing Notice to All Registered Private Operators, There is No Response or Interest in Providing the Service
• Requests for Service Within 30 Days– Response From Operators Due in 72 Hours
• Requests for Service Beyond 30 Days– Response From Operators Due in 14 Calendar Days
104
![Page 105: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/105.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Exceptions - No Response To Notice
– Notices Must Follow Prescribed Process
– Recordkeeping Requirements
105
![Page 106: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/106.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Recordkeeping
– New Electronic Reporting Requirement
• Quarterly Submission
• Effective July 30, 2008
• Reports Filed at FTA Website
– All Charter Activity Records
– Retention Requirement: Three Years
– Electronic, But No Specific Format Specified
– A Single Log May Suffice
106
![Page 107: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/107.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Recordkeeping
– If Any Charter Service Was Provided in the Quarter, a Clear Statement Identifying Which Exception The System Relied Upon When It Provided the Charter Service Must be Submitted to FTA
107
![Page 108: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/108.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter Decision Tree
108
![Page 109: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/109.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Registration Process
– A New, Web-Based Registration Process Replaces the Old Requirement for a Transit System to Annually Solicit the Interest of Willing and Able Operators
– Two Entities Register
• Private Charter Operators
• Qualified Human Service Organizations
109
![Page 110: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/110.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Private Charter Operator Registration
– Website Address
– http://ftawebprod.fta.dot.gov/CharterRegistration/(S(f0dhyqujix5ode45csxd2rzu))/Default.aspx
110
![Page 111: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/111.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter Registration Home Page
111
![Page 112: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/112.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Qualified Human Service Organization (QHSO) Registration– A Human Service Agency That Receives
Funding Under Any One of the Federal Programs Listed in Appendix A of the Regulation Does Not Have to Register
– If the Agency Does Not Receive Such Funding, But Serves the Elderly, Persons with Disabilities or Persons with Low Income, They Should Register If They Need Charter Services from a Public Transit System
112
![Page 113: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/113.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Qualified Human Service Organization (QHSO) Registration– Information
• Agency Contact Information• The Geographic Service Areas (Organized by Public Transit
Agencies) In Which the Agency Serves• A Copy of the Most Recent Financial Statement• Statement Indicating If the Agency is Organized as a Section
501(c) (1),(3), (4), or (19) Corporation of the Internal Revenue Code
• Statement Regarding Funding, Directly or Indirectly From a Federal or State Agency
• A Statement Describing the Charter Service Required and How That Service is Consistent With the Mission of the Agency
113
![Page 114: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/114.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter Qualified Human Service Organization
(QHSO) Registration
114
![Page 115: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/115.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter Qualified Human Service Organization
(QHSO) Registration
115
![Page 116: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/116.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Qualified Human Service Organization (QHSO) Registration
– Challenges
• A Transit Agency
• Another Private Charter Operator
• Representatives of these Organizations
– Challenges Filed Through a Complaint Process
116
![Page 117: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/117.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Qualified Human Service Organization (QHSO) Registration
– Website Must Be Updated Whenever There is a Change, But No Less Frequently Than Once Every Two Years
117
![Page 118: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/118.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• How Public Transit Systems Use the Registration Database
– If An Organization Qualifies as a QHSO, Then the Transit Agency, Upon Request to Provide a Charter Service, Should Verify the Agency’s QHSO Status on the Website
– If Registered, Then the Transit Agency May Provide the Service Pursuant to the Exception Allowed Under 49 CFR part 604.7
– Must Maintain Records
118
![Page 119: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/119.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• How Public Transit Systems Use the Registration Database
– Why Do We Need the Database?
– Transit Systems Will Be Able to Serve Qualified Human Service Organizations Under The Exemption in 49 CFR part 604.2(e)
119
![Page 120: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/120.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Key Compliance Elements
– Read and Understand the Definition of “Program Purpose”
• Engage Human Service Agency Directors to Ensure Trip Meets a Program Purpose
– Read and Understand the Definition of Charter
– Read and Understand Exemptions and Exemptions
120
![Page 121: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/121.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Key Compliance Elements
– Understand Your Reporting Responsibilities
– Types of Trips that Must be Reported
– Date Elements that Must be Recorded/Reported to ODOT
– Records Maintenance
121
![Page 122: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/122.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Enforcement Mechanisms
– Mandated Enforcement
– Mechanisms
• Registration Challenges
• Advisory Opinions
• Cease and Desist Orders
• Violation Complaints
122
![Page 123: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/123.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Additional Resources
– 49 CFR part 604
– Appendix B to 49 CFR part 604
• Basis for Removal From Charter Registration Website
– Appendix B to 49 CFR part 604
• Charter Service Questions and Answers
123
![Page 124: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/124.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Additional Resources
– ODOT Charter Manual
– Transit Agency Fact Sheet
• http://www.fta.dot.gov/documents/Fact_Sheet-_Charter_Service_Final_Rule.ppt
– Private Charter Operators Fact Sheet
• http://www.fta.dot.gov/documents/Charter_Final_Rule-Private_Operator_Fact_Sheet.ppt
124
![Page 125: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/125.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Charter
• Vehicles
– Contracts for Service with Private Entities Cannot Diminish Fixed Route or Demand Response Fleet Accessibility
– Private Entities Obtaining Vehicles for Use in Contracts with Public Entities Must Follow Rules for Public Entities
125
![Page 126: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/126.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FMCSA: Interstate Passenger
Transportation Requirements
126
![Page 127: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/127.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Requirements
• Requirements are Different for
– Governmental Agencies
– Private Agencies
• This Module Will Focus on Public and (Mostly) Private Agency Requirements
127
![Page 128: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/128.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Background
• FTA Circular 9040.1F, “Nonurbanized Area Formula Grant Program”
– Chapter III, paragraph 3.
• The Circular recognized that some Section 5311 projects may provide service over a wide geographic area, may periodically travel to/from large cities (urbanized areas), and may occasionally cross state lines. The Circular notes:– The service area may include destinations across a state
line. Operators of interstate service are required to register with the FHWA Office of Motor Carriers.
128
![Page 129: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/129.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
The Need to Obtain Authority
• Any Provider of Passenger Transportation by Motor Carrier that Crosses State Lines is Subject to Regulatory Oversight by the Federal Motor Carrier Administration
• A Carrier May Need to Seek Authority AND Register with FMCSA
129
![Page 130: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/130.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
What Is Interstate Transportation?
• Interstate commerce means trade, traffic, or transportation in the United States:– Between a place in a State and a place outside of
such State (including a place outside of the United States);
– Between two places in a State through another State or a place outside of the United States; or
– Between two places in a State as part of trade, traffic, or transportation originating or terminating outside the State or the United States.
130
![Page 131: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/131.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Examples of Interstate Transportation?
131
![Page 132: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/132.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Examples of Interstate Transportation?
132
![Page 133: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/133.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Basic Requirements
• Commerce Requirements
– Seek/Obtain Authority
– Obtain Services of a Process Agent To Represent You or Serve as the Recipient of Orders, etc. in any Regulatory Matters
– Minimum Levels of Responsibility
• Safety Requirements
– Federal Motor Carrier Safety Regulation (FMCSRs)
133
![Page 134: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/134.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Are These Requirements New?
• No, Some Form of Regulatory Oversight of “For-Hire” Carriers Has Taken Place Since the 1930s
• Safety Oversight Over Private Carriers of Passengers Introduced in 1995
134
![Page 135: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/135.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Why Haven’t We Heard of These Actions?
• Administration by a Federal Agency Other than Federal Transit Administration (FTA)
• Regulations Aimed at Freight, Rather than Passenger, Transportation
• Changing Administrative Responsibility
135
![Page 136: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/136.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Federal Responsibility
136
![Page 137: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/137.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Passenger Carrier Classifications
• For-Hire Carrier
• Exempt Government Carrier
• Business Private Motor Carrier of Passengers (Business PMCPs)
• Non-Business Private Motor Carrier of Passengers (Non-Business PMCPs)
137
![Page 138: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/138.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
For Hire
• Intercity Carriers (e.g., Greyhound)
• Charter Companies
138
![Page 139: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/139.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Municipal or Government Carrier
• A Government Entity is Exempt from all Requirements if it Does Not Engage in Interstate Transportation
• Government Entity:
– County
– Municipal Corporations
– RTA
– County Transit Board (ORC Ch. 306)
139
![Page 140: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/140.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Municipal or Government Carrier
• If a Municipal Corporation Provides Passenger Transportation Across State Lines, But Remains Within a Contiguous Jurisdiction or Within the Municipality’s Commercial Zone, There is No Requirement for the Municipality to Seek Authority With FMCSA.
140
![Page 141: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/141.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Municipal or Government Carrier
• If a Municipal Corporation Provides Passenger Transportation Across State Lines and Travels Beyond a Contiguous Jurisdiction or Beyond its Commercial Zone, the Municipality Must:
– Seek Authority with FMCSA
– Obtain the Services of a Process Agent
– Demonstrate Financial Responsibility (e.g., Liability Insurance)
141
![Page 142: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/142.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Private Carriers
• Business Private Motor Carrier of Passengers
• Non-Business Private Motor Carriers of Passengers
142
![Page 143: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/143.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Business PMCPs
• Defined as a Private Motor Carrier Engaged in the Interstate Transportation of Passengers that is Provided n the Furtherance of a Commercial Enterprise and is Not Available to the Public at Large
• Referred to as “Business PMCPs”
143
![Page 144: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/144.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Non-Business PMCPs
• Defined as a Private Motor Carrier Involved in the Interstate Transportation of Passengers that Does Not Otherwise Meet the Definition of a Private Motor Carrier of Passengers (Business)
• These Carriers Are Referred To As “Non-Business PMCPs”
144
![Page 145: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/145.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Classification of Private Carriers
Private Transportation
Carrier Engaged in
Interstate
Transportation
Charge a Fee?
If a Fee is Charged, Whether
Assessed Directly or Indirectly
(Third Party) , FMSCA
Considers the Service as
Available to the Public at
Large.
Yes
Intent to Make a
Profit?
Yes
NoIntent to Make a
Profit?
No
For-Hire
Transportation
Carrier
If There is Intent to Make a
Profit, the Transportation is in
Furtherance of a Commercial
Purpose
Non-Business Motor
Carrier of Passengers
(PMCPs)
Business Motor
Carrier of Passengers
(PMCPs)
No
If There is Intent to Make a
Profit, the Transportation is in
Furtherance of a Commercial
Purpose
145
![Page 146: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/146.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Requirements for Private Entities
• Authority
• Registration
• Process Agent
• Some or All of the FMSCRs
146
![Page 147: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/147.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Federal Motor Carrier Safety Regulations (FMCSRs)
• A Series of Regulations Governing Companies, Equipment, Drivers, and Operation of Interstate Transportation Providers
– Controlled Substances and Alcohol Use and Testing
– Commercial Drivers License
– Financial Responsibility
147
![Page 148: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/148.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Federal Motor Carrier Safety Regulations (FMCSRs)
– General Applicability and Definitions
– Qualifications of Drivers
– Driving of Commercial Motor Vehicles
– Parts and Accessories
– Driver’s Hours of Service
– Inspection, Repair, and Maintenance
148
![Page 149: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/149.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FMCSRs Exemptions
• All School Bus Operations– School Bus Operation Means the Use of a School
Bus to Transport Only School Children and/or School Personnel from Home to School and from School to Home
• Transportation Performed by the Federal Government, a State, or any Political Subdivision of a State, or an Agency Established Under a Compact Between States that has Been Approved by The Congress of the United States
149
![Page 150: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/150.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Commercial Zones
• A Commercial Zone is Zone of Commercial Influence Surrounding a Municipal Corporation
150
![Page 151: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/151.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Commercial Zones
• Otherwise:
• A Commercial Zone Consists of:
– The Municipality Itself (Base Municipality)
– All Municipalities that are Contiguous to the Base Municipality
151
![Page 152: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/152.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Commercial Zones
– All Other Municipalities and All Unincorporated Areas within the United States that are Adjacent to the Base Municipality as Follows:
• When the Base Municipality has a Population Less than 2,500 all Unincorporated Areas within Two Miles of its Corporate Limits and all of any Other Municipality any Part of Which is Within Two Miles of the Corporate Limits of the Base Municipality
• When the Base Municipality has a Population of 2,500 by Less than 25,000, all Unincorporated Areas within 3 Miles of its Corporate Limits and all of any Other Municipality any Part of Which is Within 3 Miles of the Corporate Limits of the Base Municipality
152
![Page 153: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/153.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Commercial Zones
• When the Base Municipality has a Population of 25,000 but Less than 100,000, all Unincorporated Areas within 4 Miles of its Corporate Limits and all of any Other Municipality any Part of Which is Within 4 Miles of the Corporate Limits of the Base Municipality
• When the Base Municipality has a Population of 100,000 or More, all Unincorporated Areas Within 5 Miles of its Corporate Limits and all of any other Municipality any Part of Which is Within 5 Miles of the Corporate Limit
153
![Page 154: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/154.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance Responsibilities for Government Entities
• Complying with Financial Liability Requirements Of 49 CFR Part 387
• Obtaining the Services of a Process Agent• Filing an Operating Authority Form (Form OP-
1(P))• Developing a Cover Letter to Send With The
Registration Form Indicating:– That the Organization, as a Public Entity, is an
“Exempt” Applicant– A Recipient of Federal Financial Assistance Under
Section 5307, 5310, 5311, as Appropriate
154
![Page 155: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/155.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance Responsibilities for Government Entities
Governmental Agency
Transportation
Provider
Service Within
Municipality?
