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342 rows where agency = "FTA" sorted by section_id
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| section_id ▼ | title_number | title_name | chapter | subchapter | part_number | part_name | subpart | subpart_name | section_number | section_heading | agency | authority | source_citation | amendment_citations | full_text |
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| 49:49:7.1.2.1.10.1.1.1 | 49 | Transportation | VI | 625 | PART 625—TRANSIT ASSET MANAGEMENT | A | Subpart A—General Provisions | § 625.1 Purpose. | FTA | This part carries out the mandate of 49 U.S.C. 5326 for transit asset management. This part establishes a National Transit Asset Management (TAM) System to monitor and manage public transportation capital assets to enhance safety, reduce maintenance costs, increase reliability, and improve performance. | |||||
| 49:49:7.1.2.1.10.1.1.2 | 49 | Transportation | VI | 625 | PART 625—TRANSIT ASSET MANAGEMENT | A | Subpart A—General Provisions | § 625.3 Applicability. | FTA | This part applies to all recipients and subrecipients of Federal financial assistance under 49 U.S.C. Chapter 53 that own, operate, or manage capital assets used for providing public transportation. | |||||
| 49:49:7.1.2.1.10.1.1.3 | 49 | Transportation | VI | 625 | PART 625—TRANSIT ASSET MANAGEMENT | A | Subpart A—General Provisions | § 625.5 Definitions. | FTA | All terms defined in 49 U.S.C. Chapter 53 are incorporated into this part by reference. The following terms also apply to this part: Accountable Executive means a single, identifiable person who has ultimate responsibility for carrying out the safety management system of a public transportation agency; responsibility for carrying out transit asset management practices; and control or direction over the human and capital resources needed to develop and maintain both the agency's public transportation agency safety plan, in accordance with 49 U.S.C. 5329(d), and the agency's transit asset management plan in accordance with 49 U.S.C. 5326. Asset category means a grouping of asset classes, including a grouping of equipment, a grouping of rolling stock, a grouping of infrastructure, and a grouping of facilities. See Appendix A to this part. Asset class means a subgroup of capital assets within an asset category. For example, buses, trolleys, and cutaway vans are all asset classes within the rolling stock asset category. See Appendix A to this part. Asset inventory means a register of capital assets, and information about those assets. Capital asset means a unit of rolling stock, a facility, a unit of equipment, or an element of infrastructure used for providing public transportation. Decision support tool means an analytic process or methodology: (1) To help prioritize projects to improve and maintain the state of good repair of capital assets within a public transportation system, based on available condition data and objective criteria; or (2) To assess financial needs for asset investments over time. Direct recipient means an entity that receives Federal financial assistance directly from the Federal Transit Administration. Equipment means an article of nonexpendable, tangible property having a useful life of at least one year. Exclusive-use maintenance facility means a maintenance facility that is not commercial and either owned by a transit provider or used for servicing their vehicles. Facil… | |||||
| 49:49:7.1.2.1.10.2.1.1 | 49 | Transportation | VI | 625 | PART 625—TRANSIT ASSET MANAGEMENT | B | Subpart B—National Transit Asset Management System | § 625.15 Elements of the National Transit Asset Management System. | FTA | The National TAM System includes the following elements: (a) The definition of state of good repair, which includes objective standards for measuring the condition of capital assets, in accordance with subpart D of this part; (b) Performance measures for capital assets and a requirement that a provider and a group TAM plan sponsor establish performance targets for improving the condition of capital assets, in accordance with subpart D of this part; (c) A requirement that a provider develop and carry out a TAM plan, in accordance with subpart C of this part, (d) Reporting requirements in accordance with subpart E of this part; and (e) Analytical processes and decision support tools developed or recommended by FTA. | |||||
| 49:49:7.1.2.1.10.2.1.2 | 49 | Transportation | VI | 625 | PART 625—TRANSIT ASSET MANAGEMENT | B | Subpart B—National Transit Asset Management System | § 625.17 State of good repair principles. | FTA | (a) A capital asset is in a state of good repair if it is in a condition sufficient for the asset to operate at a full level of performance. In determining whether a capital asset is in a state of good repair, a provider must consider the state of good repair standards under subpart D of this part. (b) An individual capital asset may operate at a full level of performance regardless of whether or not other capital assets within a public transportation system are in a state of good repair. (c) A provider's Accountable Executive must balance transit asset management, safety, day-to-day operations, and expansion needs in approving and carrying out a TAM plan and a public transportation agency safety plan. | |||||
| 49:49:7.1.2.1.10.3.1.1 | 49 | Transportation | VI | 625 | PART 625—TRANSIT ASSET MANAGEMENT | C | Subpart C—Transit Asset Management Plans | § 625.25 Transit Asset Management Plan requirements. | FTA | (a) General. (1) Each tier I provider must develop and carry out a TAM plan that includes each element under paragraph (b) of this section. (2) Each tier II provider must develop its own TAM plan or participate in a group TAM plan. A tier II provider's TAM plan and a group TAM plan only must include elements under paragraphs (b)(1) through (4) of this section. (3) A provider's Accountable Executive is ultimately responsible for ensuring that a TAM plan is developed and carried out in accordance with this part. (b) Transit asset management plan elements. Except as provided in paragraph (a)(3) of this section, a TAM plan must include the following elements: (1) An inventory of the number and type of capital assets. The inventory must include all capital assets that a provider owns, except equipment with an acquisition value under $50,000 that is not a service vehicle. An inventory also must include third-party owned or jointly procured exclusive-use maintenance facilities, passenger station facilities, administrative facilities, rolling stock, and guideway infrastructure used by a provider in the provision of public transportation. The asset inventory must be organized at a level of detail commensurate with the level of detail in the provider's program of capital projects; (2) A condition assessment of those inventoried assets for which a provider has direct capital responsibility. A condition assessment must generate information in a level of detail sufficient to monitor and predict the performance of the assets and to inform the investment prioritization; (3) A description of analytical processes or decision-support tools that a provider uses to estimate capital investment needs over time and develop its investment prioritization; (4) A provider's project-based prioritization of investments, developed in accordance with § 625.33 of this part; (5) A provider's TAM and SGR policy; (6) A provider's TAM plan implementation strategy; (7) A description of key TAM activities that a provider intends to enga… | |||||
| 49:49:7.1.2.1.10.3.1.2 | 49 | Transportation | VI | 625 | PART 625—TRANSIT ASSET MANAGEMENT | C | Subpart C—Transit Asset Management Plans | § 625.27 Group plans for transit asset management. | FTA | (a) Responsibilities of a group TAM plan sponsor. (1) A sponsor must develop a group TAM plan for its tier II provider subrecipients, except those subrecipients that are also direct recipients under the 49 U.S.C. 5307 Urbanized Area Formula Grant Program. The group TAM plan must include a list of those subrecipients that are participating in the plan. (2) A sponsor must comply with the requirements of this part for a TAM plan when developing a group TAM plan. (3) A sponsor must coordinate the development of a group TAM plan with each participant's Accountable Executive. (4) A sponsor must make the completed group TAM plan available to all participants in a format that is easily accessible. (b) Responsibilities of a group TAM plan participant. (1) A tier II provider may participate in only one group TAM plan. (2) A tier II provider must provide written notification to a sponsor if it chooses to opt-out of a group TAM plan. A provider that opts-out of a group TAM plan must either develop its own TAM plan or participate in another sponsor's group TAM plan. (3) A participant must provide a sponsor with any information that is necessary and relevant to the development of a group TAM plan. | |||||
| 49:49:7.1.2.1.10.3.1.3 | 49 | Transportation | VI | 625 | PART 625—TRANSIT ASSET MANAGEMENT | C | Subpart C—Transit Asset Management Plans | § 625.29 Transit asset management plan: horizon period, amendments, and updates. | FTA | (a) Horizon period. A TAM plan must cover a horizon period of at least four (4) years. (b) Amendments. A provider may update its TAM plan at any time during the TAM plan horizon period. A provider should amend its TAM plan whenever there is a significant change to the asset inventory, condition assessments, or investment prioritization that the provider did not reasonably anticipate during the development of the TAM plan. (c) Updates. A provider must update its entire TAM plan at least once every four (4) years. A provider's TAM plan update should coincide with the planning cycle for the relevant Transportation Improvement Program or Statewide Transportation Improvement Program. | |||||
| 49:49:7.1.2.1.10.3.1.4 | 49 | Transportation | VI | 625 | PART 625—TRANSIT ASSET MANAGEMENT | C | Subpart C—Transit Asset Management Plans | § 625.31 [Reserved] | FTA | ||||||
| 49:49:7.1.2.1.10.3.1.5 | 49 | Transportation | VI | 625 | PART 625—TRANSIT ASSET MANAGEMENT | C | Subpart C—Transit Asset Management Plans | § 625.33 Investment prioritization. | FTA | (a) A TAM plan must include an investment prioritization that identifies a provider's programs and projects to improve or manage over the TAM plan horizon period the state of good repair of capital assets for which the provider has direct capital responsibility. (b) A provider must rank projects to improve or manage the state of good repair of capital assets in order of priority and anticipated project year. (c) A provider's project rankings must be consistent with its TAM policy and strategies. (d) When developing an investment prioritization, a provider must give due consideration to those state of good repair projects to improve that pose an identified unacceptable safety risk when developing its investment prioritization. (e) When developing an investment prioritization, a provider must take into consideration its estimation of funding levels from all available sources that it reasonably expects will be available in each fiscal year during the TAM plan horizon period. (f) When developing its investment prioritization, a provider must take into consideration requirements under 49 CFR 37.161 and 37.163 concerning maintenance of accessible features and the requirements under 49 CFR 37.43 concerning alteration of transportation facilities. | |||||
