NMDOT TECHNICAL ASSISTANCE and ON-SITE REVIEW CHECKLIST

Transcription

1 NMDOT TECHNICAL ASSISTANCE and ON-SITE REVIEW CHECKLIST Issues to be Discussed with NMDOT Section 5310 Subgrantees Effective February 2008 Revised June 2008 Revised Sept New Mexico Department of Transportation Transit and Rail Division

2 TABLE OF CONTENTS A. Administration...3 B. Compliance with Federal Requirements...4 C. Policies and Procedures...7 D. Personnel...9 E. Training...10 F. Passenger Standards...12 G. Vehicles...13 H. Inspection and Maintenance...14 I. Safety...17 Page 2 of 18

3 A. Administration 1. Does the agency have a formal structure which defines transportation management responsibilities? 2. Is the relationship between management and employees effective and open to communication on transportation issues? Page 3 of 18

4 B. Compliance with Federal Requirements 1. a. Is the agency following its established procurement procedures? (Examine purchasing manual and sample procurement file) b. If the agency is a private, non-profit, did they submit a copy of their procurement procedures to Transit & Rail Division? 2. Does the agency have policies that ensure compliance with Title VI of the Civil Rights Act of 1964 in the services it provides (prohibiting race, color and national origin discrimination, and including language access for limited English proficient persons)? 3. Has the agency included in its customer information pieces language referencing Title VI compliance (no discrimination on the basis of race, color, national origin; who to contact for more information; who to contact to submit a complaint)? 4. Does the agency have policies that ensure compliance with federal Equal Employment Opportunity (EEO) laws (which prohibit employment discrimination based on race, color, national origin, religion, sex, age or disability)? 5. Does the transit agency operate any charter services? 6. If charter services are provided, are those services compliant with the new Charter Rule? Page 4 of 18

5 7. If charter services are provided, was approval requested and received from Transit & Rail Division? 8. If charter services were provided, was federal reporting information provided to Transit & Rail Division? 9. Does the transit agency operate any school bus transportation or tripper service? 10. Does the agency meet the federal requirements of FTA C F, Chap. VIII, Sec. 17 regarding school transportation? 11. Does the agency have policies in place to comply with FTA C F, Chap. VIII, Sec. 11 regarding Drug and Alcohol Testing for employees who hold Commercial Driver s Licenses? (Review policies) 12. Financial Capacity: Did the agency have any transit-related findings in its most current single audit? If yes, did the agency resolve it yet? If yes, what was the resolution and was it provided to Transit and Rail Division? Page 5 of 18

6 13. The agency must comply with the policy of DOT that DBEs, as defined in 49 CFR Part 26, are ensured nondiscrimination in the award and administration of DOT-assisted contracts. The agency must also create a level playing field on which DBEs can compete fairly for DOT-assisted contracts; ensure that only firms that fully meet eligibility standards are permitted to participate as DBEs; help remove barriers to the participation of DBEs; and assist the development of firms that can compete successfully in the marketplace outside the DBE program. Does your agency have information documenting that your agency is in compliance with this federal requirement (must see and review documentation)? 14. Per Federal Register: December 14, 2005 (Volume 70, Number 239, pp ) DOT Policy Guidance Concerning Recipients Responsibilities to Limited English Proficiency (LEP) Persons, has your agency taken responsible steps to ensure meaningful access to the benefits, services, information, and other important portions of their programs and activities for individuals who are limited English proficient (LEP)? Does your agency have information documenting that your agency is in compliance with this federal requirement (must see and review documentation) (must have completed LEP Assessment form and plan if assessment indicates need)? Page 6 of 18

7 C. Policies and Procedures 1. Has the agency had any significant problems concerning the issue of ADA compliance in its operation? 2. Does the agency have any policies or procedures which could be cause for ADA non-compliance or charges of discriminatory action, particularly in regard to fares or fees for services, the availability of service, service denial, or the provision of appropriate equipment to transport all passengers? 3. Is the agency aware of how and where to obtain timely information on ADA compliance requirements? 4. Does the agency ADA policy define an ADA client as defined in TITLE 49, PART 37 (Transportation Services for Individuals with Disabilities), Sec (e)? 5. Does the agency formally document its transportation policies? Page 7 of 18

8 6. Have its transportation policies been distributed to all employees and a record of signatures for receipt of the policies obtained? Page 8 of 18