No
Service Within
Commercial Zone?Yes
No
Service Cross
State Lines?
Registration
Form OP-1P
49 CFR part 383 -
CDL
FTA Recipient?
Applicability of
FMCSA
Commerce
Regulations
Not Subject
to FMCSA
Commerce
Regs
Yes
No
Government
Operator?
Applicability of
FMCSA Safety
Regulations
Not Subject
to Most
Safety
Regs
49 CFR part 387 -
Financial
Responsibility
Yes
FTA Drug &
Alcohol
(49 CFR part 655
Apply
FMCSA
Waives $300.00
Registration Fee
Alternate Minimum
Levels of Financial
Responsibilty Apply
Operate
CMVs?
Yes
FTA Recipient?
Controlled
Substances
(49 CFR part 382)
Note: Assumes Operator is Recipient of Urban Formula Funds
from Section 5307.
155
![Page 156: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/156.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance Responsibilities for Nonprofit Human Service Agencies• Complying with Financial Liability
Requirements Of 49 CFR Part 387
• Obtaining the Services of a Process Agent
• Filing an Operating Authority Form (Form OP-1(P))
156
![Page 157: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/157.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance Responsibilities for Public HSA
157
![Page 158: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/158.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance Responsibilities for Nonprofit Human Service Agencies• Complying with Financial Liability
Requirements Of 49 CFR Part 387
• Obtaining the Services of a Process Agent
• Filing an Operating Authority Form (Form OP-1(P))
• Must Comply with Various FMCSRs, Depending on Type of Vehicle
158
![Page 159: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/159.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance Responsibilities for Private Nonprofit HSA
159
![Page 160: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/160.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance Responsibilities for Private Nonprofit HSA
160
![Page 161: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/161.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Financial Responsibility
• Entity Must Obtain Liability Insurance
• Vehicles 15 and Under Capacity
– $1.5 Million
• Vehicles Over 15 Capacity
– $5.0 Million
161
![Page 162: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/162.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Financial Responsibility
• FTA Recipient May Carry Minimum Alternative Levels of Insurance Equal to the Maximum Required in the State You Are Traveling
– Section 5307
– Section 5310
– Section 5311
162
![Page 163: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/163.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Process Agent
• You are Required to Obtain the Services of a Process Agent to Represent You or Serve as the Recipient of Orders, etc. in any Regulatory Matters
163
![Page 164: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/164.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Registration
• You Must File Form OP-1(P)
• Application Fee of $300 May be Waived if Requested by an FTA Recipient
164
![Page 165: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/165.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Applicability of FMSCRs
• Business PMCPs– 49 CFR part 382 (Drug & Alcohol) – YES
– 49 CFR part 383 (CDL) – YES
– 49 CFR part 387 (Financial Responsibility – NO
– 49 CFR part 390 (General) – YES
– 49 CFR part 391 (Qualification of Drivers) – Partial
– 49 CFR part 392 (Driving of CMV) – YES
– 49 CFR part 393 (Part & Accessories) – YES
– 49 CFR part 395 (Hours of Service) – YES
– 49 CFR part 396 (Inspection, Repair & Maint.) -YES
165
![Page 166: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/166.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Applicability of FMSCRs
• Non-Business PMCPs– 49 CFR part 382 (Drug & Alcohol) – YES
– 49 CFR part 383 (CDL) – YES
– 49 CFR part 387 (Financial Responsibility – NO
– 49 CFR part 390 (General) – PARTIAL
– 49 CFR part 391 (Qual. of Drivers) – PARTIAL
– 49 CFR part 392 (Driving of CMV) – YES
– 49 CFR part 393 (Part & Accessories) – YES
– 49 CFR part 395 (Hours of Service) – PARTIAL
– 49 CFR part 396 (Inspection & Maint.) - PARTIAL
166
![Page 167: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/167.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FMCSA:
COMMERCIAL DRIVER’S LICENSES
167
![Page 168: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/168.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FMCSA: Commercial Driver’s Licenses
• Commercial Driver’s Licenses (CDLs)
– Federal requirements
– Size of Vehicles
– Other
168
![Page 169: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/169.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FMCSA: Commercial Driver’s Licenses
• Driving a Commercial Motor Vehicle (CMV) requires a higher level of knowledge, experience, skills, and physical abilities than that required to drive a non-commercial vehicle.
• In order to obtain a Commercial Driver's License (CDL), an applicant must pass both skills and knowledge testing geared to these higher standards.
169
![Page 170: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/170.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
SAFETY AND SECURITY
170
![Page 171: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/171.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Safety and Security
• New FTA Safety Regulations
– At this time, there are new proposed FTA regulations regarding transit system safety (and security)
– Map-21 requires all rural systems to develop an agency safety plan
– FTA has not yet issued regulatory guidance on how to implement this requirement
– ODOT will provide information on this new requirement once it has become official
171
![Page 172: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/172.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Safety and Security
• It appears, however, that the new requirements might be as follows:
– Focus on Implementing a Safety Management System (SMS), with a Safety Plan Consisting of:
• Safety policy
• Safety risk management
• Safety assurance
• Safety promotion
172
![Page 173: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/173.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Safety and Security
• Risk Management Plans, Cont'd
– Establishing new contact information and command/control arrangements for emergency management agencies and first responders
– Establishing clear internal responsibilities and roles
173
![Page 174: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/174.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Safety and Security
• Seatbelts, child seats, wheelchair tie-downs– Transit systems should have in place policies
and procedures for safe effective deployment of these securement devices
• Vehicles should have first aid kits, annually-inspected fire extinguishers, bloodborne pathogens kits, and flare/triangle kits, and the drivers should be trained on how to use them
174
![Page 175: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/175.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Safety and Security
• OSHA Bloodborne Pathogens (49 CFR 51.361)
• Employers, including transit systems must conduct an assessment of the workplace to identify potential bio hazards and to mitigate those hazards, as appropriate
175
![Page 176: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/176.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Americans with Disabilities Act
176
![Page 177: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/177.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Goal of ADA
– To assure that persons with disabilities have equal opportunity, a chance to full participate in society, are able to live independently, and can be economically self-sufficient.
177
![Page 178: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/178.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• What Is the ADA?
– The Americans With Disabilities Act (ADA) of 1990
• Civil Rights Protection for Over 43 Million Americans
• "Amendments" to the Civil Rights Act of 1964
• Access and Equivalent Service is a Civil Right
178
![Page 179: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/179.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Impacts of ADA
– Wide Coverage
• Government Agencies
• Public Entities
• Private, For-Profit Corporations
• Private, Nonprofit Organizations
– ADA Went Well Beyond Previous Coverage Under Section 504 of the Rehabilitation Act of 1973
179
![Page 180: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/180.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Impacts of ADA
– Elevates the Importance of Access and Nondiscrimination
– Interrelated With Section 504
• Entities Cannot Discriminate Against Persons With Disabilities As a Condition of Federal Funding
180
![Page 181: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/181.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Impacts of ADA
– Established A Clear National Goal
– Defines A Specific And Detailed Course Of Action
– Requires Much Greater Degree Of Affirmative Action
– Provides Accessibility Standards For Vehicles And Facilities
181
![Page 182: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/182.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Primary Sections of ADA
– Title I: Employment
– Title II: Public Services (Transportation)
– Title III: Public Accommodations and Services Operated by Private Entities
– Title IV: Telecommunications
– Title V: Miscellaneous Provisions
182
![Page 183: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/183.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Title II of ADA
– Services and Benefits Provided by Public Entities Must Be Offered In a Way That Does Not Discriminate Against Persons With Disabilities
– Implementing Federal Agencies Define:
• What Constitutes Discrimination
• What Actions Are Required to Ensure Services Are Non-Discriminatory
183
![Page 184: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/184.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Title II of ADA
– Subtitle A - Applies to All Service Provided By Public Entities Except Transportation
• Implementing Agency is the USDOJ
• 49 CFR Part 35
– Subtitle B - Applies to Transportation Services Provided by Public Entities
• Implementing Agency is the USDOT
• 49 CFR Parts 27, 37, and 38
184
![Page 185: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/185.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Major Highlights of ADA
– Nondiscrimination
– Facility Access
– Accessibility of Vehicles
– Complementary Paratransit Services for Fixed-Route Providers
185
![Page 186: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/186.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• What are ADA Disabilities?
– “Disability” Is:
• A Physical or Mental Impairment That Substantially Limits One or More Major Life Activities of Such Individual
• A Record of Such an Impairment
• Being Regarded as Having Such an Impairment
186
![Page 187: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/187.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• “Physical or Mental Impairment” Is:
– Any Physiological Disorder or Condition, Cosmetic Disfigurement, or Anatomical Loss Affecting One or More of the Following Body Systems:
• Neurological, Musculoskeletal, Special Sense Organs, Respiratory Including Speech Organs, Cardiovascular, Reproductive, Digestive, Genito-Urinary, Hemic and Lymphatic, Skin, and Endocrine
187
![Page 188: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/188.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• “Physical or Mental Impairment” Also Includes:
– Any Mental Or Psychological Disorder, Such As Mental Retardation, Organic Brain Syndrome, Emotional or Mental Illness, and Specific Learning Disabilities
188
![Page 189: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/189.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• “Physical or Mental Impairment” Also Includes But is Not Limited To:
– Such Contagious or Non-Contagious Diseases and Conditions as:
• Orthopedic, Visual, Speech, and Hearing Impairments; Cerebral Palsy, Epilepsy, Muscular Dystrophy, Multiple Sclerosis, Cancer, Heart Disease, Diabetes, Mental Retardation, Emotional Illness, Specific Learning Disabilities, HIV Disease, Tuberculosis, Drug Addiction and Alcoholism
189
![Page 190: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/190.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• “Major Life Activity” Includes:
– Functions Such As Caring For One's Self, Performing Manual Tasks, Walking, Seeing, Hearing, Speaking, Breathing, Learning, and Working
190
![Page 191: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/191.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• “Record of Such An Impairment” Is:
– Has A History of, or Has Been Misclassified as Having, a Mental or Physical Impairment That Substantially Limits One or More Major Life Activities
191
![Page 192: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/192.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• “Regarded as Having Such Impairment” Means:– Has a Physical or Mental Impairment That Does
Not Substantially Limit Major Life Activities, But Which Is Treated By a Public or Private Entity as Constituting Such a Limitation
– Has A Physical or Mental Impairment That Substantially Limits a Major Life Activity Only as a Result of the Attitudes of Others Toward Such an Impairment
– Is Treated By a Public or Private Entity as Having Such an Impairment
192
![Page 193: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/193.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• To What Systems Does ADA Apply?– Public and Private Entities that Provide Public
Transportation
– Private Entities that Operate Demand Response or Fixed Route System
– Services Provided Under Contract or Other Arrangement
– University Transportation Systems
– Taxi Services
– Vanpools Operated by Public Entities
193
![Page 194: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/194.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• To What Systems Does ADA Apply?