| 49:49:7.1.2.1.10.4.1.1 | 49 | Transportation | VI | 625 | PART 625—TRANSIT ASSET MANAGEMENT | D | Subpart D—Performance Management | § 625.41 Standards for measuring the condition of capital assets. | FTA | A capital asset is in a state of good repair if it meets the following objective standards— (a) The capital asset is able to perform its designed function; (b) The use of the asset in its current condition does not pose an identified unacceptable safety risk; and (c) The life-cycle investment needs of the asset have been met or recovered, including all scheduled maintenance, rehabilitation, and replacements. | |||||
| 49:49:7.1.2.1.10.4.1.2 | 49 | Transportation | VI | 625 | PART 625—TRANSIT ASSET MANAGEMENT | D | Subpart D—Performance Management | § 625.43 SGR performance measures for capital assets. | FTA | (a) Equipment: (non-revenue) service vehicles. The performance measure for non-revenue, support-service and maintenance vehicles equipment is the percentage of those vehicles that have either met or exceeded their ULB. (b) Rolling stock. The performance measure for rolling stock is the percentage of revenue vehicles within a particular asset class that have either met or exceeded their ULB. (c) Infrastructure: rail fixed-guideway, track, signals, and systems. The performance measure for rail fixed-guideway, track, signals, and systems is the percentage of track segments with performance restrictions. (d) Facilities. The performance measure for facilities is the percentage of facilities within an asset class, rated below condition 3 on the TERM scale. | |||||
| 49:49:7.1.2.1.10.4.1.3 | 49 | Transportation | VI | 625 | PART 625—TRANSIT ASSET MANAGEMENT | D | Subpart D—Performance Management | § 625.45 Setting performance targets for capital assets. | FTA | (a) General. (1) A provider must set one or more performance targets for each applicable performance measure. (2) A provider must set a performance target based on realistic expectations, and both the most recent data available and the financial resources from all sources that the provider reasonably expects will be available during the TAM plan horizon period. (b) Timeline for target setting. (1) Within three months after the effective date of this part, a provider must set performance targets for the following fiscal year for each asset class included in its TAM plan. (2) At least once every fiscal year after initial targets are set, a provider must set performance targets for the following fiscal year. (c) Role of the accountable executive. A provider's Accountable Executive must approve each annual performance target. (d) Setting performance targets for group plan participants. (1) A Sponsor must set one or more unified performance targets for each asset class reflected in the group TAM plan in accordance with paragraphs (a)(2) and (b) of this section. (2) To the extent practicable, a Sponsor must coordinate its unified performance targets with each participant's Accountable Executive. (e) Coordination with metropolitan, statewide and non-metropolitan planning processes. To the maximum extent practicable, a provider and Sponsor must coordinate with States and Metropolitan Planning Organizations in the selection of State and Metropolitan Planning Organization performance targets. | |||||
| 49:49:7.1.2.1.10.5.1.1 | 49 | Transportation | VI | 625 | PART 625—TRANSIT ASSET MANAGEMENT | E | Subpart E—Recordkeeping and Reporting Requirements for Transit Asset Management | § 625.53 Recordkeeping for transit asset management. | FTA | (a) At all times, each provider must maintain records and documents that support, and set forth in full, its TAM plan. (b) A provider must make its TAM plan, any supporting records or documents performance targets, investment strategies, and the annual condition assessment report available to a State and Metropolitan Planning Organization that provides funding to the provider to aid in the planning process. | |||||
| 49:49:7.1.2.1.10.5.1.2 | 49 | Transportation | VI | 625 | PART 625—TRANSIT ASSET MANAGEMENT | E | Subpart E—Recordkeeping and Reporting Requirements for Transit Asset Management | § 625.55 Annual reporting for transit asset management. | FTA | (a) Each provider must submit the following reports: (1) An annual data report to FTA's National Transit Database that reflects the SGR performance targets for the following year and condition information for the provider's public transportation system. (2) An annual narrative report to the National Transit Database that provides a description of any change in the condition of the provider's transit system from the previous year and describes the progress made during the year to meet the performance targets set in the previous reporting year. (b) A Sponsor must submit one consolidated annual data report and one consolidated annual narrative report, as described in paragraph (a)(1) and (2) of this section, to the National Transit Database on behalf of its participants. | |||||
| 49:49:7.1.2.1.11.0.1.1 | 49 | Transportation | VI | 630 | PART 630—NATIONAL TRANSIT DATABASE | § 630.1 Purpose. | FTA | The purpose of this part is to prescribe requirements and procedures necessary for compliance with the National Transit Database Reporting System and Uniform System of Accounts, as mandated by 49 U.S.C. 5335, and to set forth the procedures for addressing a reporting entity's failure to comply with these requirements. | |||||||
| 49:49:7.1.2.1.11.0.1.10 | 49 | Transportation | VI | 630 | PART 630—NATIONAL TRANSIT DATABASE | § 630.10 Waiver of reporting requirements. | FTA | Waivers of one or more sections of the reporting requirements may be granted at the discretion of the Administrator on a written showing that the party seeking the waiver cannot furnish the required data without unreasonable expense and inconvenience. Each waiver will be for a specified period of time. | |||||||
| 49:49:7.1.2.1.11.0.1.11 | 49 | Transportation | VI | 630 | PART 630—NATIONAL TRANSIT DATABASE | § 630.11 Data adjustments. | FTA | Errors in the data used in making the Section 5307 apportionment may be discovered after any particular year's apportionment is completed. If so, FTA shall make adjustments to correct these errors in a subsequent year's apportionment to the extent feasible. | |||||||
| 49:49:7.1.2.1.11.0.1.2 | 49 | Transportation | VI | 630 | PART 630—NATIONAL TRANSIT DATABASE | § 630.2 Scope. | FTA | This part applies to all applicants for, and any person that receives benefits directly from, a grant under 49 U.S.C. 5307 or 5311. | |||||||
| 49:49:7.1.2.1.11.0.1.3 | 49 | Transportation | VI | 630 | PART 630—NATIONAL TRANSIT DATABASE | § 630.3 Definitions. | FTA | [72 FR 68761, Dec. 6, 2007, as amended at 81 FR 48969, July 26, 2016] | (a) Except as otherwise provided, terms defined in 49 U.S.C. 5302 et seq. apply to this part. (b) Except as otherwise provided, terms defined in the current editions of the National Transit Database Reporting Manuals and the NTD Uniform System of Accounts are used in this part as so defined. (c) For purposes of this part: Administrator means the Federal Transit Administrator or the Administrator's designee. Applicant means an entity seeking Federal financial assistance under 49 U.S.C. chapter 53. Assistance means Federal financial assistance for the planning, acquisition, construction, or operation of public transportation services. Beneficiary means any entity that receives benefits from assistance under 49 U.S.C. 5307 or 5311. Current edition of the National Transit Database Reporting Manuals and Uniform System of Accounts means the most recently issued editions of the reference documents. Days mean calendar days. Reference Document(s) means the current editions of the National Transit Database Reporting Manuals and Uniform System of Accounts. These documents are subject to periodic revision. Beneficiaries and applicants are responsible for using the current editions of the reference documents. Reporting entity means an entity required to provide reports as set forth in the reference documents. State Department of Transportation means the Department of Transportation of a State of the United States, the District of Columbia, Puerto Rico, the Northern Mariana Islands, Guam, American Samoa, or the U.S. Virgin Islands. Transit agency means an entity providing public transportation as defined in 49 U.S.C. 5302. | ||||||
| 49:49:7.1.2.1.11.0.1.4 | 49 | Transportation | VI | 630 | PART 630—NATIONAL TRANSIT DATABASE | § 630.4 Requirements. | FTA | [72 FR 68761, Dec. 6, 2007, as amended at 81 FR 48970, July 26, 2016] | (a) National Transit Database Reporting System. Each applicant for and beneficiary of Federal financial assistance under 49 U.S.C. chapter 53 must comply with the applicable requirements of 49 U.S.C. 5335, as set forth in the reference documents. (b) Copies. Copies of reference documents are available from the National Transit Database Web site located at http://www.ntdprogram.gov. These reference documents are subject to periodic revision. Revisions of reference documents will be posted on the National Transit Database Web site and a notice of any significant changes to the reporting requirements specified in these reference documents will be published in the Federal Register. | ||||||
| 49:49:7.1.2.1.11.0.1.5 | 49 | Transportation | VI | 630 | PART 630—NATIONAL TRANSIT DATABASE | § 630.5 Failure to report data. | FTA | [81 FR 48970, July 26, 2016] | Failure to report data in accordance with this part may result in the noncompliant reporting entity being ineligible to receive any funding under 49 U.S.C. chapter 53, directly or indirectly, until such time as a report is filed in accordance with this part. | ||||||
| 49:49:7.1.2.1.11.0.1.6 | 49 | Transportation | VI | 630 | PART 630—NATIONAL TRANSIT DATABASE | § 630.6 Late and incomplete reports. | FTA | (a) Late reports. Each reporting entity shall ensure that FTA receives its report by the due dates prescribed in the reference documents. A reporting entity may request a 30 day extension to submit its report. FTA will treat a failure to submit the required report by the due date or the extension date as failure to report data under § 630.5. (b) Incomplete reports. FTA will treat an NTD submission that does not contain all of the required data; or does not contain the required certifications, where applicable; or that is not in substantial conformance with the definitions, procedures, and format requirements set out in the reference documents as a failure to report data under § 630.5, unless the reporting entity has exhausted all possibilities for obtaining this information. | |||||||
| 49:49:7.1.2.1.11.0.1.7 | 49 | Transportation | VI | 630 | PART 630—NATIONAL TRANSIT DATABASE | § 630.7 Failure to respond to questions. | FTA | FTA will review each NTD submission to verify the reasonableness of the data submitted. If any of the data do not appear reasonable, FTA will notify the reporting entity of this fact in writing, and request written justification from the reporting entity to either document the accuracy of the questioned data, or to revise the questioned data with a more accurate submission. Failure of a reporting entity to make a good-faith written response to this request will be treated as a failure to report data under § 630.5. | |||||||
| 49:49:7.1.2.1.11.0.1.8 | 49 | Transportation | VI | 630 | PART 630—NATIONAL TRANSIT DATABASE | § 630.8 Questionable data items. | FTA | FTA may enter a zero, or adjust any questionable data item(s), in any reporting entity's NTD submission that is used in computing the Section 5307 apportionment. These adjustments may be made if any data appears to be inaccurate, have not been collected and reported in accordance with FTA reference documents, or if there is not adequate documentation and a reliable recordkeeping system. | |||||||
| 49:49:7.1.2.1.11.0.1.9 | 49 | Transportation | VI | 630 | PART 630—NATIONAL TRANSIT DATABASE | § 630.9 Notice of FTA action. | FTA | Before taking final action under §§ 630.5 or 630.8, FTA will transmit a written request to the reporting entity to provide the necessary information within a specified reasonable period of time. FTA will advise the reporting entity of its final decision. | |||||||
