1. CONTRACTOR OVERSIGHT STAYING EFFICIENT AND EFFECTIVE FTA NATIONAL CONFERENCE - SACRAMENTO 2016

2. PRESENTERS Lori Jones - King County Metro - Seattle, WA George Gilpatrick – Cahill Swift - Boston, MA

3. OVERSIGHT FUNDAMENTALS

4. COMPLIANCE REQUIREMENTS Contractor and vendor oversight is a stated requirement for federal funding Subpart I - §655.81 Grantee oversight responsibility. A recipient shall ensure that a subrecipient or contractor who receives 49 U.S.C. 5307, 5309, or 5311 funds directly from the recipient complies with this part.

5. WHERE TO START Who are your contractors? Where are they? Who is your point-of-contact?

6. ARE THEY COVERED? What do they do?

7. ARE THEY COVERED? Ensure that D&A oversight is required Some maintenance is excluded Some services thought to be exempt should actually be included If an entity “stands in the shoes” of the transit system, they are most likely covered

8. THE LAYOUT Point of Contact Who is in charge at the contractor? Do they report to you? Do they report to other grantees?

9. GAUGE YOUR PLAN WHAT LEVEL OF OVERSIGHT IS NEEDED? What do you need to examine? How will you do this? How often will you do this?

10. DESIGNING YOUR OVERSIGHT MODEL START WITH THE BASICS In-Person meeting is the best first step Contractors are often overwhelmed Grantee and Contractor are partners in D&A Program What is already in place?

11. DESIGNING YOUR OVERSIGHT MODEL START WITH THE BASICS Is there a policy? Is there a collection site?

12. DESIGNING YOUR OVERSIGHT MODEL START WITH THE BASICS Does the DER understand how to conduct random testing? Files / filing system set up properly? Who gets training and what does it cover? Employees? Supervisors?

13. DESIGNING YOUR OVERSIGHT MODEL MOVE TO THE SPECIFICS Look at all of contractor’s forms Do they understand post-accident and reasonable suspicion testing? What are their hours of operation? Do they have records storage and filing plans?

14. MOST COMMON OVERSIGHT FLAWS Overly Burdensome Requirements Extensive duplication of records Hands-Off / Uninvolved “No news must be good news”

15. APPROPRIATE OVERSIGHT Be strategic in what you ask for Make sure it provides a good understanding of the program Contractors will likely differ in their oversight needs

16. SPECIFIC ITEM FOR REVIEW / OVERSIGHT Strategic Selection

17. DEPTH & INDICATORS: RANDOM Selection list Notification form Excusals CCF ATF MRO result Corrective affidavits

18. RANDOM STRATEGIC QUESTIONS: What is the earliest test conducted? What is the latest test conducted? Any weekend or holiday tests? Ask for notification form

19. PRE-EMPLOYMENT Strategic selection of records: Application Offer Letter Previous Employer Records Requests Health Assessment Pre-Employment test notification CCF MRO Results Training start date Safety-sensitive start date

20. POST-ACCIDENT Post-Accident Testing Determination Form Supervisor Training Accident report Dispatch logs and reports CCF ATF MRO result

21. REASONABLE SUSPICION Supervisor training rosters Determination form Notification / order for testing Supervisor’s report CCF ATF MRO report Disciplinary report Arbitration or grievances

22. RETURN TO DUTY Initial positive CCF / ATF MRO report SAP referral Evaluation Treatment 2 nd Evaluation SAP letter RTD CCF / ATF MRO result RTD agreement - D.O. indicated in Step 2?

23. FOLLOW-UP SAP plan Inclusion in random pool Notification form CCF(s) / ATF(s) MRO result Testing checklist Calendar of scheduled tests - D.O. indicated in Step 2?

24. CONTRACTOR’S COLLECTION SITE Sample of completed CCFs / ATFs Training documents Instrument calibration logs QAP CCF inventory Client protocols Shy-bladder logs Measurable water supply Same-gender observer Compliant intake process Secure enclosure / facility

25. MRO Medical school diploma Board certification Accredited certifier for MRO qualification 49 CFR Part 40 Reporting and call logs Downgrade data and/or logs Laboratory interface method Results form Description of verification process - Expiration date?

26. ADJUSTING YOUR PLAN As contractors improve, scaling back may be desirable New contractors may need increased oversight initially Changes in personnel may also require adjustments Changes in service may require updates to the plan

27. SHIFTING THE OVERSIGHT PLAN On-site regularly Audits of files Mock-collections Vendor interviews Training monitoring TPA examination Annual visit Strategic reporting Review of records / contractor visit Sampling of forms Rosters of attendees MIS review

28. SHIFTING THE OVERSIGHT PLAN Some areas may need increased oversight over time Some areas become lower-risk Is a sign of good management, not program failure

29. PARTNERS IN SAFETY Contractor Performance = Grantee Performance Public Safety is ALWAYS the ultimate goal Help is always available

30. THANK YOU