– Assessing Applicability
• First, Determine the Type of Entity– Public Entity
– Private Entity, Primarily Engaged
– Private Entity, Not Primarily Engaged
• Second, Determine Service Mode(s)– Fixed Route
– Demand Response
194
![Page 195: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/195.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• To What Systems Does ADA Apply?
– Public Entity
• Any State or Local Government;
• Any Department, Agency, Special Purpose District
• Instrumentality of One or More State or Local Governments
• Tribal Organization
• Amtrak
• Any Commuter Authority
195
![Page 196: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/196.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• To What Systems Does ADA Apply?
– Private Entity, Primarily Engaged
• Private Entities That Are Primarily Engaged in the Business of Transporting People and Whose Operations Affect Commerce
– Private Entity, Not Primarily Engaged
• A Private Entity Whose Primary Purpose is Not the Transportation of People
196
![Page 197: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/197.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• To What Systems Does ADA NOT Apply?
– Excluded Services
• Elementary and Secondary School Transportation
• Transportation for Recreation, Not Primarily for Transport
• Transportation Exclusively for Own Employees
• Transportation Systems Operated by Private Clubs
197
![Page 198: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/198.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• To What Types of Services Does ADA Apply?
– Fixed Route Service
• "...System of Transporting Individuals...On Which a Vehicles Operating Along a Prescribed Route According to a Fixed Schedule"
– Demand Response Service
• "...System of Transporting Individuals...Which is Not a Fixed Route System"
198
![Page 199: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/199.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• To What Type of Service Does ADA Apply?
– Fixed Routes
• Non-Commuter Bus
• Commuter Bus
• Intercity Bus
• Route/Point Deviation With Deviations Limited To Certain Riders
199
![Page 200: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/200.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• To What Types of Service Does ADA Apply?
– Demand Response
• ADA Complementary Paratransit
• Route/Point Deviation Service Open to All
• Traditional Subscription and Casual On-Demand Services
200
![Page 201: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/201.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• To What Types of Service Does ADA Apply?
– Fixed Route vs. Demand Response
• Traditional Distinction– Demand Response Service Requires Some Interaction
Between the User and the Transit System
• Route/Point Deviation– Deviate for Some – Fixed Route
– Deviate for All – Demand Response
201
![Page 202: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/202.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• To What Types of Service Does ADA Apply?
– Why Such Distinctions
• Fixed Route Services Require– Provision of Complementary Paratransit
– Establishment of an Eligibility Process
202
![Page 203: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/203.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• To What Types of Service Does ADA Apply?
– Commuter Bus
• Fixed Route Service Characterized by:– Service Predominantly in One Direction
– Operation in Peak Periods
– Limited Stops
– Use of Multi-Ride Tickets as the Fare Media
– Routes of “Extended Length"
203
![Page 204: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/204.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Demand Responsive Service Equivalency
– A System That Provides Only Demand Responsive Service Does Not Have To Provide A Complementary ADA Paratransit Service, But Only If It Meets the Test of Equivalency (To An ADA Service)
204
![Page 205: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/205.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Demand Response Service Equivalency
– Same Area
– Same Response Time
– Same Fares
– Same Days and Hours
– Same Trip Purposes
– Same Capacity Constraints
– Access to Information & Communications
205
![Page 206: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/206.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Demand Response Service Equivalency
– Services Must Be Provided in the Most Integrated Setting Possible
– Trip Request Procedures and Timeliness Must Be the Same
– Response Time Must be the Same
206
![Page 207: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/207.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Section 5311 Nonprofit Subrecipients Operating Fixed Route Service (Recent Clarifications)
– FTA Views States As Primary Grantee
– If a State Provides §5311 Funding to a Private Entity Via a Contract or Grant, Which Then Provides Fixed Route Service, Eligible Passengers Must Have ADA Complementary Paratransit Service Available
207
![Page 208: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/208.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Subcontractors
– Contractors "Stand in the Shoes" of the Contracting Agency
– Includes Contracts or "Other Arrangements or Relationships"
208
![Page 209: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/209.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
What Is An Accessible Fleet?Service Type Requirements
Public Entities
• Fixed Route Service All New Vehicles Accessible
Used Vehicles (Good Faith Effort)
Remanufactured Vehicles Accessible
• Demand Response Service All New Vehicles Accessible…UnlessEquivalent Service is Provided
209
![Page 210: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/210.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
What Is An Accessible Fleet?Service Type Vehicle Type Requirements
Private Entities, Not Primarily Engaged
• Fixed Route Service All New VehiclesSeating Capacity >16
Acquire Accessible Vehicles
All New VehiclesSeating Capacity <16
Acquire Accessible Vehicles Unless Equivalent Service is Provided
• Demand Response Service
All New Vehicles Seating Capacity >16
Acquire Accessible Vehicles, Unless Equivalent Service is Provided
• Fixed Route or Demand Response Service
All New VehiclesSeating Capacity <16
No Requirement, But Must Assure Equivalent Service is Provided
210
![Page 211: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/211.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
What Is An Accessible Fleet?Service Type Vehicle Type Requirements
Private Entities, Primarily Engaged
• Fixed Route Service All New Vehicles, Except Vans Capacity <8 or Autos
Acquire Accessible Vehicles
Automobiles No Requirements
• Demand Response Service
All New Vehicles Except Vans Capacity <8 or Autos
Accessible VehiclesUnless Equivalent Service
• Fixed Route or Demand Response Service
Vans, Seating Capacity <8 Accessible VehiclesUnless Equivalent Service
211
![Page 212: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/212.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• What Is An Accessible Fleet?
– Guidance for Coverage Issued by USDOT
– Enforcement Split Between USDOT (Public) and USDOJ (Private)
– Concept of "Equivalency" Used in Many Procurements
212
![Page 213: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/213.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• What Is An Accessible Fleet?
– Public Agencies
– Private Entities, Not Primarily Engaged in Transportation Service
– Private Entities, Primarily Engaged in Transportation Services
213
![Page 214: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/214.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• What Is An Accessible Fleet?
– Public Entities – Demand ResponsePurchase or Lease of New Vehicles
• Public Entities Must Acquire New or Leased Accessible Vehicles for Solicitations Made after August 25, 1990
• Unless, the System, When Viewed in its Entirety, Provides a Level of Service To Individuals With Disabilities, Including Individuals Who Use Wheelchairs, Equivalent To The Level Of Service It Provides To Individuals Without Disabilities
214
![Page 215: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/215.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• What Is An Accessible Fleet?
– Public Entities - Fixed Route BusPurchase or Lease of Used Vehicles
• Public Entities Must Acquire Accessible Vehicles for Solicitations Made after August 25, 1990
• After October 7, 1991, Vehicles Must Meet 49 CFR Part 38 Standards
215
![Page 216: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/216.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• What Is An Accessible Fleet?
– Public Entities - Fixed Route BusPurchase or Lease of Used Vehicles
• Must Acquire Accessible Used Vehicles for Solicitations Made after August 25, 1990
• Good Faith Efforts Must be Made on a National Scale to Find Accessible Used Vehicles
216
![Page 217: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/217.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• What Is An Accessible Fleet?
– Public Entities - Fixed Route Bus:Purchase or Lease of Remanufactured Non-Rail Vehicles
• If Useful Life is Extended Five Years or More, Vehicle Must be Accessible
217
![Page 218: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/218.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• What Is An Accessible Fleet?
– Contracts for Service with Private Entities Cannot Diminish Fixed Route or Demand Responsive Fleet Accessibility
– Private Entities Obtaining Vehicles for Use in Contracts with Public Entities Must Follow Rules for Public Entities
218
![Page 219: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/219.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Maintaining the Fleet’s Accessibility
– The Entity Must Ensure That Vehicle Operators And Other Personnel Make Use Of Accessibility-Related Equipment or Features Required by 49 CFR part 38
219
![Page 220: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/220.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Maintenance of Accessible Features – All Entities
– Maintain Access-Related Equipment In Operating Condition
– Repair Promptly
– Take Reasonable Steps to Accommodate Riders If Equipment Out-of-Order
220
![Page 221: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/221.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Maintenance of Accessible Features –Public Entities Only
– Regular and Frequent Maintenance Checks
– Report Lift/Ramp Failures ASAP
– Make Every Effort To Repair Before Next Day
– Can't Go Back In Service Unless No Spares
– If No Spares, Only Back In Service For:
• Three Days In Urban Systems
• Five Days In Nonurbanized Systems
221
![Page 222: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/222.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Maintaining the Fleet’s Accessibility
– The Entity Shall Establish a System of Regular and Frequent Maintenance Checks of Lifts Sufficient to Determine If They are Operative
– When a Lift Is Discovered to be Inoperative, The Entity Must Take the Vehicle Out of Service Before the Beginning of the Vehicle's Next Service Day
222
![Page 223: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/223.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Maintaining the Fleet’s Accessibility
– Vehicle With Inoperable Lifts and No Spare (e.g., Removal of Vehicle Would Reduce Service)
• Urbanized Areas– Vehicle May Operate No More Than Three (3) Days
• Nonurbanized Areas– Vehicle May Operate No More Than Five (5) Days
223
![Page 224: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/224.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• What Are Accessible Transit Facilities?
– Any new facilities used in providing public transportation services must be accessible according to ADA standards (49 CFR Part 37, subpart C and Appendix A)
• Any additions to existing facilities must also meet the same ADA accessibility standards– Disproportionate costs may be grounds for exclusion to
standards
224
![Page 225: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/225.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• What Are Accessible Transit Facilities?
– New Facilities Must Be Accessible
– Bus Stops Pads and Shelters Must Be Accessible (To Extent Transit Systems Has Control Over ROW)
– Bus Stops Should Be Sited to Provide Accessibility to the Maximum Extent Practicable
– Altered Areas Accessible (and Paths of Travel to Primary Function Areas)
225
![Page 226: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/226.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• What Is Complementary and Comparable ADA Paratransit Service?
– All Public Entities Operating Fixed Route Public Transportation Service Must Provide Comparable and Complementary ADA Paratransit Service
226
![Page 227: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/227.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• What Is Complementary and Comparable ADA Paratransit Service?
• ADA Paratransit Service Is a Demand Responsive Service That Operates Where and When the Fixed Route Service Operates, and Is Designed to Serve Those Disabled Persons Who Cannot Use the Fixed Route Service
• It Is Comparable To The Fixed Route Service In That It Operates Along and Nearby The Fixed Route Service
• It Is Complementary In That It Operates For Those Who Cannot Use the Fixed Route Service
227
![Page 228: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/228.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• What Is Complementary and Comparable ADA Paratransit Service?
– Paratransit Meant as a "Safety Net" for Only Those Individuals Who Cannot Use Accessible Fixed Route Public Transportation
– Paratransit Not Meant as a Comprehensive System
228
![Page 229: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/229.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• What Is Complementary and Comparable ADA Paratransit Service?
– Complementary Paratransit Meant to be Comparable, But Not Equivalent, to Fixed Route Service Levels
– Complementary Paratransit MUST Be Comparable to Fixed Route Service, as Measured by Six Service Criteria
229
![Page 230: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/230.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• What Are The 6 Service Criteria for the ADA Service?
– Service Area
– Response Time
– Fares
– Trip Purposes and Priorities
– Hours and Days of Service
– Capacity Constraints
230
![Page 231: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/231.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• What Is Complementary and Comparable ADA Paratransit Service?
– Covered Entities Must:
• Provide Service to Eligible Individuals
• Establish a Process to Determine Eligibility
• Provide Service to Visitors to Your Service Area
231
![Page 232: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/232.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Who Is Eligible For ADA Paratransit Service?
– Law Provides for a Functional Approach to Paratransit Eligibility Determination
• ADA Eligibility is Based Strictly on an Individuals Ability to Independently Navigate and Use the Fixed Route System
• Trip-by-Trip Eligibility– Individuals May be Eligible for Some Trips, But Not
Others
232
![Page 233: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/233.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Who Is Eligible For ADA Paratransit Service?