| 49:49:7.1.2.1.12.1.1.1 | 49 | Transportation | VI | 633 | PART 633—PROJECT MANAGEMENT OVERSIGHT | A | Subpart A—General Provisions | § 633.1 Purpose. | FTA | This part implements 49 U.S.C. 5327 regarding oversight of major capital projects. The part provides for a two-part program for major capital projects receiving Federal financial assistance. First, subpart B discusses project management oversight, designed primarily to aid FTA in its role of ensuring successful implementation of Federally-funded projects. Second, subpart C discusses the requirement that, to receive Federal financial assistance for a major capital project for public transportation under Chapter 53 of Title 49, United States Code, or any other provision of Federal law, a recipient must prepare a project management plan approved by the Administrator and carry out the project in accordance with the project management plan. | |||||
| 49:49:7.1.2.1.12.1.1.2 | 49 | Transportation | VI | 633 | PART 633—PROJECT MANAGEMENT OVERSIGHT | A | Subpart A—General Provisions | § 633.3 Scope. | FTA | This rule applies to a recipient of Federal financial assistance undertaking a major capital project for public transportation under Chapter 53 of Title 49, United States Code, or any other provision of Federal Law. | |||||
| 49:49:7.1.2.1.12.1.1.3 | 49 | Transportation | VI | 633 | PART 633—PROJECT MANAGEMENT OVERSIGHT | A | Subpart A—General Provisions | § 633.5 Definitions. | FTA | As used in this part: Administrator means the Administrator of the Federal Transit Administration or the Administrator's designee. Days means calendar days. Fixed guideway means any public transportation facility: Using and occupying a separate right-of-way for the exclusive use of public transportation; using rail; using a fixed catenary system; for a passenger ferry system; or for a bus rapid transit system. FTA means the Federal Transit Administration. Except as provided in § 633.19, Major capital project means a project that: (1) Involves the construction, expansion, rehabilitation, or modernization of a fixed guideway that: (i) Has a total project cost of $300 million or more and receives Federal funds of $100 million or more; and (ii) Is not exclusively for the acquisition, maintenance, or rehabilitation of vehicles or other rolling stock; or (2) The Administrator determines to be a major capital project because project management oversight under this part will benefit the Federal government or the recipient, and the project is not exclusively for the acquisition, maintenance, or rehabilitation of rolling stock or other vehicles. Typically, this means a project that: (i) Involves new technology; (ii) Is of a unique nature for the recipient; or (iii) Involves a recipient whose past record indicates the appropriateness of extending project management oversight under this part. Project development means the phase in which planning, design and engineering work is undertaken to advance the project from concept to a sufficiently mature scope to allow for the development of a reasonably reliable project cost, schedule, and project management plan. Project management oversight means the risk-informed monitoring of the recipient's management of a major capital project's progress to determine whether the project is on time, within budget, in conformance with design and quality criteria, in compliance with all applicable Federal requirements, constructed to approved plans and specifications, deli… | |||||
| 49:49:7.1.2.1.12.2.1.1 | 49 | Transportation | VI | 633 | PART 633—PROJECT MANAGEMENT OVERSIGHT | B | Subpart B—Project Management Oversight Services | § 633.11 Covered projects. | FTA | (a) The recipient is using funds made available under Chapter 53 of Title 49, United States Code, or any other provision of Federal law; and (b) The project is a major capital project. | |||||
| 49:49:7.1.2.1.12.2.1.2 | 49 | Transportation | VI | 633 | PART 633—PROJECT MANAGEMENT OVERSIGHT | B | Subpart B—Project Management Oversight Services | § 633.13 Initiation of project management oversight services. | FTA | Project management oversight services will be initiated as soon as practicable, once the Administrator determines that this part applies. In most cases, this means that project management oversight will begin during the project development phase of the project, generally after the locally preferred alternative has been chosen (if applicable), unless the Administrator determines it more appropriate to begin oversight during another phase of the project, to maximize the transportation benefits and cost savings associated with project management oversight. | |||||
| 49:49:7.1.2.1.12.2.1.3 | 49 | Transportation | VI | 633 | PART 633—PROJECT MANAGEMENT OVERSIGHT | B | Subpart B—Project Management Oversight Services | § 633.15 Access to information. | FTA | A recipient for a major capital project shall provide the Administrator and the project management oversight contractor chosen under this part access to its records and construction sites, as reasonably may be required. | |||||
| 49:49:7.1.2.1.12.2.1.4 | 49 | Transportation | VI | 633 | PART 633—PROJECT MANAGEMENT OVERSIGHT | B | Subpart B—Project Management Oversight Services | § 633.17 Project management oversight contractor eligibility. | FTA | (a) Any person or entity may provide project management oversight services in connection with a major capital project, with the following exceptions: (1) An entity may not provide project management oversight services for its own project; and (2) An entity may not provide project management oversight services for a project if there exists a conflict of interest. (b) In choosing private sector persons or entities to provide project management oversight services, the Administrator uses the procurement requirements in the government-wide procurement regulations, found at Chapter 1 of title 48, Code of Federal Regulations. | |||||
| 49:49:7.1.2.1.12.2.1.5 | 49 | Transportation | VI | 633 | PART 633—PROJECT MANAGEMENT OVERSIGHT | B | Subpart B—Project Management Oversight Services | § 633.19 Exclusion from the project management oversight program. | FTA | The Administrator may, in compelling circumstances, determine that a project meeting the criteria of § 633.5(e)(1) is not a major capital project because project management oversight under this part will not benefit the Federal government or the recipient. Typically, this means a project that: (a) Involves a recipient whose past record indicates the appropriateness of excluding the project from project management oversight under this part; and (b) Involves such a greater level of financial risk to the recipient than to the Federal government that project management oversight under this part is made less necessary to secure the recipient's diligence. | |||||
| 49:49:7.1.2.1.12.3.1.1 | 49 | Transportation | VI | 633 | PART 633—PROJECT MANAGEMENT OVERSIGHT | C | Subpart C—Project Management Plans | § 633.21 Basic requirement. | FTA | (a) If a project meets the definition of major capital project, the recipient shall submit a project management plan prepared in accordance with § 633.25, as a condition of Federal financial assistance. (b)(1) The Administrator will notify the recipient when the recipient must submit the project management plan. Normally, the Administrator will notify the recipient sometime during the project development phase. If the Administrator determines the project is a major capital project after the project development phase, the Administrator will inform the recipient of the determination as soon as possible. (2) Once the Administrator has notified the recipient that it must submit a project management plan, the recipient will have a minimum of 90 days to submit the plan. | |||||
| 49:49:7.1.2.1.12.3.1.2 | 49 | Transportation | VI | 633 | PART 633—PROJECT MANAGEMENT OVERSIGHT | C | Subpart C—Project Management Plans | § 633.23 FTA review of a project management plan. | FTA | Within 60 days of receipt of a project management plan, the Administrator will notify the recipient that: (a) The plan is approved; (b) The plan is disapproved, including the reasons for the disapproval; (c) The plan will require modification, as specified, before approval; or (d) The Administrator has not yet completed review of the plan, and state when it will be reviewed. | |||||
| 49:49:7.1.2.1.12.3.1.3 | 49 | Transportation | VI | 633 | PART 633—PROJECT MANAGEMENT OVERSIGHT | C | Subpart C—Project Management Plans | § 633.25 Contents of a project management plan. | FTA | A project management plan must be tailored to the type, costs, complexity, and phase of the major capital project, and to the recipient's management capacity and capability. A project management plan must be written to a level of detail sufficient to enable the recipient to determine whether the necessary staff and processes are in place to control the scope, budget, schedule, and quality of the project, while managing the safety and security of all persons. A project management plan must be developed with a sufficient level of detail to enable the Administrator to assess the adequacy of the recipient's plan. At a minimum, a recipient's project management plan must include: (a) Adequate recipient staff organization with well-defined reporting relationships, statements of functional responsibilities, job descriptions, and job qualifications; (b) A budget covering the project management organization, appropriate contractors and consultants, property acquisition, utility relocation, systems demonstration staff, audits, contingencies, and miscellaneous payments as the recipient may be prepared to justify; (c) A construction schedule for the project; (d) A document control procedure and recordkeeping system; (e) A change order procedure that includes a documented, systematic approach to the handling of construction change orders; (f) A description of organizational structures, management skills, and staffing levels required throughout the construction phase; (g) Quality control and quality assurance functions, procedures, and responsibilities for project design, procurement, construction, system installation, and integration of system components; (h) Material testing policies and procedures; (i) Internal plan implementation and reporting requirements including cost and schedule control procedures; (j) Criteria and procedures to be used for testing the operational system or its major components; (k) Periodic updates of the project management plan, especially related to project budget and schedule, financing,… | |||||
| 49:49:7.1.2.1.12.3.1.4 | 49 | Transportation | VI | 633 | PART 633—PROJECT MANAGEMENT OVERSIGHT | C | Subpart C—Project Management Plans | § 633.27 Implementation of a project management plan. | FTA | (a) Upon approval of a project management plan by the Administrator the recipient shall begin implementing the plan. (b) Generally, a project management plan must be modified if the project is at a new phase or if there have been significant changes identified. If a recipient must modify an approved project management plan, the recipient shall submit the proposed changes to the Administrator along with an explanation of the need for the changes. (c) A recipient shall submit periodic updates of the project management plan to the Administrator. Such updates shall include, but not be limited to: (1) Project budget; (2) Project schedule; (3) Financing, both capital and operating; (4) Ridership estimates, including operating plan; and (5) Where applicable, the status of local efforts to enhance ridership when estimates are contingent, in part, upon the success of such efforts. (d) A recipient shall submit current data on a major capital project's budget and schedule to the Administrator on a quarterly basis for the purpose of reviewing compliance with the project management plan, except that the Administrator may require submission more frequently than on a quarterly basis if the recipient fails to meet the requirements of the project management plan and the project is at risk of materially exceeding its budget or falling behind schedule. Budget and schedule changes will be analyzed on a case-by-case basis, but FTA generally will consider any cost increase or schedule delay exceeding five percent as a material change. Oversight of projects monitored more frequently than quarterly will revert to quarterly oversight once the recipient has demonstrated compliance with the project management plan and the project is no longer at risk of materially exceeding its budget or falling behind schedule. | |||||
