Agenda - 03-17-2015 - 7d - Laserfiche WebLink

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NORTH CAROLINA DIVISION OF PUBLIC TRANSPORTATION SYSTEM SAFETY PROGRAM AUDIT ASSESSMENT REPORT OF FINDINGS AND CORRECTIVE ACTIONS Core System Safely Program Finding Is Audit Recommendation: Implementation Plan ofAction(s): OPT response /actions as of Feb 6, 2015 @ Response Date Element Theimplementation plan shouldbein sufficient March 2015 Due Closed detail to - 7agmcies a. Clearly demonstrate what actions have occurred Has background and character checks (i.e., criminal history and motor vehicles D Criminal background checks were not conducted on d implement a process to ensure criminal The Orange County HR Department has proposed a Yes. The procedure is located within the 'Driver November 6, 2014 cords) been conducted prim to hiring new safety sensitive employees? w employees. The transit director stated he was and drivers license checks are conducted, draft policy for the County Managers and the BOCC's Selection' section. Included iWOPT Initial Hiring (Reference: NCGS 114 -19.6 Criminal History Record Check, 49 CUR, Part 391 are this process applied 0 transit because it is a d dated by the reviewer. Update the consideration which addresses the issue of conducting Procedures for Drivers' and'Procedures for selecting a and TSA/FTA Security and Emergency Management Action Items for Transit DUDS reference. This fording applies since the transit ing policies to match actua l policy criminal background checks for prospective employees mfe driver' Upon review, the supervisor will sign and Agencies; Management and Accountability) agency transports passengers on behalf of DUDS and requiems. as, mandated by federal and/or state statutes requiring date the background check document. has no other method in place to ensure transit criminal background investigations. The first step in this employees door have criminal past that would prevent process is to seek legal approval by the County them from working with children, disabled or the Attorney's Office The HR Department has provided a elderly passengers. Drivers license checks were draft to the County Attorney's Office for review and conducted but not dated and initialed by the reviewer. -it, which requires additional information. The ;;Agencies plan, pg. 3 states potential employees must Human Resource Department has an established vendor meet the follow requirements prim to hire: "Good account to conduct any required criminal background driving record with no Driving While Intoxicated check. For MVR processing, signature and review (DWI), Driving Under the Influence (DUI) or similar dates were added to the driver MVR forms on file. charges ". French Paul Trembley received a DWI 5 -16- Future MVR requests will be submitted on the 84 but was recently hired. The director stated a records established mount date or as needed through the HR review was conducted on Sane 12th and Mr. Trembley Dept. and reviewed with OPT Management. Reviewed passed the HR process. hiring policy to include minimum standards - replaced with established policy. San 7, 2015. NCDOT/PTD: Is there currently a method in place to conduct background checks on new employees or employees moving into a safety sensitive position? Will the person reviewing the record be required to Sign and Date the background check? L4 1.5 Has annual motor vehicle record review(s) been conducted of all drivers? D Three records were reviewed, Reviewed MacArthur Develop and implement a process 0 ensure drivers Establish procedure for HR to conduct records check November 6, 2014 (Reference: 49 CFR, Part 391 and TSA/FTA Security and Emergency Howard Smith, Peter Murphy and Oakley Wendy license checks are conducted, reviewed and dated by and review with OPT Management. Reviewer's Management Action Items for Transit Agencies; Management and Wilson. Records were not dated or initialed by the the reviewer. Develop an oversight process to ensure signature was added 0 the records. Electronic file with Accountability) reviewer. One operator Oakley Wilson's license expires records are updated at the required intervals. expiretca dates has been updated and a printed copy 10- 31 -14, there is no documented oversight process in has been added to the review file. place to prompt management to ensure license are updated at the required interval 2 Section Driver/Employee Training 2.1 Is a training program in place for employees (drivers, dispatchers, etc...)? Has D The transit agency doesn't have a training plan that list Develop and implement a specific training plan for each Driver training program requires improved record A training plan is included identifying training November 6, :014 specific training requirements been identified for each position? (Reference: specific training requirements for each position, at what position that list training requirement, training intervals keeping to include checklists and signatures to insure objectives and training intervals. Position Specific Mannorm Training Standards for Community and Human Service Transportation intervals training is conducted, and when training and identifies when training objectives have been completion of same. Also added to individuals' training training has been conducted for each position and added Vehicle Operators ... Records Retention and Disposition Schedule, Standard -15 objectives have been accomplished accomplished- folders. San 7, 2015. NCDOT/PTD: Has a training to the employees training record Employees records Personnel Records, Item 29...29 CFR 1627.3) plan been developed that list position specific training have been documented 0 reflect their commit and identifies training objectives and required training knowledge level and all future position specific training intervals9 and annual training will be documented in the employees training record- The deficiencies noted above until corrected indicate that your system is non - compliant with NCDOT policies. Corrective action must be taken by the given date to prevent further penalties or termination of your contract. Pa �- 2 1 c