– A Person That Meets At Least One of The 3 ADA Criteria Qualifies for ADA Paratransit Service
– Three (3) Categories of Eligibility
• Category I
• Category II
• Category III
233
![Page 234: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/234.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Category I Eligibility
– Any Individual with a Disability, Who is Unable, as a Result of Physical or Mental Impairment, AND Without the Assistance of Another Individual (Except Lift Operator Assistance), to Board, Ride, or Disembark from Any Vehicle on the System Which is Readily Accessible to and Usable by Individuals with Disabilities
234
![Page 235: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/235.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Category II Eligibility– Any Individual with a Disability Who Needs the
Assistance of a Wheelchair Lift or Other Boarding Device and is Able, With Such Assistance, to Board, Ride, and Disembark from Any Vehicle Which is Readily Accessible to and Usable by Individuals with Disabilities if the Individual Wants to Travel on a Route of the System During Hours of Operation of the System at a Time, or Within a Reasonable Period of Such Time, When a Vehicle is Not Being Used to Provide Designated Public Transportation on the Route
235
![Page 236: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/236.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Category III Eligibility
– Any Individual with a Disability Who Has a Specific Impairment Related Condition Which Prevents Such Individual From Traveling to a Boarding Location or From a Disembarking Location
236
![Page 237: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/237.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Service Animals– System Must Permit Service Animals to
Accompany Individuals With Disabilities In Vehicles and Facilities • Service Animals Defined as "Any Guide Dog, Signal
Dog, or Other Animal Individually Trained to Perform Tasks For An Individual With a Disability, Including But Not Limited to Guiding Individuals With Impaired Vision, Alerting Individuals With Impaired Hearing to Intruders or Sounds, Providing Minimal Protection or Rescue Work, Pulling a Wheelchair, or Fetching Dropped Items"
237
![Page 238: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/238.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Service Animals – Service Animals Are Not Pets
– May Ask If an Animal Is a Service Animal
– May Ask What Tasks the Animal Has Been Trained to Perform
– Cannot Require Special ID Cards or Harnesses For the Animal
– Cannot Ask About The Person’s Disability
– Allergies and Fear of Animals Are Not Valid Reasons For Refusing Service
– Animal Must Be Under Control of Passenger
238
![Page 239: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/239.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Service Animals
– Riders must be permitted to travel with service animals that are trained to assist them
• May ask if a pet
• May ask what services the animal has been trained to perform
• May NOT ask about disability
• May NOT ask for proof of certification or other documentation
239
![Page 240: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/240.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Service Animals – Important Note: DOJ Revisions, March 2011 (Not Adopted by USDOT)– More Specific Definition Of "Service Animals“
• Exclude "Wild Animals (Including Non-Human Primates Born In Captivity), Reptiles, Rabbits, Farm Animals (Including Miniature Horses and Pigs), Ferrets, Amphibians, and Rodents“
• Distinguish Between Psychiatric Service Animals and Comfort Animals - Exclude Animals Whose "Sole Function Is to Provide Emotional Support, Comfort, Therapy, Companionship, Therapeutic Benefits, Or Promote Emotional Well-Being"
240
![Page 241: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/241.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Service Animals DOJ Not DOT
– Defines service animal as a dog that has been individually trained to do work or perform tasks for the benefit of an individual with a disability.
– No other animals can serve as a service animal.
– Individuals with mental disability's that use service animals are protected by the ADA.
241
![Page 242: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/242.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Service Animals: DOJ Not DOT
– When transit systems are involved in assisting in responses to community emergencies, they may find that shelters may only accept a much narrower range of service animals (dogs and miniature horses) than transit may be carrying.
– Due to differences between DOT ADA transit regulations and DOJ ADA facility regulations.
242
![Page 243: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/243.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Wheelchairs
– Older Common Wheelchair Definition Removed
– New Definition
• “Three-or Four-wheeled Devices” Changed To “Three or More Wheeled Devices”
• "Wheelchair" Defined as Any Three or More Wheeled Device, Designed For Use By Person With Mobility Impairment, Operated Manually Or Powered
243
![Page 244: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/244.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Wheelchair Lift and Securement Use – Must Carry A Wheelchair and Occupant if the Lift and
Vehicle Can Physically (combined weight and dimensions) Accommodate Them, Unless Doing So Is Inconsistent With Legitimate Safety Requirements
– Can Refuse Service If Wheelchair/Occupant Weight Exceeds Lift Specifications or If Service Is "Inconsistent With Legitimate Safety Requirements“
– Vehicles may be outfitted with lifts that can carry more than 600#s combined. Care needed for structural support of lift attachment and movement in and out by rider and wheelchair.
244
![Page 245: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/245.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Lift and Securement Use
– Personnel Must Assist With Use Of Lifts, Ramps, and Securement
– Must Allow Persons With Disabilities Who Do Not Use Wheelchairs To Use The Lift As "Standees“ Or To Use Ramps
– May Request, But Not Require, That the Passenger Restraint System Be Used, Unless the System Has a Policy Requiring All Riders To Be Similarly Secured
245
![Page 246: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/246.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA• Can Not Refuse Service for a wheelchair user Due to
Insurance Coverage or Limitations• Lift and Securement Use
– The System May Require That an Individual In a Wheelchair Travel Only In Designated Securement Areas
– Can Require That Wheelchairs Be Secured – Cannot Refuse on The Grounds That Wheelchair "Cannot
Be Secured“– Can require use of a seatbelt, but only if require all riders to
use a seat belt.– Cannot require an over-the-shoulder seat belt if wheelchair
cannot be secured. Can request use of a Posey belt.– Can Recommend Transfer To Seat, But Can't Require
Transfers
246
![Page 247: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/247.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Legitimate Wheelchair Safety Concerns
– Wheelchair Blocks an Aisle
– Wheelchair Is Too Large to Enter Vehicle
– Wheelchair Would Interfere With the Safe Evacuation of Passengers in an Emergency
247
![Page 248: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/248.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Legitimate Wheelchair Safety Concerns
– Must Be Based on Actual Risks
– Must Not Be Based on:
• Mere Speculation
• Stereotypes
• Generalizations About Individuals With Disabilities
• Generalizations About Devices Used for Mobility Purposes
• Inability to Secure Device to the Satisfaction of the Transportation Provider
248
![Page 249: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/249.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Wheelchairs and other power-driven mobility devices.
– Creates a distinction between wheelchairs and “other power driven mobility devices” (segways).
– Wheelchairs must be permitted in all areas open to pedestrian use.
– “other power driven mobility devices” must be permitted to be used unless it would fundamentally alter programs, services, activities, create a direct threat or a safety hazard.
249
![Page 250: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/250.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Deploying Lifts
– The Entity Must Not Refuse to Permit a Passenger Who Uses a Lift to Disembark From a Vehicle At Any Designated Stop, Unless
• The Lift Cannot Be Deployed
• The Lift Will Be Damaged If It Is Deployed
• Temporary Conditions at the Stop, Not Under the Control of the Entity, Preclude the Safe Use of the Stop By All Passengers
250
![Page 251: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/251.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Riding on the Lift
– A wheelchair user may use the lift facing front or back, as he/she chooses.
– A rider does not have to be in a wheelchair to use the lift.
– A person using another mobility device may use the lift.
– An elderly rider that cannot negotiate the steps may use the lift.
251
![Page 252: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/252.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Segways
– The Department’s ADA RULE (49 CFR part 37.3) Defines a “Wheelchair” As “a Mobility Aid Belonging to Any Class of Three or more Vehicles, Designed for and Used By Individuals With Mobility Impairments”
– By Definition, a Segway, a Two-Wheeled Device, is Excluded
252
![Page 253: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/253.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Segways as a Mobility Device on Public Transit – 49 CFR Part 37.165(g) Requires Transit Providers
to “Permit Individuals With Disabilities Who Do Not Use Wheelchairs” to Use a Vehicle’s Lift or Ramp to Enter the Vehicle
– Individuals Who Do Not Use Wheelchairs Commonly Use the Lift Together With Their Non-Wheelchair Mobility Devices, Such as Canes, Crutches or Walkers
– An Individual With a Disability Who Uses a Segway As a Mobility Device Must Be Permitted to Use The Lift
253
![Page 254: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/254.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Segways
– Transportation Provider Is Not Required To Permit Anyone, Including a Person With a Disability, to Bring A Device Onto a Vehicle That Is Too Big or That is Determined to Pose a Direct Threat to the Safety of Others
– In Summary, if the System Determines That a Segway Could Pose a Threat, Transport is Not Required
254
![Page 255: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/255.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Priority Seating
– Can Ask, But Cannot Require, Individuals to Move from Priority or Designated Seating Locations to Make Way for Disabled Riders Needing the Seat.
– Drivers need to be trained on how to do this sensitively.
– Signage Requirements
• Designate Locations
• Suggest Movement if Seat is Needed
255
![Page 256: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/256.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Priority Order of Boarding
– If there is a space for a wheelchair, and securement, the driver should attempt to keep that space open for a wheelchair user, if the user is seen to be in line to board.
256
![Page 257: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/257.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Adequate Time to Board and Alight
– The Entity Must Ensure That Adequate Time Is Provided to Allow Individuals With Disabilities to Complete Boarding or Alighting From the Vehicle
257
![Page 258: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/258.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Origin-to-Destination Service
– Many in Industry Believe that Only Curb-to-Curb Service Required
– Regulation, However, Refers to Origin-to-Destination Service
– Where the Local Planning Process Establishes Curb-to-Curb Service as the Basic Paratransit Service Mode, Provision Should Still Be Made to Ensure That the Service Available to Each Passenger Actually Gets the Passenger From His or Her Point of Origin to His or Her Destination Point
258
![Page 259: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/259.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Origin-to-Destination Service
– To Meet This Origin To Destination Requirement, Service May Need to Be Provided to Some Individuals, or at Some Locations, in a Way That Goes Beyond Curb-to-Curb Service
– There is no extra fee for door-to-door
259
![Page 260: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/260.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Origin-to-Destination Service
– This does not require that the operator go into a building (say a doctors office complex) to take the rider to the specific office.
– This also does not require that the driver lose sight of the vehicle and the passengers on it, for an unreasonable amount of time.
– This does not require that the driver go “through door” into a person’s home to assist the rider, carry in groceries, etc.
260
![Page 261: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/261.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Personal Care Attendants
– A Personal Care Attendant (PCA) Must Always be Allowed to Ride With an Eligible Individual
– A PCA is Someone Specifically Designated or Employed by the Disabled Person and is Required by the Person in Order to Complete the Trip OR the Trip Purpose
– The Entity May Not Charge a Fare for a PCA
– The Entity Can Not Require a PCA
261
![Page 262: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/262.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Packages
– A distinction is made between assisting passengers to/from the door and carrying the passenger’s packages, or assisting with packages
– A paratransit provider is not required to assist with passenger’s grocery bags or other packages
– This really borders on the duties of a personal care attendant
262
![Page 263: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/263.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Packages
– Transit systems may offer this assistance for an extra fee.
– The transit operator does have to consider the public relations/public image of a driver helping a person with packages as opposed to sitting and watching a passenger struggle.
263
![Page 264: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/264.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Packages
– Transit systems need to have in place policies and procedures dealing with carrying and assisting with storing groceries and bags, as well as the numbers of bags that a rider may bring on board and safely store, such as not to create a safety hazard.
264
![Page 265: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/265.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Accessible Information
– Obligation Includes Making Adequate Communications Capacity Available, Through Accessible Formats And Technology, to Enable Users to Obtain Information, Register for and Obtain Service
• Provide Upon Request
• Usable to Individual
• Appropriate for the Intended Use– Providing Information Over the Phone is Not Considered
a Substitute for Written Information
265
![Page 266: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/266.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Access to Information – All Print Material Must Be Available Upon Request and In Accessible Formats and In a Form That The Person Can Use
• Public Hearings Must Be Held in Accessible Locations
266
![Page 267: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/267.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Accessible Information
– TTYs (TDDs)
– Relay Services
– Access Should Be Provided on Same Days and Hours and at No Added Cost
267
![Page 268: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/268.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Portable Oxygen
– Must Allow Travel With a Respirator or Personal Oxygen Supply, Consistent With Applicable USDOT Rules Regarding Transport of Hazardous Materials
268
![Page 269: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/269.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Can A Transit System Refuse Service?