| 49:49:7.1.2.1.12.3.1.5 | 49 | Transportation | VI | 633 | PART 633—PROJECT MANAGEMENT OVERSIGHT | C | Subpart C—Project Management Plans | § 633.29 [Reserved] | FTA | ||||||
| 49:49:7.1.2.1.14.0.1.1 | 49 | Transportation | VI | 640 | PART 640—CREDIT ASSISTANCE FOR SURFACE TRANSPORTATION PROJECTS | § 640.1 Cross-reference to credit assistance. | FTA | [64 FR 29753, June 2, 1999] | The regulations in 49 CFR part 80 shall be followed in complying with the requirements of this part. Title 49, CFR, part 80 implements the Transportation Infrastructure Finance and Innovation Act of 1998, secs. 1501 et seq., Pub. L. 105-178, 112 Stat. 107, 241. | ||||||
| 49:49:7.1.2.1.15.1.1.1 | 49 | Transportation | VI | 650 | PART 650—PRIVATE INVESTMENT PROJECT PROCEDURES | A | Subpart A—General Provisions | § 650.1 Purpose. | FTA | This part establishes private investment project procedures that seek to identify and address Federal Transit Administration requirements that are impediments to the greater use of public-private partnerships and private investment in public transportation capital projects, while protecting the public interest and any public investment in such projects. | |||||
| 49:49:7.1.2.1.15.1.1.2 | 49 | Transportation | VI | 650 | PART 650—PRIVATE INVESTMENT PROJECT PROCEDURES | A | Subpart A—General Provisions | § 650.3 Applicability. | FTA | This part applies to any recipient subject to 49 U.S.C. chapter 53 that funds a public transportation capital project with Federal financial assistance under 49 U.S.C. chapter 53, the Transportation Infrastructure Finance and Innovation Act (TIFIA) (23 U.S.C. 181-189, 601-609), the Railroad Rehabilitation and Improvement Financing (RRIF) program (45 U.S.C. 821-823), or with any other Federal financial assistance. | |||||
| 49:49:7.1.2.1.15.1.1.3 | 49 | Transportation | VI | 650 | PART 650—PRIVATE INVESTMENT PROJECT PROCEDURES | A | Subpart A—General Provisions | § 650.5 Definitions. | FTA | All terms defined in 49 U.S.C. chapter 53 are applicable to this part. The following definitions also apply to this part: Administrator means the Administrator of the Federal Transit Administration. Application means the formal documentation of an applicant's request to modify FTA requirements for an eligible project. Eligible project means any surface transportation capital project that is subject to 49 U.S.C. chapter 53, included in the statewide long-range transportation plan or the metropolitan transportation plan, as those terms are defined in 23 CFR part 450, and that will be implemented as a public-private partnership, a joint development, or with other private sector investment. FTA means the Federal Transit Administration. FTA requirements means, for purposes of this part, existing FTA regulations and mandatory provisions of practices, procedures or guidance documents, including circulars. Joint development has the meaning ascribed to it in FTA Circular 7050.1 “Federal Transit Administration Guidance on Joint Development” and, for purposes of this part, includes private sector contributions, whether in the form of cash investment, capital construction contributed at the private sector's cost or other contribution determined by the Administrator to qualify. Other private sector investment means a financial or capital contribution to an eligible project from a private sector investor that is not provided through a public-private partnership or joint development. Private investment project procedures means the procedures by which applicants may propose, and the Administrator may agree, subject to the requirements of this part, to modify or waive existing FTA requirements for an eligible project. Private sector investor means the private sector entity that proposes to contribute funding to an eligible project. Public-private partnership (P3) means a contractual agreement formed between a public agency and a private sector entity that is characterized by private sector investment and risk-… | |||||
| 49:49:7.1.2.1.15.2.1.1 | 49 | Transportation | VI | 650 | PART 650—PRIVATE INVESTMENT PROJECT PROCEDURES | B | Subpart B—Private Investment Project Procedures | § 650.11 Private investment project procedures. | FTA | (a) A recipient may, subject to the requirements of this part, submit applications to modify or waive existing FTA requirements for an eligible project. For projects with multiple recipients, recipients may, but are not required to, submit an application for a project jointly; however, only one application per phase of a project may be submitted. Applications may contain requests for modification or waiver of more than one FTA requirement. All applications shall comply with the requirements of § 650.31. (b) Subject to § 650.13, the Administrator may modify or waive FTA requirements if the Administrator determines the recipient has demonstrated that— (1) The FTA requirement proposed for modification discourages the use of a public-private partnership, a joint development, or other private sector investment in a federally assisted public transportation capital project, (2) The proposed modification or waiver of the FTA requirements is likely to have the effect of encouraging a public-private partnership, a joint development, or other private sector investment in a Federally-assisted public transportation capital project, (3) The amount of private sector participation or risk transfer proposed is sufficient to warrant modification or waiver of FTA requirements, and (4) Modification or waiver of the FTA requirements can be accomplished while protecting the public interest and any public investment in the proposed federally assisted public transportation capital project. | |||||
| 49:49:7.1.2.1.15.2.1.2 | 49 | Transportation | VI | 650 | PART 650—PRIVATE INVESTMENT PROJECT PROCEDURES | B | Subpart B—Private Investment Project Procedures | § 650.13 Limitation. | FTA | (a) Nothing in this part may be construed to allow the Administrator to modify or waive any requirement under— (1) 49 U.S.C. 5333; (2) The National Environmental Policy Act of 1969 (42 U.S.C. 4321, et seq. ); or (3) Any other provision of Federal statute. (b) The Administrator's approval of an application under this part does not commit Federal-aid funding for the project. | |||||
| 49:49:7.1.2.1.15.3.1.1 | 49 | Transportation | VI | 650 | PART 650—PRIVATE INVESTMENT PROJECT PROCEDURES | C | Subpart C—Reporting | § 650.21 Lessons learned report. | FTA | For a project for which the Administrator has modified or waived any FTA requirement pursuant to this part, not later than one year after completion of construction, and not later than two years after a project that includes private entity involvement in operations or maintenance activities has entered revenue operations, the recipient shall submit to FTA a report that evaluates the effects of the modification or waiver of Federal requirements on the delivery of the project. The report shall describe the modification or waiver applied to the project; evaluate the success or failure of the modification or waiver; evaluate the extent to which the modification or waiver addressed impediments to greater use of public-private partnerships and private investment in public transportation capital projects; and may include any recommended statutory, regulatory or other changes with an explanation of how the changes would encourage greater use of public-private partnerships and private investment in public transportation capital projects. | |||||
| 49:49:7.1.2.1.15.4.1.1 | 49 | Transportation | VI | 650 | PART 650—PRIVATE INVESTMENT PROJECT PROCEDURES | D | Subpart D—Applications | § 650.31 Application process. | FTA | (a) Applications must be submitted to the FTA Private Sector Liaison at FTA Headquarters and provide a copy to the FTA Regional Administrator for the region in which the project is located. Addresses for FTA Headquarters and Regions are available at www.transit.dot.gov. (b) To be considered, an application submitted under this part must— (1) Describe the proposed project with respect to anticipated scope, cost, schedule, and anticipated source and amount of Federal financial assistance, (2) Identify whether the project is to be delivered as a public-private partnership, as a joint development or with other private sector investment, (3) Describe in detail the role of the private sector investor, if any, in delivering the project, (4) Identify the specific FTA requirement(s) that the recipient requests to have modified or waived and a proposal as to how the requirement(s) should be modified, (5) Provide a justification for the modification(s) or waiver(s), including an explanation of how the FTA requirement(s) presents an impediment to a public-private partnership, joint development, or other private sector investment, (6) Explain how the public interest and public investment in the project will be protected and how FTA can ensure the appropriate level of public oversight and control, as determined by the Administrator, is undertaken if the modification(s) or waiver(s) is allowed, (7) Provide other recipients' concurrence with submission of the application and waiver of the right to submit a separate application for the same project, where a project has more than one recipient at the time of application, (8) Provide a financial plan identifying sources and uses of funds proposed or committed to the project, and (9) Explain the expected benefits that the modification or waiver of FTA requirements would provide to address impediments to the greater use of public-private partnerships and private investment in the project. (c) The Administrator shall notify the recipient in writing if the application fails… | |||||
| 49:49:7.1.2.1.16.1.1.1 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | A | Subpart A—General | § 655.1 Purpose. | FTA | The purpose of this part is to establish programs to be implemented by employers that receive financial assistance from the Federal Transit Administration (FTA) and by contractors of those employers, that are designed to help prevent accidents, injuries, and fatalities resulting from the misuse of alcohol and use of prohibited drugs by employees who perform safety-sensitive functions. | |||||
| 49:49:7.1.2.1.16.1.1.2 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | A | Subpart A—General | § 655.2 Overview. | FTA | (a) This part includes nine subparts. Subpart A of this part covers the general requirements of FTA's drug and alcohol testing programs. Subpart B of this part specifies the basic requirements of each employer's alcohol misuse and prohibited drug use program, including the elements required to be in each employer's testing program. Subpart C of this part describes prohibited drug use. Subpart D of this part describes prohibited alcohol use. Subpart E of this part describes the types of alcohol and drug tests to be conducted. Subpart F of this part addresses the testing procedural requirements mandated by the Omnibus Transportation Employee Testing Act of 1991, and as required in 49 CFR Part 40. Subpart G of this part lists the consequences for covered employees who engage in alcohol misuse or prohibited drug use. Subpart H of this part contains administrative matters, such as reports and recordkeeping requirements. Subpart I of this part specifies how a recipient certifies compliance with the rule. (b) This part must be read in conjunction with 49 CFR Part 40, Procedures for Transportation Workplace Drug and Alcohol Testing Programs. | |||||