9 D. Personnel 1. Are periodic driver license checks conducted on any employee driving an agency vehicle? 2. Does the agency perform behind-the-wheel evaluations on drivers to appraise driving skills, and if so, are these evaluations documented? Page 9 of 18

10 E. Training 1. Are training records complete and comprehensive for all training and do they include documentation of topics covered, dates and times of training delivery, and signatures of both trainer and trainee verifying that the training took place? 2. Are all safety-sensitive employees provided a hands-on orientation of every agency vehicle prototype they may be asked to operate and is this orientation formally documented? 3. Are all drivers given specific training on how to perform pre-trip inspections? 4. Is bio-hazard training provided to all drivers and/or personnel charged with cleaning bus interiors and is this training documented? 5. Does the agency provide behind-the-wheel training for all drivers and is this training documented? Page 10 of 18

11 6. Are all drivers trained on defensive driving and is that training documented? 7. Are all drivers trained on passenger assistance and is that training documented? 8. Are all employees trained on emergency procedures and is that training documented? 9. Are all drivers trained on CPR and First Aid and is that certification kept active and documented? Page 11 of 18

12 F. Passenger Standards 1. Is there a formal system to document customer complaints? 2. Does the agency have a policy that covers the transportation and storage of passenger portable oxygen tanks? 3. Does the agency have a policy allowing and controlling service animals on vehicles? 4. Does the agency have a policy that designates how passenger injuries and medical emergencies are to be handled? 5. Are passengers mandated to wear a seat belt at all times when riding an agency vehicle? 6. If yes, is this seat belt policy monitored and enforced? Page 12 of 18

13 G. Vehicles 1. Whether self-insured, insured as part of a consortium, or insured through the purchase of individual system coverage, is the agency satisfied with its existing insurance coverage? 2. Has the agency seen a recent increase in insurance costs? 3. Is each vehicle equipped with basic safety equipment that includes web cutter, fire extinguisher, first aid kit, biohazard kit, and triangles? 4. Does the agency have a procedure that ensures that all vehicles are kept clean inside and out? Page 13 of 18

14 H. Inspection and Maintenance 1. Is the maintenance function monitored to ensure vehicles are regularly inspected and maintained in accordance with agency standards and with bus manufacturer s recommendations and requirements? 2. Does each vehicle have an identified preventive maintenance schedule at least as aggressive as the one provided by the vehicle vendor? 3. Does the agency use a Preventive Maintenance Checklist form? 4. Does the agency use a Vehicle Defect or Corrective Maintenance form to report problems with vehicles? 5. If a vehicle defect form is used, is it filled out by the driver when a problem occurs? Page 14 of 18

15 6. Is this vehicle defect form also used to document maintenance activity performed to correct the reported defect? 7. Is there a process for how to formally determine if a vehicle should be pulled out of service when a driver reports a safety related defect? 8. Does the agency have a standardized pre-trip inspection form to be filled out by drivers when doing a vehicle inspection and are those forms kept on file? 9. Are tires inspected on a daily basis for worthiness? 10. Are wheelchair lifts cycled and tested as a part of the driver pre-trip inspection? 11. Is wheelchair lift maintenance performed by a trained and certified lift mechanic? Page 15 of 18

16 12. Is a recording and tracking system used to manage individual vehicle maintenance activity and to schedule, by date or mileage, inspections, preventive maintenance, and lubrication intervals? 13. Are separate and individual hard copy vehicle maintenance files kept for each agency vehicle which includes that vehicle s maintenance schedule and records of all preventive and defect/corrective maintenance? Page 16 of 18

17 I. Safety 1. Are drivers mandated to wear a seat belt at all times when operating an agency vehicle? 2. Is the driver seat belt use policy monitored and enforced? 3. Does the agency hold periodic safety meetings that cover critical safety issues? 4. If safety meetings are held, are agendas and content of meeting recorded and kept on file and is attendance at these meetings documented through a sign-in roster? 5. Does the agency have specific procedures and guidelines for drivers to follow in the event of an onvehicle fire, and have these procedures been formally communicated to drivers? 6. Does the agency have specific procedures and guidelines for drivers to follow after an agency vehicle accident, and have these procedures been formally communicated to drivers? Page 17 of 18

18 7. Does the agency have specific procedures and guidelines for drivers to follow after a passenger incident on an agency vehicle, and have these procedures been formally communicated to drivers? 8. Are all accident records kept in a single accident file, including the accident report form, law enforcement reports and other accompanying documentation? Page 18 of 18