– All Covered Entities
• Covered Entities Shall Not Deny Service to Those Who Can Use System
• Can Refuse Service to Persons But Only in Circumstances Where the Individual Exhibits Illegal, Violent or Disruptive Behavior– To Be Illegal, There Must Be an Established Law
Prohibiting the Behavior, Not Just a Common Standard of Appropriate Behavior
– Seriously Disruptive Behaviors Must Be Significant, Not Just Annoying or Unpleasant
269
![Page 270: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/270.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Direct Threat
– To justify the limitations on individuals disabilities, there must be a significant threat to others, as distinct from a threat to the individual with a disability, that cannot be eliminated by a modification of policies, practices or procedures, or the provision of auxiliary aids or services.
270
![Page 271: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/271.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Travel Training
– Travel training is becoming widely accepted in both fixed route, ADA paratransit and demand responsive services.
– This consists of a person working with one or more persons (in a group) to become more familiar with and comfortable with using the system(s) available.
– As persons before more independent and self-confident, they are more likely to use services (such as fixed route) rather than ADA paratransit.
271
![Page 272: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/272.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Reasonable Modification
– March 13, 2015 Federal Register
– Clarifies Issues that Had Been Subject to Different Legal (Court) Interpretations
– Adds a DOJ Component to USDOT ADA Oversight
• Transit Must Also Make “Reasonable Modification/ Accommodation” to Its Policies and Programs to Ensure Access and Use of Public Transit
272
![Page 273: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/273.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Reasonable Modification– Effective July 13, 2015
– Key Compliance Elements for Public Transit Agencies• A recipient shall make reasonable accommodations
in policies, practices, or procedures when such accommodations are necessary to avoid discrimination on the basis of disability unless the recipient can demonstrate that making the accommodations would fundamentally alter the nature of the service, program, or activity or result in an undue financial and administrative burden
273
![Page 274: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/274.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Reasonable Modification
– Examples of Reasonable Modifications
• Modifying “No Eating” on Bus Policies to Accommodate a Disabled Individual with Diabetes
• Deploying Lift at Other than Designated Stop When Temporary Obstacles Impede Accessible Path of Travel
• List of Such Examples Are Found in Appendix to the Regulation
274
![Page 275: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/275.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: ADA
• Reasonable Modification
– Designation of Employee
• Each Recipient Shall Designate at Least One Person to Coordinate Its Efforts
• Adopt Compliant Procedures– Similar to Those Used in Title VI
» Process Must Be Advertise
» Procedures Must be Accessible, e.g., Alternative Formats
» Prompt Communication to Complainant of Response
275
![Page 276: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/276.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
DRUG AND ALCOHOL TESTING
276
![Page 277: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/277.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Drug and Alcohol Program Compliance
– Policy
– Training
– Testing
– Test Categories
– Recordkeeping
– Reporting
RLS & Associates, Inc. 277
![Page 278: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/278.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Policy Requirements
– Designated contact person (person, office, branch, and/or position)
– Applicability (categories of employees covered)
– Prohibited behavior
– Testing circumstances
– Testing procedures
RLS & Associates, Inc. 278
![Page 279: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/279.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Policy Requirements
– Requirements for testing
– Test refusal
– Consequences
– Policy Dissemination
– Distinguishing Federal Requirements From Transit System Authority
RLS & Associates, Inc. 279
![Page 280: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/280.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Training Requirements
– Safety-Sensitive Employee
– Supervisors
• Drugs
• Alcohol
• Reasonable Suspicion
– Training Timeline
280
![Page 281: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/281.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Testing Requirements– Specified Types of Drugs– Minimum Thresholds– Period of Coverage– Part 40 Procedures– Breath Testing for Alcohol– Specimen Validity Testing– Split Specimens– Observed Collections– Negative Dilute– Test Refusals
281
![Page 282: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/282.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Testing Requirements– Consumption of illegal drugs is prohibited at all
times
– Marijuana (Includes all hemp products)
– Cocaine
– Opiates (heroin, morphine, and codeine)
– Phencyclidine
– Amphetamine (including Methamphetamine and Ecstasy)
– Note: DOT rule preempts state medicinal use of marijuana initiatives
RLS & Associates, Inc. 282
![Page 283: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/283.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Testing Categories
– Pre-Employment
– Reasonable Suspicion
– Post Accident
– Random
– Return to Duty
– Follow-Up
283
![Page 284: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/284.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Vendor Compliance Tips
– Conduct periodic mock collections to identify procedural flaws
– Investigate any reports by employees of flawed procedures
– Provide vendors copies of USDOT and FTA handbooks and procedural manuals
– Require documentation of vendor credentials
RLS & Associates, Inc. 284
![Page 285: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/285.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Vendor Compliance Tips– Even though not a regulatory requirement,
consider requiring vendors to hold memberships in their respective industry’s trade association
– Monitor cancelled test rates, and require detailed explanations for each cancelled test
– Include specific and detailed minimum performance standards in contracts that provide disincentives for cancelled tests or non-performance
RLS & Associates, Inc. 285
![Page 286: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/286.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Vendor Compliance Tips
– If vendors are unwilling or unable to perform their duties consistent with the regulations, cancel their contract and obtain service elsewhere
RLS & Associates, Inc. 286
![Page 287: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/287.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Recordkeeping– Employer Requirements
• Required files
• Agreements between employers and service agents
• Service agent credentials
• Service agent oversight
• Don’t assume that vendors are conducting tests in compliance with regulations—that includes TPAs and Consortia
– Continued Oversight is Critical
287
![Page 288: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/288.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Recordkeeping
– Secure Location
– Confidentiality
– Five Year Requirements
– Three Year Requirements
– Two Year Requirements
– One Year Requirements
RLS & Associates, Inc. 288
![Page 289: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/289.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Recordkeeping
– Paper Trails
– Pre-Employment Documentation
– Accident Identification Information
– Mandatory Reporting
– Random Testing
RLS & Associates, Inc. 289
![Page 290: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/290.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Recordkeeping
– Reasonable Suspicion Testing
– Return to Duty Testing
– Follow-up Testing
– Information Release
– Certification of Compliance
RLS & Associates, Inc. 290
![Page 291: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/291.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Reporting Requirements
– Annual MIS Reports
RLS & Associates, Inc. 291
![Page 292: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/292.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings
– Do you have a copy of the DOT and Federal Transit Administration testing regulations 49 CFR Parts 40 and 655?
• Have you demonstrated that you have a working knowledge of the regulation?
• Do you know how to obtain assistance?
292
![Page 293: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/293.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings
– Does this employer make available and provide written notice of the availability of the adopted FTA anti-drug and alcohol misuse policy to all covered employees and representatives of any employee organizations? How?
• Is your policy up to date?
• Do you have proof that your current policy has been approved by your governing board?
293
![Page 294: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/294.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings
– Does this employer conduct non-DOT drug and/or alcohol testing and if so is it completely separate (separate random pools, separate CCFs and ATFs, etc.) from DOT testing?
• Are you sure about the answer to this question? Often, non-DOT tests are identified even though employer says no to this question.
294
![Page 295: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/295.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings– What information do you provide to the collection site
for each DOT test you are requesting?• (a) Full name of the employee being tested.
• (b) Employee SSN or ID number.
• (c) Laboratory name and address.
• (d) Employer name, address, phone number, and fax.
• (e) DER information
• (f) MRO name, address, phone number, and fax.
• (g) The DOT Agency which regulates the employee/employer.
• (h) Test Category.
• (i) Whether the test is to be observed or not.
• (j) (Optional) C/TPA name, address, phone, and fax number.
295
![Page 296: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/296.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings
– How do you ensure that DOT tests can be conducted at all times when safety-sensitive functions may be performed? (I.e., late night, weekends, holidays, maintenance hours, etc., if applicable.)
• Must ensure that all days and hours are covered even if special arrangements must be made.
296
![Page 297: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/297.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings
– Do you ever use a hospital for testing on a contingency basis? Do you know that they use documented trained collectors for DOT testing?
• New question due to concerns of quality with hospital collections.
297
![Page 298: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/298.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings– Have all safety-sensitive employees received at
least 60 minutes of training on the effects and consequences of prohibited drug use on personal health, safety, and the work environment, and on the signs and symptoms that may indicate prohibited drug use?• Must provide documentation that the each employee
has had training• Must provide documentation that the time requirement
was met• Must provide documentation that the 60 minutes was
on the effects and consequences of prohibited drug use; training on other issues (policy, alcohol misuse, etc.) must be additional training
298
![Page 299: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/299.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings
– Does this transit system document Reasonable Suspicion referrals?
– How do you record the first date that new hires or transferees begin safety-sensitive functions?
– At what point in the hiring process do you ask the applicant or transferee whether or not they have failed or refused a DOT pre-employment test in the previous two years?
• Use of standard forms can ensure that these items are documented
299
![Page 300: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/300.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings
– When a safety-sensitive employee does not perform safety-sensitive functions for a period of 90 or more consecutive days, how do you handle their placement in the DOT random testing pool and do you do anything upon their return and prior to their performance of safety-sensitive function?
• Process is often confused or ill-defined.
300
![Page 301: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/301.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings
– How and when do you update your DOT random testing pool used for random selections?
• Procedures often flawed or significantly delayed.
– What random selection method is used by this employer to select covered employees for FTA drug and alcohol testing?
• DAPM usually do not know.
– How is the random selection list transmitted to the DER and who has access to the list?
• Notifications are often delayed and error-prone
301
![Page 302: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/302.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings– Does this transit system conduct random
testing on all work days, when safety-sensitive functions are being performed, including weekends and holidays?
– Does this transit system conduct random testing at all times that safety-sensitive functions are being performed (including maintenance of revenue vehicle, movement of revenue vehicles, etc.)?• Charts will be created to verify your answer.
302
![Page 303: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/303.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings– When, if ever, would you excuse an employee,
selected for a random test, from random testing?• Must have documentation of actual practice.
– Do you use alternates in your random selection process? Under what circumstances would you notify an alternate that they must proceed to the collection site for a random test?• This practice will be scrutinized closely.
303
![Page 304: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/304.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings– If the DAPM or another non-active employee is
safety-sensitive and is notified to proceed for random alcohol testing, how does this system ensure that the DAPM is only subject to random alcohol testing just before, during, or just after the performance of safety-sensitive functions?• Often procedure is ill-defined.
– After the testing is complete, does this transit system maintain a copy of each random selection draw list (e.g., paper copy, electronic file)?• Must maintain all draw lists.
304
![Page 305: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/305.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Testing
– Did you and your contractors meet the FTA's minimum random testing rates last year?
• Be careful concerning over testing.
• Although over testing is allowed, your procedures must not contradict what is stated in your policy.
305
![Page 306: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/306.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings– Who is responsible for deciding to perform a FTA
post-accident test? (If DAPM, ask for knowledge of thresholds.)• DAPM must demonstrate knowledge of thresholds
including definition of “disabling damage.”
– Does this transit system have some method to document the post-accident decision-making process, especially decisions not to conduct a drug and alcohol test following an accident that reaches an FTA threshold?• Use best-practice forms as provided by ODOT/RLS.
306
![Page 307: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/307.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings
– When would you commence drug and alcohol testing after an accident?
• Always say “as soon as possible.”
– What are the time limits for drug and alcohol post-accident testing?
• Know requirements for documentation.
307
![Page 308: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/308.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings
– Does this company provide the contact information of a qualified Substance Abuse Professional (SAP) readily available to assist any employee who has refused a test or had a positive test? Even if the employee is to be terminated?
• Are you sure your SAP has the correct credentials? Make sure you notify your SAP of the audit and their need to participate in the audit process.
308
![Page 309: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/309.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings
– Does this transit system maintain all records related to the drug and alcohol program in a secure location with controlled access?
• Demonstrate security in auditors presence.
– Does the transit system have a method to identify if the MRO or C/TPA has not provided a test result in a reasonable period after the test?
• Use best-practice forms as provided by ODOT/RLS.
309
![Page 310: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/310.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings– When an employee has a positive FTA drug test
result, by what method and how soon after the test is verified does the MRO or C/TPA notify the transit system?• Be sure of your description of the process.
– Have the transit system and the MRO or C/TPA established a password or other verification method to ensure that verbal transmission of positive test results from the MRO is secure?• Passwords should be established. Don’t tell the
auditors what your password is.