| 49:49:7.1.2.1.16.1.1.3 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | A | Subpart A—General | § 655.3 Applicability. | FTA | [66 FR 42002, Aug. 9, 2001, as amended at 71 FR 69198, Nov. 30, 2006; 78 FR 37993, June 25, 2013] | (a) Except as specifically excluded in paragraphs (b), and (c) of this section, this part applies to: (1) Each recipient and subrecipient receiving Federal assistance under 49 U.S.C. 5307, 5309, or 5311; and (2) Any contractor of a recipient or subrecipient of Federal assistance under 49 U.S.C. 5307, 5309, 5311. (b) A recipient operating a railroad regulated by the Federal Railroad Administration (FRA) shall follow 49 CFR Part 219 and § 655.83 for its railroad operations, and shall follow this part for its non-railroad operations, if any. (c) A recipient operating a ferryboat regulated by the United States Coast Guard (USCG) that satisfactorily complies with the testing requirements of 46 CFR Parts 4 and 16, and 33 CFR Part 95 shall be in concurrent compliance with the testing requirements of this part. This exception shall not apply to the provisions of section 655.45, or subparts G, or H of this part. | ||||
| 49:49:7.1.2.1.16.1.1.4 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | A | Subpart A—General | § 655.4 Definitions. | FTA | [66 FR 42002, Aug. 9, 2001, as amended at 68 FR 75462, Dec. 31, 2003; 78 FR 37993, June 25, 2013] | For this part, the terms listed in this section have the following definitions. The definitions of additional terms used in this part but not listed in this section can be found in 49 CFR Part 40. Accident means an occurrence associated with the operation of a vehicle, if as a result: (1) An individual dies; or (2) An individual suffers bodily injury and immediately receives medical treatment away from the scene of the accident; or (3) With respect to an occurrence in which the mass transit vehicle involved is a bus, electric bus, van, or automobile, one or more vehicles (including non-FTA funded vehicles) incurs disabling damage as the result of the occurrence and such vehicle or vehicles are transported away from the scene by a tow truck or other vehicle; or (4) With respect to an occurrence in which the public transportation vehicle involved is a rail car, trolley car, trolley bus, or vessel, the public transportation vehicle is removed from operation. Administrator means the Administrator of the Federal Transit Administration or the Administrator's designee. Anti-drug program means a program to detect and deter the use of prohibited drugs as required by this part. Certification means a recipient's written statement, authorized by the organization's governing board or other authorizing official that the recipient has complied with the provisions of this part. (See § 655.82 and § 655.83 for certification requirements.) Contractor means a person or organization that provides a safety-sensitive service for a recipient, subrecipient, employer, or operator consistent with a specific understanding or arrangement. The understanding can be a written contract or an informal arrangement that reflects an ongoing relationship between the parties. Covered employee means a person, including an applicant or transferee, who performs or will perform a safety-sensitive function for an entity subject to this part. A volunteer is a covered employee if: (1) The volunteer is required to hold a commercial driver's l… | ||||
| 49:49:7.1.2.1.16.1.1.5 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | A | Subpart A—General | § 655.5 Stand-down waivers for drug testing. | FTA | [66 FR 42002, Aug. 9, 2001, as amended at 88 FR 27653, May 2, 2023] | (a) An employer subject to this part may petition the FTA for a waiver allowing the employer to stand down, per 49 CFR Part 40, an employee following a report of a laboratory confirmed positive drug test or refusal, pending the outcome of the verification process. (b) Each petition for a waiver must be in writing and include facts and justification to support the waiver. Each petition must satisfy the requirements for obtaining a waiver, as provided in 49 CFR 40.21. (c) Each petition for a waiver must be submitted to the Office of Safety and Security, Federal Transit Administration, U.S. Department of Transportation, 1200 New Jersey Ave., SE, Washington, DC 20590. (d) The Administrator may grant a waiver subject to 49 CFR 40.21(d). | ||||
| 49:49:7.1.2.1.16.1.1.6 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | A | Subpart A—General | § 655.6 Preemption of state and local laws. | FTA | (a) Except as provided in paragraph (b) of this section, this part preempts any state or local law, rule, regulation, or order to the extent that: (1) Compliance with both the state or local requirement and any requirement in this part is not possible; or (2) Compliance with the state or local requirement is an obstacle to the accomplishment and execution of any requirement in this part. (b) This part shall not be construed to preempt provisions of state criminal laws that impose sanctions for reckless conduct attributed to prohibited drug use or alcohol misuse leading to actual loss of life, injury, or damage to property, whether the provisions apply specifically to transportation employees or employers or to the general public. | |||||
| 49:49:7.1.2.1.16.1.1.7 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | A | Subpart A—General | § 655.7 Starting date for testing programs. | FTA | An employer must have an anti-drug and alcohol misuse testing program in place by the date the employer begins operations. | |||||
| 49:49:7.1.2.1.16.2.1.1 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | B | Subpart B—Program Requirements | § 655.11 Requirement to establish an anti-drug use and alcohol misuse program. | FTA | Each employer shall establish an anti-drug use and alcohol misuse program consistent with the requirements of this part. | |||||
| 49:49:7.1.2.1.16.2.1.2 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | B | Subpart B—Program Requirements | § 655.12 Required elements of an anti-drug use and alcohol misuse program. | FTA | An anti-drug use and alcohol misuse program shall include the following: (a) A statement describing the employer's policy on prohibited drug use and alcohol misuse in the workplace, including the consequences associated with prohibited drug use and alcohol misuse. This policy statement shall include all of the elements specified in § 655.15. Each employer shall disseminate the policy consistent with the provisions of § 655.16. (b) An education and training program which meets the requirements of § 655.14. (c) A testing program, as described in Subparts C and D of this part, which meets the requirements of this part and 49 CFR Part 40. (d) Procedures for referring a covered employee who has a verified positive drug test result or an alcohol concentration of 0.04 or greater to a Substance Abuse Professional, consistent with 49 CFR Part 40. | |||||
| 49:49:7.1.2.1.16.2.1.3 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | B | Subpart B—Program Requirements | § 655.13 [Reserved] | FTA | ||||||
| 49:49:7.1.2.1.16.2.1.4 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | B | Subpart B—Program Requirements | § 655.14 Education and training programs. | FTA | Each employer shall establish an employee education and training program for all covered employees, including: (a) Education. The education component shall include display and distribution to every covered employee of: informational material and a community service hot-line telephone number for employee assistance, if available. (b) Training —(1) Covered employees. Covered employees must receive 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. (2) Supervisors. Supervisors and/or other company officers authorized by the employer to make reasonable suspicion determinations shall receive at least 60 minutes of training on the physical, behavioral, and performance indicators of probable drug use and at least 60 minutes of training on the physical, behavioral, speech, and performance indicators of probable alcohol misuse. | |||||
| 49:49:7.1.2.1.16.2.1.5 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | B | Subpart B—Program Requirements | § 655.15 Policy statement contents. | FTA | [66 FR 42002, Aug. 9, 2001, as amended at 88 FR 27653, May 2, 2023] | The local governing board of the employer or operator shall adopt an anti-drug and alcohol misuse policy statement. The statement must be made available to each covered employee, and shall include the following: (a) The identity of the person, office, branch and/or position designated by the employer to answer employee questions about the employer's anti-drug use and alcohol misuse programs. (b) The categories of employees who are subject to the provisions of this part. (c) Specific information concerning the behavior and conduct prohibited by this part. (d) The specific circumstances under which a covered employee will be tested for prohibited drugs or alcohol misuse under this part. (e) The procedures that will be used to test for the presence of prohibited drugs or alcohol misuse, protect the employee and the integrity of the drug and alcohol testing process, safeguard the validity of the test results, and ensure the test results are attributed to the correct covered employee. (f) The requirement that a covered employee submit to drug and alcohol testing administered in accordance with this part. (g) A description of the kind of behavior that constitutes a refusal to take a drug or alcohol test, and a statement that such a refusal constitutes a violation of the employer's policy. (h) The consequences for a covered employee who has a verified positive drug or a confirmed alcohol test result with an alcohol concentration of 0.04 or greater, or who refuses to submit to a test under this part, including the mandatory requirements that the covered employee be removed immediately from his or her safety-sensitive function and be evaluated by a substance abuse professional, as required by 49 CFR Part 40. (i) The consequences, as set forth in § 655.35 of subpart D, for a covered employee who is found to have an alcohol concentration of 0.02 or greater but less than 0.04. (j) The employer shall inform each covered employee if it implements elements of an anti-drug use or alcohol misuse program that are not req… | ||||
| 49:49:7.1.2.1.16.2.1.6 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | B | Subpart B—Program Requirements | § 655.16 Requirement to disseminate policy. | FTA | Each employer shall provide written notice to every covered employee and to representatives of employee organizations of the employer's anti-drug and alcohol misuse policies and procedures. | |||||
| 49:49:7.1.2.1.16.2.1.7 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | B | Subpart B—Program Requirements | § 655.17 Notice requirement. | FTA | Before performing a drug or alcohol test under this part, each employer shall notify a covered employee that the test is required by this part. No employer shall falsely represent that a test is administered under this part. | |||||
