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

Steps to Initiate a PIE
1. The noncompliance issue is brought to the attention of the Office of
Drug and Alcohol Policy and Compliance (ODAPC) or the drug and
alcohol program manager of a DOT agency. Employers covered under
the FTA regulations should contact Mark Snider, Office of Safety and
Security at (202) 366-2896.
2. The DOT agency will conduct fact-finding to determine the extent and
nature of the noncompliance issue. Information will be obtained from
credible sources and the service agent will be contacted to obtain
relevant information.
3. If the situation warrants, the initiating official will send a correction
notice to the service agent identifying the specific areas that must be
corrected to avoid a PIE proceeding.
4. If the service agent does not make and document changes within 60
days of the notice, the initiating official will start a PIE proceeding by
sending the service agent a Notice of Proposed Exclusion (NOPE). The
NOPE will state the factual basis for initiating the PIE and the initiating
officials recommendation for the scope and duration of the PIE.
5. The information presented in the NOPE will be provided to the ODAPC
Director or his/her designee for consideration when determining
whether to issue a PIE. The service agent may contest the proposed PIE
within 30 days of receipt of the NOPE. The burden of proof is on the
initiating official to demonstrate (by a preponderance of the evidence)
that the service agent is in serious noncompliance with the regulations.
The PIE proceedings will be conducted in a fair and informal manner.
6. Based on the information provided, the ODAPC Director or his/her
designee will determine if a PIE is warranted, its scope and duration.
The determination will be made within 60 days of the date of record
completion. The service agent will receive written notice of the PIE.
Section 3. CONTRACTOR
OVERSIGHT
As the FTA grantee/subrecipient, you
are fully responsible for the compliance of
your system with the drug and alcohol
testing regulations, including your
contractors who perform safety-sensitive job
functions. While maintenance contractors
for FTA recipients of Section 5309 and 5307
funding that serve a population of 200,000
or less (as delineated by the FTA
apportionment definition) and Section 5311
rural funding recipients are exempt, all
others must meet the same standard of
compliance as the grantee/subrecipients
themselves.
Therefore, you must oversee your
contractors to ensure compliance and certify
their compliance to FTA as part of your
annual compliance certification.
You should not assume that your
contractors are knowledgeable of the
regulatory requirements or that they have
compliant policies or programs. Even
though the regulation does not specify the
nature or extent of your oversight duties, it
is your responsibility to take whatever
actions are necessary to ensure their
Chapter 12. Program Monitoring 12-4 August 2002