310
![Page 311: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/311.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings
– Are you aware of all safety-sensitive contracts, and do you monitor contractor compliance with Parts 40 and 655?
• If you have contractors, you must demonstrate and document oversight and monitoring of their drug and alcohol testing program.
311
![Page 312: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/312.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• DAPM Common Audit Findings
– Was the Drug and Alcohol Program Manager prepared for the audit team, and did the DAPM cooperate with the audit team and facilitate the audit process, including producing the required records?
• Be prepared; make sure all service agents are prepared and available during the audit.
312
![Page 313: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/313.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Ohio Drug and Alcohol Program Manager/Records Management Technical Assistance Reviews
• Findings from 44 D/A Reviews conducted December 2011 through June 2016
313
![Page 314: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/314.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Common Review Findings in Ohio
– Policies
– SAP Credentials
– Post-Accident Testing
– Pre-Employment Drug and Alcohol Check
– Use of Non-DOT CCF/ATF
– Random Testing
314
![Page 315: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/315.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Policies
– Around ninety (90) Percent of the Policies Reviewed Were Not in Compliance with One or More Requirements of 49 CFR Part 655 and 49 CFR Part 40
– This is not always the Subrecipient’s fault. Policy revisions are often required due to regulatory updates and/or interpretations.
315
![Page 316: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/316.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• SAP Credentials
– Majority (>50%) of the Transit Systems Could Not Produce Evidence That it Had the Required Contact Information and Current Credentials of a USDOT Qualified SAP
316
![Page 317: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/317.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Post-Accident Testing
– Majority (>50%) of the Transit Systems Reviewed Were Non-Compliant in One or More Area, Such as the DAPM was:
• Unaware of the thresholds that would require FTA post-accident testing
• Lacked knowledge of the time limits for post-accident testing
317
![Page 318: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/318.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Pre-Employment DA Check
– Majority (>50%) of the Transit Systems Reviewed Failed to Ask All Applicants for, or Transferees into, USDOT_FTA Covered Safety-Sensitive Positions Regarding Prior Failed or Refused USDOT Pre-Employment Tests in the Previous Two Years
318
![Page 319: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/319.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Use of Non-DOT CCF/ATF
– Majority (>50%) of the Transit Systems Reviewed Did Not Know the Required Procedures to Correct a Scenario Where the Collection Site Used a Non-DOT Form for What Should Have Been a DOT test.
319
![Page 320: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/320.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• Random Testing
– In a majority (>50%) of the Reviews, Random Testing Was Not Spread Out in an Unpredictable Manner Throughout All Days of Service, Hours of Service, and Throughout the Year
320
![Page 321: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/321.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Drug and Alcohol Testing
• 0.02-0.039 Alcohol Test Result
– More than a third of the Transit Systems Were Not Aware of the Employer’s Responsibility to Remove a Covered Employee from the Performance of All Safety-Sensitive Functions Immediately Following an Alcohol Test Result of 0.02-0.039
321
![Page 322: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/322.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
DEBARMENT/SUSPENSION
322
![Page 323: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/323.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Debarment/Suspension
• Debarment/Suspension For procurements >$25000
• Ensure that Section 5311 funds are not given to anyone who has been debarred, suspended, ineligible, or voluntarily excluded from participation in Federally-assisted transactions
• New guiding documents
323
![Page 324: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/324.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Debarment/Suspension
• Guidance
– 2 CFR part 180.300
• Three methods to comply
– Check SAM.gov for excluded parties
– Include a certification in procurements (over $25,000)
– Include requisite language in solicitation and contract documents
324
![Page 325: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/325.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
LOBBYING
325
![Page 326: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/326.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Lobbying
• For Procurements >$100,000
• Lobbying Certification
• Standard Form LLL and Quarterly Updates
326
![Page 327: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/327.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
LEGAL
327
![Page 328: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/328.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Legal
• Each transit system must have the “legal capacity” for conducting business
– The transit system must be eligible and authorized under state and local law to
• Request, receive, and dispense Federal and State funds
• To execute and administer Federal and State funded projects
• Legal counsels typically sign a certification of assurance
328
![Page 329: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/329.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
SATISFACTORY CONTINUING CONTROL
329
![Page 330: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/330.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Satisfactory Continuing Control
• When capital equipment or facilities are acquired, built, or improved for use by a rural transit system, provisions must be made to assure satisfactory continuing control of that capital equipment and facilities
330
![Page 331: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/331.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Satisfactory Continuing Control
• While the State agency serving as FTA grantee may delegate these responsibilities to another entity, the State is ultimately responsible for compliance with this requirement
331
![Page 332: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/332.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Satisfactory Continuing Control
• When vehicles or other equipment acquired with Section 5311 funds are operated by an entity other than the subrecipient, control and responsibility for the operation of the vehicles or other equipment must remain with the subrecipient unless transfer of the control and responsibility is made to another subrecipient authorized by the designated State agency to accept control and responsibility for those vehicles or equipment
332
![Page 333: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/333.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Satisfactory Continuing Control
• The FTA-funded property will remain available to be used for its originally authorized purpose throughout its useful life until deposition
• The property may be used for an incidental use, provided it has been authorized and costs are being recovered
• The transit system must have in place a method to inventory and be in control of the assets
333
![Page 334: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/334.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
PLANNING AND PROGRAM OF PROJECTS
334
![Page 335: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/335.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Planning and Program of Projects
• By requiring the rural transit systems to submit their capital and operating plans and budgets, ODOT satisfies the FTA requirements for planning and program of projects (list of Federally funded projects).
335
![Page 336: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/336.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
PUBLIC COMMENT ON
FARE/SERVICE CHANGES
336
![Page 337: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/337.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Public Comment on Fare/Service Changes
• The transit system should have in place a public participation process regarding service and fare changes, especially service reductions or fare increases
• The system will also have a process for obtaining input on grant applications to ODOT, and those grant applications are to delineate any proposed service and fare changes
337
![Page 338: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/338.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
HALF-FARES
338
![Page 339: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/339.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Half Fares
• FTA requires urbanized systems to offer half fare for its elderly and disabled riders during off-peak times
• FTA does not require this for rural transit systems– Note: ODOT’s Elderly and Disabled Assistance
Program (E&D) is a separate State Program that offers funding to eligible transit systems to offset the cost of offering reduced fares (up to a maximum of 50% of the regular adult fare) to elderly and disabled passengers
339
![Page 340: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/340.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
NTD REPORTING
340
![Page 341: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/341.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: NTD Reporting
• FTA Requires ODOT to Submit an Annual NTD Report
• ODOT Requires the Rural Transit Systems to Submit its Quarterly NTD Data to ODOT
341
![Page 342: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/342.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
RECORDS RETENTION AND ACCESS
342
![Page 343: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/343.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Records Retention and Access
• Records are to be retained for at least three years, and through the next FTA and State reviews
• If there is some pending investigation, outstanding audit issue, etc., the requirement is to retain records for three years from the close out
• Records for assets must be retained through the life of the asset
• Personnel records should be retained indefinitely
• All records should be able to be accessed by FTA and Ohio
343
![Page 344: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/344.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
UNIONS AND LABOR PROTECTION
344
![Page 345: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/345.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Unions and Labor Protection
• Unions and Labor Protection; FTA and State
• Transit unions are a part of many transit systems, rural and urban, in Ohio and across the country
• Their role is to help the community , while ensuring that transit workers
o Earn a competitive wage
o Receive good benefits
o Work in a safe working environment
345
![Page 346: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/346.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Unions and Labor Protection
• The combined bargaining power and resulting union-board labor contract have a strong presence in the day to day and strategic life of a transit system
• Relationships with unions do not have to be adversarial; you must strive to develop a partnership with your union, with common goals (to serve your community)
346
![Page 347: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/347.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Unions and Labor Protection
• FTA’s enabling legislation contains labor protection provision, regardless of union affiliation
• Known as Section 5333(b) (commonly referred to by outdated name of Section 13(c)
• Special Warranty spells out the applicable protections
347
![Page 348: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/348.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
PRIVATE SECTOR PARTICIPATION
348
![Page 349: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/349.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Private Sector Participation
• Private Sector Participation Requirements
– Private sector transportation providers are to be consulted in developing transportation plans and programs, from the early planning stages through the implementation of service.
– Transit systems can contract out the provision of all or some of its services to private providers
349
![Page 350: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/350.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
INTERCITY BUS SERVICE
350
![Page 351: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/351.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Intercity Bus Service
• Rural Intercity Service (Federal Section 5311(f) Program) is Defined as Regularly Scheduled Bus Service Which Is Open to the General Public That Has Limited Stops and Provides Meaningful Connections to Intercity Bus Service
• Feeder Service to Connect with Intercity Bus Service Is Allowable
351
![Page 352: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/352.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Intercity Bus Service
• Commuter Service Is Not Considered Intercity Service
• Intercity service Is Eligible for Capital and Operating Assistance
• For More Information Regarding the FTA Section 5311(f) Program, Go to http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/RuralIntercityBus.aspx
352
![Page 353: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/353.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
SCHOOL BUS SERVICE
353
![Page 354: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/354.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: School Bus Service
• Rural Transit Systems Are Prohibited From Providing Exclusive School Bus Transportation for School Students and School Personnel
• Systems Can, However, Modify Existing Service to Accommodate School Students Along with the General Public
354
![Page 355: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/355.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: School Bus Service
• FTA-Funded Equipment Cannot Be Modified to Accommodate School Safety Equipment (Lights, Arms, Etc.) Nor Can Bus Stops be Located on School Property
355
![Page 356: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/356.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
ENVIRONMENTAL
356
![Page 357: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/357.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Environmental
• Congress is concerned about the environmental impacts of projects (service, vehicles, facilities, etc.) on:
– Air
– Water
– Land
– Noise
– Energy usage
357
![Page 358: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/358.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Environmental
• FTA has several levels of environmental impacts that require different types and amounts of environmental research on the part of the transit system
• Most of your projects will be of minimal environmental impact– Operating assistance– Capital (acquisition/replacement of transit
vehicles)• “Categorically Excluded”
• Any project that is not of minimal impact will require guidance from ODOT
358
![Page 359: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/359.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Environmental
• FTA is also concerned about the impacts of services and facilities on minority and low income areas. These are discussed in the Title VI and Environmental Impact sections of this module.
359
![Page 360: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/360.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
EQUAL EMPLOYMENT OPPORTUNITIES (EEO)
360
![Page 361: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/361.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Equal Employment Opportunities
• EEO and Diversity
– Transit systems must prevent the exclusion of or discrimination against, any person on the grounds of race, color, creed, national origin, sex, or age as it pertains to the recruitment, selection, promotion, termination, compensation, training, or other terms and conditions of employment
361
![Page 362: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/362.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Equal Employment Opportunities
• EEO and Diversity – New circular
• FTA Circular 4704.1A
• Effective October 31, 2016
– Rural transit systems which received more than $1 million of federal funds in the previous year and have 50 or more transit employees must develop and submit a modified EEO Program to ODOT• Contact your Rural Transit Representative for
further information
362
![Page 363: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/363.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Equal Employment Opportunities
• ADA and Diversity
– Transit systems must provide reasonable accommodations in the workplace, for individuals with disabilities
– Transit systems must avoid any situations that might unreasonably exclude the hiring and advancement of these individuals
363
![Page 364: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/364.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
2 CFR Part 1201
364
![Page 365: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/365.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: 2 CFR Part 1201
• There is no more Common Rule• Based on FTA guidance in 2 CFR part 1201, the
Common Rule may live on for a bit in a capital contract
• If your grant agreement was executed before December 26, 2014, need to follow 49 CFR part 18 or 49 CFR part 19 throughout the life of the grant
• If your grant agreement was executed after December 26, 2014, need to follow 49 CFR part 1201 and 2 CFR part 200
365
![Page 366: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/366.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
MASTER AGREEMENT
366
![Page 367: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/367.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Master Agreement
• FTA’s Master Agreement Contains A Current, But Not All-Inclusive, Description Of Statutory And Regulatory Requirements That May Affect A Recipient’s Procurement
367
![Page 368: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/368.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA:
CERTIFICATIONS AND ASSURANCES
368
![Page 369: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/369.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
FTA: Certifications and Assurances
• Transit systems will sign a certifications and assurances document stating that the system is in compliance with all FTA requirements.