| 49:49:7.1.2.1.16.2.1.8 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | B | Subpart B—Program Requirements | §§ 655.18-655.20 [Reserved] | FTA | ||||||
| 49:49:7.1.2.1.16.3.1.1 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | C | Subpart C—Prohibited Drug Use | § 655.21 Drug testing. | FTA | [66 FR 42002, Aug. 9, 2001, as amended at 84 FR 16775, Apr. 23, 2019] | (a) An employer shall establish a program that provides testing for prohibited drugs and drug metabolites in the following circumstances: pre-employment, post-accident, reasonable suspicion, random, and return to duty/follow-up. (b) When administering a drug test, an employer shall ensure that the following drugs are tested for: (1) Marijuana; (2) Cocaine; (3) Opioids; (4) Amphetamines; and (5) Phencyclidine. (c) Consumption of these products is prohibited at all times. | ||||
| 49:49:7.1.2.1.16.3.1.2 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | C | Subpart C—Prohibited Drug Use | §§ 655.22-655.30 [Reserved] | FTA | ||||||
| 49:49:7.1.2.1.16.4.1.1 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | D | Subpart D—Prohibited Alcohol Use | § 655.31 Alcohol testing. | FTA | (a) An employer shall establish a program that provides for testing for alcohol in the following circumstances: post-accident, reasonable suspicion, random, and return to duty/follow-up. An employer may also conduct pre-employment alcohol testing. (b) Each employer shall prohibit a covered employee, while having an alcohol concentration of 0.04 or greater, from performing or continuing to perform a safety-sensitive function. | |||||
| 49:49:7.1.2.1.16.4.1.2 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | D | Subpart D—Prohibited Alcohol Use | § 655.32 On duty use. | FTA | Each employer shall prohibit a covered employee from using alcohol while performing safety-sensitive functions. No employer having actual knowledge that a covered employee is using alcohol while performing safety-sensitive functions shall permit the employee to perform or continue to perform safety-sensitive functions. | |||||
| 49:49:7.1.2.1.16.4.1.3 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | D | Subpart D—Prohibited Alcohol Use | § 655.33 Pre-duty use. | FTA | (a) General. Each employer shall prohibit a covered employee from using alcohol within 4 hours prior to performing safety-sensitive functions. No employer having actual knowledge that a covered employee has used alcohol within four hours of performing a safety-sensitive function shall permit the employee to perform or continue to perform safety-sensitive functions. (b) On-call employees. An employer shall prohibit the consumption of alcohol for the specified on-call hours of each covered employee who is on-call. The procedure shall include: (1) The opportunity for the covered employee to acknowledge the use of alcohol at the time he or she is called to report to duty and the inability to perform his or her safety-sensitive function. (2) The requirement that the covered employee take an alcohol test, if the covered employee has acknowledged the use of alcohol, but claims ability to perform his or her safety-sensitive function. | |||||
| 49:49:7.1.2.1.16.4.1.4 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | D | Subpart D—Prohibited Alcohol Use | § 655.34 Use following an accident. | FTA | Each employer shall prohibit alcohol use by any covered employee required to take a post-accident alcohol test under § 655.44 for eight hours following the accident or until he or she undergoes a post-accident alcohol test, whichever occurs first. | |||||
| 49:49:7.1.2.1.16.4.1.5 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | D | Subpart D—Prohibited Alcohol Use | § 655.35 Other alcohol-related conduct. | FTA | (a) No employer shall permit a covered employee tested under the provisions of subpart E of this part who is found to have an alcohol concentration of 0.02 or greater but less than 0.04 to perform or continue to perform safety-sensitive functions, until: (1) The employee's alcohol concentration measures less than 0.02; or (2) The start of the employee's next regularly scheduled duty period, but not less than eight hours following administration of the test. (b) Except as provided in paragraph (a) of this section, no employer shall take any action under this part against an employee based solely on test results showing an alcohol concentration less than 0.04. This does not prohibit an employer with authority independent of this part from taking any action otherwise consistent with law. | |||||
| 49:49:7.1.2.1.16.4.1.6 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | D | Subpart D—Prohibited Alcohol Use | §§ 655.36-655.40 [Reserved] | FTA | ||||||
| 49:49:7.1.2.1.16.5.1.1 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | E | Subpart E—Types of Testing | § 655.41 Pre-employment drug testing. | FTA | (a)(1) Before allowing a covered employee or applicant to perform a safety-sensitive function for the first time, the employer must ensure that the employee takes a pre-employment drug test administered under this part with a verified negative result. An employer may not allow a covered employee, including an applicant, to perform a safety-sensitive function unless the employee takes a drug test administered under this part with a verified negative result. (2) When a covered employee or applicant has previously failed or refused a pre-employment drug test administered under this part, the employee must provide the employer proof of having successfully completed a referral, evaluation and treatment plan as described in § 655.62. (b) An employer may not transfer an employee from a nonsafety-sensitive function to a safety-sensitive function until the employee takes a pre-employment drug test administered under this part with a verified negative result. (c) If a pre-employment drug test is canceled, the employer shall require the covered employee or applicant to take another pre-employment drug test administered under this part with a verified negative result. (d) When a covered employee or applicant has not performed a safety-sensitive function for 90 consecutive calendar days regardless of the reason, and the employee has not been in the employer's random selection pool during that time, the employer shall ensure that the employee takes a pre-employment drug test with a verified negative result. | |||||
| 49:49:7.1.2.1.16.5.1.10 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | E | Subpart E—Types of Testing | § 655.50 [Reserved] | FTA | ||||||
| 49:49:7.1.2.1.16.5.1.2 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | E | Subpart E—Types of Testing | § 655.42 Pre-employment alcohol testing. | FTA | An employer may, but is not required to, conduct pre-employment alcohol testing under this part. If an employer chooses to conduct pre-employment alcohol testing, the employer must comply with the following requirements: (a) The employer must conduct a pre-employment alcohol test before the first performance of safety-sensitive functions by every covered employee (whether a new employee or someone who has transferred to a position involving the performance of safety-sensitive functions). (b) The employer must treat all covered employees performing safety-sensitive functions the same for the purpose of pre-employment alcohol testing ( i.e. , you must not test some covered employees and not others). (c) The employer must conduct the pre-employment tests after making a contingent offer of employment or transfer, subject to the employee passing the pre-employment alcohol test. (d) The employer must conduct all pre-employment alcohol tests using the alcohol testing procedures set forth in 49 CFR Part 40. (e) The employer must not allow a covered employee to begin performing safety-sensitive functions unless the result of the employee's test indicates an alcohol concentration of less than 0.02. | |||||
| 49:49:7.1.2.1.16.5.1.3 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | E | Subpart E—Types of Testing | § 655.43 Reasonable suspicion testing. | FTA | (a) An employer shall conduct a drug and/or alcohol test when the employer has reasonable suspicion to believe that the covered employee has used a prohibited drug and/or engaged in alcohol misuse. (b) An employer's determination that reasonable suspicion exists shall be based on specific, contemporaneous, articulable observations concerning the appearance, behavior, speech, or body odors of the covered employee. A supervisor(s), or other company official(s) who is trained in detecting the signs and symptoms of drug use and alcohol misuse must make the required observations. (c) Alcohol testing is authorized under this section only if the observations required by paragraph (b) of this section are made during, just preceding, or just after the period of the workday that the covered employee is required to be in compliance with this part. An employer may direct a covered employee to undergo reasonable suspicion testing for alcohol only while the employee is performing safety-sensitive functions; just before the employee is to perform safety-sensitive functions; or just after the employee has ceased performing such functions. (d) If an alcohol test required by this section is not administered within two hours following the determination under paragraph (b) of this section, the employer shall prepare and maintain on file a record stating the reasons the alcohol test was not promptly administered. If an alcohol test required by this section is not administered within eight hours following the determination under paragraph (b) of this section, the employer shall cease attempts to administer an alcohol test and shall state in the record the reasons for not administering the test. | |||||
| 49:49:7.1.2.1.16.5.1.4 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | E | Subpart E—Types of Testing | § 655.44 Post-accident testing. | FTA | [66 FR 42002, Aug. 9, 2001, as amended at 78 FR 37993, June 25, 2013; 88 FR 27653, May 2, 2023] | (a) Accidents. (1) Fatal accidents. (i) As soon as practicable following an accident involving the loss of human life, an employer shall conduct drug and alcohol tests on each surviving covered employee operating the public transportation vehicle at the time of the accident. Post-accident drug and alcohol testing of the operator is not required under this section if the covered employee is tested under the fatal accident testing requirements of the Federal Motor Carrier Safety Administration rule 49 CFR § 382.303. (ii) The employer shall also drug and alcohol test any other covered employee whose performance could have contributed to the accident, as determined by the employer using the best information available at the time of the decision. (2) Nonfatal accidents. (i) As soon as practicable following an accident not involving the loss of human life in which a public transportation vehicle is involved, the employer shall drug and alcohol test each covered employee operating the public transportation vehicle at the time of the accident unless the employer determines, using the best information available at the time of the decision, that the covered employee's performance can be completely discounted as a contributing factor to the accident. The employer shall also drug and alcohol test any other covered employee whose performance could have contributed to the accident, as determined by the employer using the best information available at the time of the decision. (ii) If an alcohol test required by this section is not administered within two hours following the accident, the employer shall prepare and maintain on file a record stating the reasons the alcohol test was not promptly administered. If an alcohol test required by this section is not administered within eight hours following the accident, the employer shall cease attempts to administer an alcohol test and maintain the record. Records shall be submitted to FTA upon request of the Administrator. (b) An employer shall ensure that a covered employee … | ||||