369
![Page 370: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/370.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
COMPLIANCE WITH NON-FTA FEDERAL/STATE REGULATIONS
370
![Page 371: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/371.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With Non-FTAFederal/State Regulations
• Compliance with Non-FTA Federal/State regulations is the responsibility of the Federal, State or Local agency (not ODOT) receiving those funds
371
![Page 372: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/372.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With Non-FTAFederal/State Regulations
• There are approximately 60 non-FTA Federal funding sources that can be used to transport passengers.
• Review of the non-FTA sources.
372
![Page 373: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/373.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With Non-FTAFederal/State Regulations
• Three ways non-FTA transportation funds come to rural transit systems
– Federal – to – State – to – Local
– Federal – to - Local
– Federal – to – Individual
373
![Page 374: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/374.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With Non-FTAFederal/State Regulations
• Recipients are usually State departments like ODJFS, ODDD and ODA
• The State departments often supplement the non-FTA funds with State funds
• The State departments will then pass the non-FTA and State funding to county agencies, along with the regulations for their use
374
![Page 375: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/375.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With Non-FTAFederal/State Regulations
• These county agencies often supplement the non-FTA and State funding with Local funding
• They may then contract with transit systems to provide transportation for eligible clients
375
![Page 376: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/376.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With Non-FTAFederal/State Regulations
• The non-FTA funds and their uses are described in the recent Ohio Mobility Improvement Study
376
![Page 377: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/377.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With Non-FTAFederal/State Regulations
• Compliance with ODJFS regulations and expectations, if contracting with county JFS
• NEMT
• Brokerages
377
![Page 378: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/378.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With Non-FTAFederal/State Regulations
• Compliance with ODDD regulations and expectations, if contracting with county DD
• Transit systems meet ODDD transport regulations
• Impacts on transit demand as result of DD consumer choice of providers
• NEMT
• Brokerages
378
![Page 379: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/379.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With Non-FTAFederal/State Regulations
• Compliance with ODA regulations and expectations, if contracting with local areas on aging, and senior centers
379
![Page 380: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/380.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With Non-FTAFederal/State Regulations
• Compliance with ODOE school transportation regulations and expectations
• Transit systems can transport students
380
![Page 381: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/381.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With Non-FTAFederal/State Regulations
• Compliance with Veterans transportation regulations
• County Veterans Services Commissions
381
![Page 382: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/382.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With Non-FTAFederal/State Regulations
• Resources
382
![Page 383: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/383.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
COMPLIANCE WITH GENERAL OHIO REGULATIONS
383
![Page 384: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/384.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With General Ohio Regulations
• Regulatory compliance with general State regulations is the responsibility of the State agency (not ODOT)
384
![Page 385: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/385.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With General Ohio Regulations
• Ohio Ethics Commission - Ethics
– The transit governing board and the Transit Manager together must create a culture of accountability with a focus on ethics
– The Ohio Ethics Law recognizes that many of Ohio’s public officials and employees are in a position to make or influence decisions that directly affect their own financial interests or those of his family or business associates
385
![Page 386: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/386.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With General Ohio Regulations
• Ethics
– The law contains provisions restricting conflicts of interest that involve nepotism, post-employment, representation, influence-peddling, confidentiality, and supplemental compensation
– As the transit manager, you can directly promote an ethical culture in your transit system by
386
![Page 387: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/387.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With General Ohio Regulations
• Promoting ethical culture
– Having the board adopt a policy on ethics and conflict of interest
– Promoting a culture of disclosure
– Avoiding problems when potential conflicts arise
– Establishing procedures, such as competitive bids, that ensure that the organization is receiving fair value in the transaction
387
![Page 388: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/388.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With General Ohio Regulations
• Transit managers must establish a “culture of accountability.” What is it?
– Affects all aspects of a transit manager’s responsibilities
– The governing board and Transit Manager working together under the watchful eyes of the public and media to ensure business is conducted
• according to law and with the highest standard of public expectations of honesty, good stewardship and for the public good
• Openly and honestly
388
![Page 389: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/389.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With General Ohio Regulations
• Accountability
– Cannot be delegated or ignored
– Is the responsibility of every member of the governing board and staff
– Is a top-down mandate and must be rigorously enforced by policy and action, setting clear expectations and consequences
– Must be established by written policies for open meetings, open records, ethics, and fiduciary responsibilities
389
![Page 390: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/390.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With General Ohio Regulations
• Failure to comply with these accountability requirements can result in legal actions against the governing board (both as a board and individually) and against the Transit Manager and staff
• The board’s and Transit manager’s credibility can also be seriously damaged
390
![Page 391: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/391.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With General Ohio Regulations
• Ohio Sunshine Laws, open meetings– Ohio Sunshine Law (ORC 121.22)
• All acts and most deliberations of the transit board, and its committees, sub-committees, and advisory groups, are to be conducted in meetings that are open to the public
• Board members must be notified of the meetings to ensure attendance
• The public must be notified in advance of the open meeting for their attendance, if desired
• Meeting minutes must be prepared and made available to the public
391
![Page 392: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/392.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With General Ohio Regulations
• Executive Sessions– A board or other group may hold an “executive
session” that is closed to the general public and media (and to any or all transit staff, if desired), but only to discuss the following topics, and to take no official action• Appointment, employment, dismissal, discipline,
promotion, demotion or compensation of an employee or official or the investigation of charges or complaints against an employee or official, unless the employee or official requests a public hearing
392
![Page 393: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/393.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With General Ohio Regulations
• Executive Sessions
– Purchase of property for public purposes or the sale of property at competitive bidding
– Conferences with the board's attorney to discuss matters which are the subject of pending or imminent court action
– Preparing for, conducting, or reviewing negotiations or bargaining sessions with employees
393
![Page 394: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/394.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With General Ohio Regulations
• Executive Sessions
– Matters required to be kept confidential by federal law or rules or state statutes
– Specialized details of security arrangements
– Audit conference conducted by an independent certified public accountant with officials of the public body
394
![Page 395: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/395.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With General Ohio Regulations
• Ohio Sunshine Laws, open records– The request does not have to be in writing and the
reason for the request does not have to be given
– Certain records are considered private and are exempt from being open to the public
– A public office must keep all public records indefinitely unless the retention period is set forth in the board’s adopted records retention schedule, and the retention period has lapsed
– Retention periods must be consistent with FTA and ODOT regulations
395
![Page 396: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/396.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With General Ohio Regulations
• Ohio Medical Transportation Board
– Social service agencies that provide non-transit service under Medicaid contracts must have an OMTB certificate
– This does not apply to transit systems (public and non-profit) that provide contract public transit service for Medicaid contracts
396
![Page 397: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/397.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With General Ohio Regulations
• Other State regulations are mentioned in the discussion of FTA regulations
397
![Page 398: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/398.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
COMPLIANCE WITH LOCAL REGULATIONS
398
![Page 399: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/399.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With Local Regulations
• Regulatory Compliance with Local Regulations is the Responsibility of the Local Agency
• ODOT is Responsible for the Oversight of this Compliance, But Not the Compliance Itself
399
![Page 400: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/400.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With Local Regulations
• Local Ordinances, Regulations and Practices
• Required Reporting to Local Governments/Funders
400
![Page 401: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/401.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Compliance With Local Regulations
• Local Contracts
• Local Procurement Requirements
• Local Financial Management Requirements
• Local Funding Restrictions
401
![Page 402: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/402.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
COMPLIANCE WITH ODOT REGULATIONS
402
![Page 403: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/403.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
TECHNICAL ASSISTANCE REVIEWS (TARS)
403
![Page 404: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/404.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Technical Assistance Reviews (TARs)
• ODOT Must Assure FTA that all Rural Transit Grantees/Contract Service Providers Are in Compliance with All Applicable Federal Regulations
• The conduct of a TAR is ODOT’s Opportunity to Ensure this Compliance as Well as to Learn More About the Rural Transit System’s Operation
404
![Page 405: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/405.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Technical Assistance Reviews (TARs)
• ODOT Strives To Conduct a TAR for Each Transit System Every Four Years
• Three Functional Areas Are Covered
– Administration
– Operations
– Regulatory Compliance
• TARs Consist of:
– Interviews with applicable transit staff
– Riding the system and interviewing passengers405
![Page 406: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/406.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Technical Assistance Reviews (TARs)
• A Report Is Issued Noting Whether Each Functional Area Is Satisfactory or Needs Improvement
– Recommendations and requirements are noted for each area needing improvement
– The grantee/transit system must develop and submit to ODOT an implementation schedule for bringing the system into compliance
406
![Page 407: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/407.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT PROGRAM AND SERVICE REQUIREMENTS
407
![Page 408: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/408.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT Program and Service Requirements
• Service– All service must be open to the general public
within the published operating hours and the published service area, including contract service
– Systems must continually monitor their service to ensure that contract service is not precluding the provision of general public trips
– Vehicles and all service materials (brochures, schedules, etc.) must be clearly marked as general public
408
![Page 409: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/409.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT Program and Service Requirements
• Service Area
– A service area must be established and defined in the annual Rural Transit Application
– One trip end of the service must originate or end in the nonurbanized area
– Coordination with transit providers in adjacent areas is strongly encouraged
409
![Page 410: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/410.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT Program and ServiceRequirements
• Fare Structures and Policies
– A fare structure and policy must be established and reviewed regularly
– All fares (full fare, E&D, student, etc.) should be listed
– E&D fare can be no more than one-half of the regular adult fare
410
![Page 411: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/411.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT Program and Service Requirements
• Contract Service
– Service for a Group of People for a Specified Cost, Scheduled and Paid for by a Third Party and Considered to be Premium Service Because the Service is Guaranteed
– Contract Service Must Be Open-Door, Available to the General Public, Offered During Regular Service Hours, and Cannot Interfere with the Overall General Public Service
411
![Page 412: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/412.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT Program and Service Requirements
• Because of the Added Value and Convenience of Contract Service– A rate higher than the regular fare is
negotiated
– Takes into account the fully allocated cost of providing the service
– Establishing a rate equal to at least the fully allocated cost is strongly encouraged by ODOT
– Transit systems must not violate any of the Charter Regulations in the provision of contract service
412
![Page 413: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/413.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT Program and Service Requirements
• Trip Priorities
– ODOT does not permit prioritization of trips; for example, a medical trip cannot be giving priority over a trip to the bank or grocery store
413
![Page 414: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/414.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT Program and Service Requirements
• Coordination and Mobility Management
– Have to be in a local coordination plan to receive certain types of FTA funds
414
![Page 415: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/415.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT Program and Service Requirements
• Operating Invoices
– The first three quarterly reconciliation invoices must be emailed to ODOT by the 15th of the month following the end of the quarter Reimbursement
– The 4th quarter invoice is due by February 28 of the following year
415
![Page 416: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/416.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT Program and Service Requirements
• Capital invoices
– Capital invoices for items contained in the Rural Transit System’s annual application may be submitted anytime after the purchase is made
• Must be accompanied by the required documentation (purchase receipt)
• Exception: Vehicle invoices may be submitted with a copy of the purchase order 30 days prior to anticipated vehicle delivery
416
![Page 417: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/417.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT Program and Service Requirements
• Quarterly Operating Data
– The quarterly operating data and performance measures report is due with the quarterly reconciliation invoice
417
![Page 418: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/418.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT Miscellaneous Contract Requirements
418
![Page 419: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/419.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT Miscellaneous Contract Requirements
• Transit Systems Must Purchase and Maintain Insurance Throughout the Project Life– Comprehensive policy of insurance upon the
project must include collision, theft, and liability insurance.
– Collision and theft insurance shall be maintained for the project equipment in an amount no less than the federal and state participation rate of the fair market value
– Specific threshold amounts required and can only be waived by ODOT
419
![Page 420: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/420.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT Miscellaneous Contract Requirements
• Insurance, Cont’d
– Minimum unless waived by ODOT, insurance requirements are
• $500,000 per occurrence and $500,000 in aggregate
• $100,000 for bodily injury to or death of any one person arising out of any one accident, and the sum of not less than $300,000 for bodily injury to or death of one or more person in any one accident
• $50,000 for damage to property arising from any one accident
420
![Page 421: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/421.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT Miscellaneous Contract Requirements
• Transit Driver Requirements
– Must be 18 years of age or older
– Have a valid Ohio driver’s license or equivalent
– Driver’s abstract may have no more than six points
– Receive required ODOT training (PAT, bloodborne pathogens, drug and alcohol, etc.)