| 49:49:7.1.2.1.16.5.1.5 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | E | Subpart E—Types of Testing | § 655.45 Random testing. | FTA | (a) Except as provided in paragraphs (b) through (d) of this section, the minimum annual percentage rate for random drug testing shall be 50 percent of covered employees; the random alcohol testing rate shall be 10 percent. As provided in paragraph (b) of this section, this rate is subject to annual review by the Administrator. (b) The Administrator's decision to increase or decrease the minimum annual percentage rate for random drug and alcohol testing is based, respectively, on the reported positive drug and alcohol violation rates for the entire industry. All information used for this determination is drawn from the drug and alcohol Management Information System (MIS) reports required by this part. In order to ensure reliability of the data, the Administrator shall consider the quality and completeness of the reported data, may obtain additional information or reports from employers, and may make appropriate modifications in calculating the industry's verified positive results and violation rates. Each year, the Administrator will publish in the Federal Register the minimum annual percentage rates for random drug and alcohol testing of covered employees. The new minimum annual percentage rate for random drug and alcohol testing will be applicable starting January 1 of the calendar year following publication. (c) Rates for drug testing. (1) When the minimum annual percentage rate for random drug testing is 50 percent, the Administrator may lower this rate to 25 percent of all covered employees if the Administrator determines that the data received under the reporting requirements of § 655.72 for the two preceding consecutive calendar years indicate that the reported positive rate is less than 1.0 percent. (2) When the minimum annual percentage rate for random drug testing is 25 percent, and the data received under the reporting requirements of § 655.72 for the calendar year indicate that the reported positive rate is equal to or greater than 1.0 percent, the Administrator will increase the minimum annual p… | |||||
| 49:49:7.1.2.1.16.5.1.6 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | E | Subpart E—Types of Testing | § 655.46 Return to duty following refusal to submit to a test, verified positive drug test result and/or breath alcohol test result of 0.04 or greater. | FTA | Where a covered employee refuses to submit to a test, has a verified positive drug test result, and/or has a confirmed alcohol test result of 0.04 or greater, the employer, before returning the employee to duty to perform a safety-sensitive function, shall follow the procedures outlined in 49 CFR Part 40. | |||||
| 49:49:7.1.2.1.16.5.1.7 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | E | Subpart E—Types of Testing | § 655.47 Follow-up testing after returning to duty. | FTA | [66 FR 42002, Aug. 9, 2001, as amended at 88 FR 27653, May 2, 2023] | An covered employer shall conduct follow-up testing of each employee who returns to duty, as specified in 49 CFR Part 40, subpart O. | ||||
| 49:49:7.1.2.1.16.5.1.8 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | E | Subpart E—Types of Testing | § 655.48 Retesting of covered employees with an alcohol concentration of 0.02 or greater but less than 0.04. | FTA | If an employer chooses to permit a covered employee to perform a safety-sensitive function within 8 hours of an alcohol test indicating an alcohol concentration of 0.02 or greater but less than 0.04, the employer shall retest the covered employee to ensure compliance with the provisions of § 655.35. The covered employee may not perform safety-sensitive functions unless the confirmation alcohol test result is less than 0.02. | |||||
| 49:49:7.1.2.1.16.5.1.9 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | E | Subpart E—Types of Testing | § 655.49 Refusal to submit to a drug or alcohol test. | FTA | (a) Each employer shall require a covered employee to submit to a post-accident drug and alcohol test required under § 655.44, a random drug and alcohol test required under § 655.45, a reasonable suspicion drug and alcohol test required under § 655.43, or a follow-up drug and alcohol test required under § 655.47. No employer shall permit an employee who refuses to submit to such a test to perform or continue to perform safety-sensitive functions. (b) When an employee refuses to submit to a drug or alcohol test, the employer shall follow the procedures outlined in 49 CFR Part 40. | |||||
| 49:49:7.1.2.1.16.6.1.1 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | F | Subpart F—Drug and Alcohol Testing Procedures | § 655.51 Compliance with testing procedures requirements. | FTA | The drug and alcohol testing procedures in 49 CFR Part 40 apply to employers covered by this part, and must be read together with this part, unless expressly provided otherwise in this part. | |||||
| 49:49:7.1.2.1.16.6.1.2 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | F | Subpart F—Drug and Alcohol Testing Procedures | § 655.52 Substance abuse professional (SAP). | FTA | The SAP must perform the functions in 49 CFR Part 40. | |||||
| 49:49:7.1.2.1.16.6.1.3 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | F | Subpart F—Drug and Alcohol Testing Procedures | § 655.53 Supervisor acting as collection site personnel. | FTA | [66 FR 42002, Aug. 9, 2001, as amended at 88 FR 27653, May 2, 2023] | An employer shall not permit an employee with direct or immediate supervisory responsibility or authority over another employee to serve as the urine or oral fluid collector, breath alcohol technician, or saliva-testing technician for a drug or alcohol test of the employee. | ||||
| 49:49:7.1.2.1.16.6.1.4 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | F | Subpart F—Drug and Alcohol Testing Procedures | §§ 655.54-655.60 [Reserved] | FTA | ||||||
| 49:49:7.1.2.1.16.7.1.1 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | G | Subpart G—Consequences | § 655.61 Action when an employee has a verified positive drug test result or has a confirmed alcohol test result of 0.04 or greater, or refuses to submit to a test. | FTA | [66 FR 42002, Aug. 9, 2001, as amended at 87 FR 27653, May 2, 2023] | (a)(1) Immediately after receiving notice from a medical review officer (MRO) or a consortium/third party administrator (C/TPA) that a covered employee has a verified positive drug test result, the employer shall require that the covered employee cease performing a safety-sensitive function. (2) Immediately after receiving notice from a Breath Alcohol Technician (BAT) that a covered employee has a confirmed alcohol test result of 0.04 or greater, the employer shall require that the covered employee cease performing a safety-sensitive function. (3) If a covered employee refuses to submit to a drug or alcohol test required by this part, the employer shall require that the covered employee cease performing a safety-sensitive function. (b) Before allowing the covered employee to resume performing a safety-sensitive function, the employer shall ensure the employee meets the requirements of 49 CFR Part 40 for returning to duty, including taking a return to duty drug and/or alcohol test. | ||||
| 49:49:7.1.2.1.16.7.1.2 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | G | Subpart G—Consequences | § 655.62 Referral, evaluation, and treatment. | FTA | If a covered employee has a verified positive drug test result, or has a confirmed alcohol test of 0.04 or greater, or refuses to submit to a drug or alcohol test required by this part, the employer shall advise the employee of the resources available for evaluating and resolving problems associated with prohibited drug use and alcohol misuse, including the names, addresses, and telephone numbers of substance abuse professionals (SAPs) and counseling and treatment programs. | |||||
| 49:49:7.1.2.1.16.7.1.3 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | G | Subpart G—Consequences | §§ 655.63-655.70 [Reserved] | FTA | ||||||
| 49:49:7.1.2.1.16.8.1.1 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | H | Subpart H—Administrative Requirements | § 655.71 Retention of records. | FTA | [66 FR 42002, Aug. 9, 2001, as amended at 87 FR 27653, May 2, 2023] | (a) General requirement. An employer shall maintain records of its anti-drug and alcohol misuse program as provided in this section. The records shall be maintained in a secure location with controlled access. (b) Period of retention. In determining compliance with the retention period requirement, each record shall be maintained for the specified minimum period of time as measured from the date of the creation of the record. Each employer shall maintain the records in accordance with the following schedule: (1) Five years. Records of covered employee verified positive drug or alcohol test results, documentation of refusals to take required drug or alcohol tests, and covered employee referrals to the substance abuse professional, and copies of annual MIS reports submitted to FTA. (2) Two years. Records related to the collection process and employee training. (3) One year. Records of negative drug or alcohol test results. (c) Types of records. The following specific records must be maintained: (1) Records related to the collection process: (i) Collection logbooks, if used. (ii) Documents relating to the random selection process. (iii) Documents generated in connection with decisions to administer reasonable suspicion drug or alcohol tests. (iv) Documents generated in connection with decisions on post-accident drug and alcohol testing. (v) MRO documents verifying existence of a medical explanation of the inability of a covered employee to provide an adequate urine or oral fluid or breath sample. (2) Records related to test results: (i) The employer's copy of the custody and control form. (ii) Documents related to the refusal of any covered employee to submit to a test required by this part. (iii) Documents presented by a covered employee to dispute the result of a test administered under this part. (3) Records related to referral and return to duty and follow-up testing: Records concerning a covered employee's entry into and completion of the treatment program recommended by the substanc… | ||||
| 49:49:7.1.2.1.16.8.1.2 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | H | Subpart H—Administrative Requirements | § 655.72 Reporting of results in a management information system. | FTA | [66 FR 42002, Aug. 9, 2001, as amended at 68 FR 75462, Dec. 31, 2003] | (a) Each recipient shall annually prepare and maintain a summary of the results of its anti-drug and alcohol misuse testing programs performed under this part during the previous calendar year. (b) When requested by FTA, each recipient shall submit to FTA's Office of Safety and Security, or its designated agent, by March 15, a report covering the previous calendar year (January 1 through December 31) summarizing the results of its anti-drug and alcohol misuse programs. (c) Each recipient shall be responsible for ensuring the accuracy and timeliness of each report submitted by an employer, contractor, consortium or joint enterprise or by a third party service provider acting on the recipient's or employer's behalf. (d) As an employer, you must use the Management Information System (MIS) form and instructions as required by 49 CFR part 40, § 40.25 and appendix H. You may also use the electronic version of the MIS form provided by the DOT. The Administrator may designate means (e.g., electronic program transmitted via the Internet), other than hard-copy, for MIS form submission. For information on where to submit MIS forms and for the electronic version of the form, see: http://transit-safety.volpe.dot.gov/DAMIS. (e) To calculate the total number of covered employees eligible for random testing throughout the year, as an employer, you must add the total number of covered employees eligible for testing during each random testing period for the year and divide that total by the number of random testing periods. Covered employees, and only covered employees, are to be in an employer's random testing pool, and all covered employees must be in the random pool. If you are an employer conducting random testing more often than once per month (e.g., you select daily, weekly, bi-weekly), you do not need to compute this total number of covered employees rate more than on a once per month basis. As an employer, you may use a service agent (e.g., C/TPA) to perform random selections for you; and your covered employees may be… | ||||