421
![Page 422: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/422.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT Miscellaneous Contract Requirements
• Inventory
– Inventories of Vehicle, Office, and Garage Equipment Must be Developed, Maintained, and Submitted to ODOT Annually
• Purchase price of $5,000 or greater (excluding computer and radio equipment
• Useful life of at least one year
• Must be inventoriable (i.e., not a consumable such as fuel or lubricants)
422
![Page 423: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/423.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
ODOT Miscellaneous Contract Requirements
• Budget Revisions/Contract Amendments– Budget revisions are necessary when any line item
is 10% greater than what was included in the original application budget (revisions must be within the total budget originally approved)
– Operating Amendment requests for additional funding can be submitted any time but will not considered until a final December invoice is received
– Capital amendment requests can be submitted at any time and must adequately justify the reason for the amendment
423
![Page 424: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/424.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
WHO CAN BE A RURAL TRANSIT SYSTEM IN OHIO
424
![Page 425: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/425.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Who Can Be a Rural Transit System in Ohio
• Per ORC 306, Rural Transit System Governing Boards May Be RTAs, County Transit Boards, Counties, Municipalities, Villages, and 501(c)(3) organizations [that are “Designated Grantees”]
425
![Page 426: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/426.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Who Can Be a Rural Transit System in Ohio
• Unlike its counterparts, 501(c)(3) boards cannot be a direct grantee of Section 5311 funding unless it has been selected as part of ODOT’s Designated Grantee Selection Process
• This process was established for eligible applicants desiring Rural Transit service for their communities, but not wishing to be the grantee
• In these situations, a private nonprofit organization can be designated as grantee of the Rural Transit funding
426
![Page 427: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/427.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Who Can Be a Rural Transit System in Ohio
• Requires action of the local eligible applicant (typically the County or City) in which service will be operated
– Designation is for three years
– Requires a public hearing and financial review of interested, prospective designees
– Once conducted, can be re-affirmed
– Can be revoked at any time by the eligible applicant
427
![Page 428: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/428.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
COMMON FINDINGS
FROM TAR COMPLIANCE REVIEWS
428
![Page 429: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/429.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Common Findings From TAR Compliance Reviews
• Sixteen (16) TARs were performed during SFY2013 – SFY2015.
• The Most Common Areas of Non-Compliance (from most frequent to least frequent)were:– Human Resource Management– Service Delivery – System Safety, Security and Vehicle Reliability– Fleet Management– Financial Management– Regulatory Compliance– Facility Maintenance– Administration and Planning
429
![Page 430: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/430.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Patterns of TAR Findings
• Financial Management
– Lack of farebox collection and reconciliation procedures
• Human Resource Management
– Lack of training documentation
– Incomplete or missing policies for conducting background checks
• Procurement
– Lack of a fully compliant procurement policy
430
![Page 431: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/431.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Patterns of TAR Findings
• Service Delivery– Lack of documentation of trip denials,
turndowns, refusals
– Lack of analysis of unmet needs
– Brochures incomplete and/or out of date
• Fleet Management– No formal preventive maintenance plan
– Failure to follow the plan
– Lack of documentation of lift maintenance performed by a lift-certified mechanic
431
![Page 432: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/432.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Patterns of TAR Findings
• System Safety, Security, and Vehicle Reliability
– Lack of documentation of annual review of the exposure control plan
– Fire extinguisher inspections out-of-date
432
![Page 433: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/433.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Patterns of TAR Findings
• Regulatory Compliance
– Lack of ADA-compliant language in system brochures
– Failure to announce transit stops
– Lack of ADA complementary paratransit plan
– Incorrectly requiring passengers to travel with a PCA
433
![Page 434: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/434.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
COMMON FINDINGS
FROM RURAL TRANSIT COMPLIANCE REVIEWS
IN OTHER STATES
434
![Page 435: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/435.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Common Compliance Findings -Other States
435
![Page 436: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/436.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Common Compliance Findings -Other States
• Most Common Findings From Other States, 20 Compliance Reviews– ADA (68 findings)
• Complementary paratransit
• Nondiscrimination practices
• Incorrect or no record of trip denials
– Financial Management (54 findings)• Failure to monitor/compare budgeted amounts to
actual expenses
• Insufficient documentation of costs
• Insufficient general accounting practices
• No approved indirect cost allocation plan
436
![Page 437: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/437.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Common Compliance Findings -Other States
• Most Common Findings, Cont’d– Use and maintenance of project equipment
and facilities (49 findings)• Excessive early or late performance of vehicle
preventive maintenance
• No facility maintenance plan
• Out of date or insufficient vehicle inventory listing
– Procurement (46 findings)• Third party contracting capacity
• Failure to address all of the FTA required provisions
• Missing or out of date policies
437
![Page 438: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/438.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Common Compliance Findings -Other States
• Most Common Findings, Cont’d
– Civil Rights (34 findings)
• Title VI – Failure to submit updated Title VI Program
• LEP – Failure to perform four factor analysis
• DBE – Failure to conduct review of contracting opportunities
438
![Page 439: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/439.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Common Compliance Findings -Other States
• Most Common Findings, Cont’d
– Operations Management (27 findings)
• Separation of functions, e.g., fare counting
• Missing or incomplete policies and procedures
439
![Page 440: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/440.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
RESOURCES AND REFERENCES
440
![Page 441: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/441.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Resources and References
• Federal Transit Administration website
– http://www.fta.dot.gov/
• Code of Federal Regulations
– 2 CFR Part 200
441
![Page 442: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/442.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Resources and References
• FTA Circulars– http://www.fta.dot.gov/13716.html– 9040.1G, Nonurbanized Area Formula Program
Guidance and Grant Application Instructions (Section 5311)
– 5010.1D, Grants Management Requirements– 4220.1F, Third Party Contracting and Procurement– 4702.1B, Title VI Requirements and Guidelines for
Federal Transit Administration Recipients– 4703.1 Environmental Review/Civil Rights –
Environmental Justice Policy Guidance For Federal Transit Administration Recipients
442
![Page 443: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/443.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Resources and References
• ADA Service Requirements: US Department of Transportation Federal Transit Administration - ADA Regulations
– http://www.fta.dot.gov/civilrights/12325.html
• Facility Maintenance Requirement: US Department of Transportation Federal Transit Administration
– http://www.fta.dot.gov/legislation_law/13718.html
443
![Page 444: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/444.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Resources and References
• NTD Transit Database Glossary: Transit Terminology Definitions:
– http://www.ntdprogram.gov/ntdprogram/Glossary.html
• Title VI Circular: Listing of Links to Title VI Documents and Training Materials:
– http://www.fta.dot.gov/civilrights/12328.html
444
![Page 445: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/445.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Resources and References
• Ohio Revised Code
• ODOT Office of Transit website– http://www.dot.state.oh.us/divisions/Planning
/transit/Pages/default.aspx
• ODOT Rural Transit Program– http://www.dot.state.oh.us/Divisions/Plannin
g/Transit/Pages/Rural.aspx
• ODOT Rural Transit Manual– http://www.dot.state.oh.us/Divisions/Plannin
g/Transit/Pages/RuralTransitManual.aspx
445
![Page 446: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/446.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Resources and References
• ODOT Rural Transit Requirements– http://www.dot.state.oh.us/Divisions/Planning/Tr
ansit/Documents/Rural%20Transit%20Manual/Rural%20Transit%20Manual%20Revised%202012/Rural%20Transit%20Requirements%2010-23-12%20CH-%20FINAL.pdf
• ODOT Technical Assistance Reviews (TARs)– http://www.dot.state.oh.us/Divisions/Planning/Tr
ansit/Pages/TAR.aspx
• TAR Questions 2012– On ODOT website
446
![Page 447: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/447.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Resources and References
• Charter Service Guidance: Charter Manual:
– http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/Publications.aspx
• ODOT Guide to Compliance with Interstate Passenger Transportation Regulations
– http://www.dot.state.oh.us/Divisions/Planning/Transit/Documents/Programs/Federal%20Compliance/FMCSA%20Final%20Manual-7-03.pdf
447
![Page 448: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/448.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Resources and References
• Facility Maintenance Requirements: ODOT Guidance, Tools, and Templates: – http://www.dot.state.oh.us/Divisions/Plannin
g/Transit/Pages/RuralTransitManual2012.aspx
and– http://www.dot.state.oh.us/Divisions/Plannin
g/Transit/Documents/Rural%20Transit%20Manual/Rural%20Transit%20Manual%20Revised%202012/Sample%20Facility%20Maintenance%20Plan.pdf
448
![Page 449: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/449.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Resources and References
• Calculating Fully Allocated Cost – RLS Cost Allocation Spreadsheet: – http://www.dot.state.oh.us/Divisions/Planning/Tr
ansit/Pages/Rural.aspx
• Operating Data Instructions: – http://www.dot.state.oh.us/Divisions/Planning/Tr
ansit/Pages/Rural.aspx in the Rural Invoice Training Material section.
• ODOT Transit Policies and Procedures – 5310 and 5311 Policy and Procedure Manual: – http://www.dot.state.oh.us/Divisions/Planning/Tr
ansit/Pages/Rural.aspx
449
![Page 450: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/450.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Resources and References
• Preventative Maintenance: Vehicle Guide to Preventative Maintenance:
– http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/Publications.aspx
• Procurement: Process to Secure Scheduling and Dispatch Software and Hardware:
– http://www.dot.state.oh.us/Divisions/Planning/Transit/Pages/RuralTransitManual2012.aspx
• Ohio Ethics Commission
– http://ethics.ohio.gov/education/overview.shtml
450
![Page 451: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/451.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Resources and References
• Training Tools:
– ODOT CBT
– Transit 101 Modules
– Topic Specific Training
• Drug & Alcohol
• Title VI
• DBE
• ADA
• Other
451
![Page 452: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/452.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Summary
• You Are Responsible for Compliance with All Applicable Federal, State, and Local Requirements
• Use the Resources Available– Federal circulars– ODOT Rural Manual, Rural Transit Requirements– ODOT-sponsored training (Ohio Transit
Management Academy, CBT, Topic specific training, etc.)
– Conferences and other events
• Stay in Close Contact With ODOT and your Rural Transit Representative
452
![Page 453: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/453.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Module 5 Conclusion
• Are You Ready To Be an Even Better Manager of Your Public Transit System and Actively Work to Be in Regulatory Compliance?
• Complete the “After” Portion of the Knowledge and Skills Evaluation Survey, and Turn in the Full “Before”/”After” Completed Survey– Where did you improve?
– Where should you focus your efforts?
453
![Page 454: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/454.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Module 5 Conclusion
• Complete and Turn in the Course Evaluation Before You Leave
• Trade Business Cards, Phone Numbers and Emails With Your Peers
454
![Page 455: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/455.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
Homework Assignment
• Prepare your transit manager and transit system action plans that show how you and your system will acknowledge and reinforce strengths and addresses corrective actions for weaknesses
• Blank action plans have been emailed to you
• Submit the filled out Module 5 action plans by August 17th via e-mail to: Rich Schultze, [email protected]
455
![Page 456: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/456.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
The Last Module
• This is the last module of the 5-module Ohio Transit Management Academy.
• Please make sure that you complete ODOT’s on-line CBT for rural transit.
• After the due date for submitting the action plans, you will be notified if there are any requirements that still need to be fulfilled to obtain the Academy Certificate.
• Thanks very much for your attendance and participation.
456
![Page 457: Regulatory Compliance - Ohio Department of Transportation · Regulatory Compliance •ODOT is Responsible for Monitoring and Ensuring that the Transit Systems Comply with the FTA](https://reader031.vdocuments.site/reader031/viewer/2022040412/5f0816ce7e708231d42047ca/html5/thumbnails/457.jpg)
Ohio Transit Management Academy
M
o
d
u
l
e
5
THANK YOU!
• Instructor contact information:– Richard Garrity, RLS & Associates, Inc.
[email protected] 937-299-5007
– Sean Oswald, RLS & Associates, Inc.
[email protected] 937-299-5007
457