| 49:49:7.1.2.1.16.8.1.3 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | H | Subpart H—Administrative Requirements | § 655.73 Access to facilities and records. | FTA | (a) Except as required by law, or expressly authorized or required in this section, no employer may release information pertaining to a covered employee that is contained in records required to be maintained by § 655.71. (b) A covered employee is entitled, upon written request, to obtain copies of any records pertaining to the covered employee's use of prohibited drugs or misuse of alcohol, including any records pertaining to his or her drug or alcohol tests. The employer shall provide promptly the records requested by the employee. Access to a covered employee's records shall not be contingent upon the employer's receipt of payment for the production of those records. (c) An employer shall permit access to all facilities utilized and records compiled in complying with the requirements of this part to the Secretary of Transportation or any DOT agency with regulatory authority over the employer or any of its employees or to a State oversight agency authorized to oversee rail fixed guideway systems. (d) An employer shall disclose data for its drug and alcohol testing programs, and any other information pertaining to the employer's anti-drug and alcohol misuse programs required to be maintained by this part, to the Secretary of Transportation or any DOT agency with regulatory authority over the employer or covered employee or to a State oversight agency authorized to oversee rail fixed guideway systems, upon the Secretary's request or the respective agency's request. (e) When requested by the National Transportation Safety Board as part of an accident investigation, employers shall disclose information related to the employer's drug or alcohol testing related to the accident under investigation. (f) Records shall be made available to a subsequent employer upon receipt of a written request from the covered employee. Subsequent disclosure by the employer is permitted only as expressly authorized by the terms of the covered employee's request. (g) An employer may disclose information required to be maintained und… | |||||
| 49:49:7.1.2.1.16.8.1.4 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | H | Subpart H—Administrative Requirements | §§ 655.74-655.80 [Reserved] | FTA | ||||||
| 49:49:7.1.2.1.16.9.1.1 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | I | Subpart I—Certifying Compliance | § 655.81 Grantee oversight responsibility. | FTA | [78 FR 37993, June 25, 2013] | 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. | ||||
| 49:49:7.1.2.1.16.9.1.2 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | I | Subpart I—Certifying Compliance | § 655.82 Compliance as a condition of financial assistance. | FTA | [78 FR 37993, June 25, 2013] | (a) A recipient shall not be eligible for Federal financial assistance under 49 U.S.C. 5307, 5309, or 5311, if a recipient fails to establish an anti-drug and alcohol misuse program in compliance with this part. (b) If the Administrator determines that a recipient that receives Federal financial assistance under 49 U.S.C. 5307, 5309, or 5311 is not in compliance with this part, the Administrator may bar the recipient from receiving Federal financial assistance in an amount the Administrator considers appropriate. (c) A recipient is subject to criminal sanctions and fines for false statements or misrepresentations under 18 U.S.C. 1001. (d) Notwithstanding § 655.3, a recipient operating a ferryboat regulated by the USCG who fails to comply with the USCG chemical and alcohol testing requirements, shall be in noncompliance with this part and may be barred from receiving Federal financial assistance in an amount the Administrator considers appropriate. | ||||
| 49:49:7.1.2.1.16.9.1.3 | 49 | Transportation | VI | 655 | PART 655—PREVENTION OF ALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS | I | Subpart I—Certifying Compliance | § 655.83 Requirement to certify compliance. | FTA | [66 FR 42002, Aug. 9, 2001, as amended at 71 FR 69198, Nov. 30, 2006; 78 FR 37993, June 25, 2013] | (a) A recipient of Federal financial assistance under section 5307, 5309, or 5311 shall annually certify compliance with this part to the applicable FTA Regional Office. (b) A certification must be authorized by the organization's governing board or other authorizing official, and must be signed by a party specifically authorized to do so. (c) Recipients, including a State, that administers 49 U.S.C. 5307, 5309, or 5311 Federal financial assistance to subrecipients and contractors, shall annually certify compliance with the requirements of this part, on behalf of its applicable subrecipient or contractor to the applicable FTA Regional Office. A recipient administering section 5307, 5309, or 5311 Federal funding may suspend a subrecipient or contractor from receiving Federal transit funds for noncompliance with this part. | ||||
| 49:49:7.1.2.1.18.0.1.1 | 49 | Transportation | VI | 661 | PART 661—BUY AMERICA REQUIREMENTS | § 661.1 Applicability. | FTA | [56 FR 932, Jan. 9, 1991, as amended at 72 FR 53696, Sept. 20, 2007] | Unless otherwise noted, this part applies to all federally assisted procurements using funds authorized by 49 U.S.C. 5323(j); 23 U.S.C. 103(e)(4); and section 14 of the National Capital Transportation Act of 1969, as amended. | ||||||
| 49:49:7.1.2.1.18.0.1.10 | 49 | Transportation | VI | 661 | PART 661—BUY AMERICA REQUIREMENTS | § 661.15 Investigation procedures. | FTA | [56 FR 932, Jan. 9, 1991, as amended at 71 FR 14118, Mar. 21, 2006] | (a) It is presumed that a bidder or offeror who has submitted the required Buy America certificate is complying with the Buy America provision. A false certification is a criminal act in violation of 18 U.S.C. 1001. (b) Any party may petition FTA to investigate the compliance of a successful bidder or offeror with the bidder's or offeror's certification. That party (“the petitioner”) must include in the petition a statement of the grounds of the petition and any supporting documentation. If FTA determines that the information presented in the petition indicates that the presumption in paragraph (a) of this section has been overcome, FTA will initiate an investigation. (c) In appropriate circumstances, FTA may determine on its own to initiate an investigation without receiving a petition from a third party. (d) When FTA determines under paragraph (b) or (c) of this section to conduct an investigation, it requests that the grantee require the successful bidder or offeror to document its compliance with its Buy America certificate. The successful bidder or offeror has the burden of proof to establish that it is in compliance. Documentation of compliance is based on the specific circumstances of each investigation, and FTA will specify the documentation required in each case. (e) The grantee shall reply to the request under paragraph (d) of this section within 15 working days of the request. The investigated party may correspond directly with FTA during the course of investigation, if it informs the grantee that it intends to do so, and if the grantee agrees to such action in writing. The grantee must inform FTA, in writing, that the investigated party will respond directly to FTA. An investigated party may provide confidential or proprietary information (see paragraph (l) of this section) directly to FTA while providing other information required to be submitted as part of the investigation through the grantee. (f) Any additional information requested or required by FTA must be submitted within 5 working days a… | ||||||
| 49:49:7.1.2.1.18.0.1.11 | 49 | Transportation | VI | 661 | PART 661—BUY AMERICA REQUIREMENTS | § 661.17 Failure to comply with certification. | FTA | [71 FR 14118, Mar. 21, 2006] | If a successful bidder or offeror fails to demonstrate that it is in compliance with its certification, it will be required to take the necessary steps in order to achieve compliance. If a bidder or offeror takes these necessary steps, it will not be allowed to change its original bid price or the price of its final offer. If a bidder or offeror does not take the necessary steps, it will not be awarded the contract if the contract has not yet been awarded, and it is in breach of contract if a contract has been awarded. | ||||||
| 49:49:7.1.2.1.18.0.1.12 | 49 | Transportation | VI | 661 | PART 661—BUY AMERICA REQUIREMENTS | § 661.18 Intentional violations. | FTA | [61 FR 6303, Feb. 16, 1996, as amended at 72 FR 53698, Sept. 20, 2007] | A person shall be ineligible to receive any contract or subcontract made with funds authorized under the Federal Public Transportation Act of 2005 pursuant to part 29 of this title if it has been determined by a court or Federal agency that the person intentionally— (a) Affixed a label bearing a “Made in America” inscription, or an inscription with the same meaning, to a product not made in the United States, but sold in or shipped to the United States and used in projects to which this section applies, or (b) Otherwise represented that any such product was produced in the United States. | ||||||
| 49:49:7.1.2.1.18.0.1.13 | 49 | Transportation | VI | 661 | PART 661—BUY AMERICA REQUIREMENTS | § 661.19 Sanctions. | FTA | [71 FR 14118, Mar. 21, 2006] | A willful refusal to comply with a certification by a successful bidder or offeror may lead to the initiation of debarment or suspension proceedings under part 29 of this title. | ||||||
| 49:49:7.1.2.1.18.0.1.14 | 49 | Transportation | VI | 661 | PART 661—BUY AMERICA REQUIREMENTS | § 661.20 Rights of parties. | FTA | [71 FR 14118, Mar. 21, 2006] | (a) A party adversely affected by an FTA action under this subsection shall have the right to seek review under the Administrative Procedure Act (APA), 5 U.S.C. 702 et seq. (b) Except as provided in paragraph (a) of this section, the sole right of any third party under the Buy America provision is to petition FTA under the provisions of § 661.15 of this part. No third party has any additional right, at law or equity, for any remedy including, but not limited to, injunctions, damages, or cancellation of the Federal grant or contracts of the grantee. |
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CREATE TABLE cfr_sections (
section_id TEXT PRIMARY KEY,
title_number INTEGER,
title_name TEXT,
chapter TEXT,
subchapter TEXT,
part_number TEXT,
part_name TEXT,
subpart TEXT,
subpart_name TEXT,
section_number TEXT,
section_heading TEXT,
agency TEXT,
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);
CREATE INDEX idx_cfr_title ON cfr_sections(title_number);
CREATE INDEX idx_cfr_part ON cfr_sections(part_number);
CREATE INDEX idx_cfr_agency ON cfr_sections(agency);