Rural Transit System Quality Assurance Review (QAR) Questions
Administration and Planning
Previous QARs
When was the last quality assurance review?
When was the last financial audit?
When was the last Drug and Alcohol QAR?
Did the system complete an action plan to address the requirements?
Have all requirementsbeen implemented?
Public Transit Index (PTI)
Have you reviewed the latest PTI system profile?
What are you doing to improve your PTI?
Do you use PTI measures to monitor performance?
Transit Advisory Committee
Does your system have a Transit Advisory Committee (TAC)?
Who appoints the TAC members?
Who is represented on the TAC?
What is the TAC’s role?
How could your TAC be more effective?
How often does the TAC meet? Do you invite the ODOT transit system representative to attend the meeting?
Do you send meeting minutes to the ODOT transit system representative?
System Planning
Do you have a transit-specific mission statement?
Does the transit system follow annual “what by when” goals and objectives?
Do you report annual goal achievement to your ODOT transit representative?
Do you follow a Transportation/TransitDevelopment Plan (TDP)?
How is the plan used? Have you updated the plan?
Does the system conduct strategic planning for service improvement? If so, describe.
How do you monitor system performance?
How could the planning process be improved?
Grants Management
Do you submit ODOT proposals, applications, and reports by the due dates?
Do you request reimbursements, revisions, extensions in a timely manner?
Grantee Relationship(relationship between the Transit System and the Grantee (Mayor, County Commissioners, Transit Board, etc.)
What support services are provided by the grantee?
What is the grantee’s role in decisions about the annual budget, service design, management, and operations?
How do you report data and system activities to the grantee?
Four Year Capital and Operating Plan
Describe the process your system uses to prepare its Four Year Capital and Operating Plan.
Is there a vehicle replacement schedule in place?
Is the Four Year Plan reviewed and/or approved by the grantee?
If you are part of an MPO’s planning area, are your capital and operating needs documented in the MPO’s TIP?
Budget Preparation
Briefly describe the process used to prepare the budget.
Is there a detailed budget breakdown?
Who approves the budget?
Data Collectionand Reporting
Who is responsible for data collection and reporting to ODOT?
How is system data used to make service changes? Provide examples if possible.
Provide copies of any reports used in data collection – driver manifests, dispatcher forms, trip count sheets, trip denial log, computer-generated reports, etc.
Financial Management
Audits
Has a copy of the most recent financial audit been submitted to ODOT?
Are the audits conducted in accordance with generally accepted accounting principles as defined in the corresponding circular?
Are there any unresolved audit issues?
Budget Monitoring
Who is responsible for monitoring the transit system’s budget?
What type of accounting is used: cash, modified cash, or accrual?
How often is the budget reviewed?
Do the reports compare actual and budgeted spending?
What do you do if there are significant variances between revenues and expenses?
How are funds transferred between line items?
When would line item transfers typically occur?
Who is responsible for making these decisions?
Who is responsible for recording general ledger transactions?
Farebox Collection and Reconciliation
How do the drivers collect the fares?
Where do the drivers keep the fares?
How often do drivers turn in fares?
What is the procedure for the drivers to turn in the fares?
Do the drivers count the fares? Is someone else present when the drivers count fares?
Do the drivers get a receipt for the fares they turn in?
What happens to fares after drivers turn them in?
Who makes the bank deposits?
How often are bank deposits made?
Is a reconciliation done between driver manifests/logs and farebox totals? Who is responsible for this?
Are the drivers given petty cash for making change for fares or for other expenditures such as car washes and fuel purchases?
In-Kind Contributions and Indirect Costs
Do you receive in-kind contributions?
Do you have a written in-kind plan approved by ODOT? Provide a copy.
How often is it reviewed and verified?
Who is responsible for monitoring in-kind contributions?
Is there a cost allocation plan (CAP) in place for building usage and personnel time? Provide a copy.
Is theCAP OMB A-87 (or OMB A-122 for CACs) compliant and has it been approved by your cognizant agency? When was it approved? Provide a copy.
Have you sent your most recent CAP to ODOT for review?
Federal Revenues
Who ensures that the requirements for non-federal and other allowable Federal funds in FTA Circular 9040.1F are being followed?
Are they being followed?
Do you have revenues from other allowable Federal funds?
Petty Cash Fund Procedures
Does the transit system have a petty cash fund?
Is it secure?
What types of expenditures is it used for?
Who is allowed to withdraw funds?
Are there policies and procedures in place for petty cash expenditures? Provide a copy.
Who reviews petty cash expenditures?
How often are they reviewed?
Timekeeping Procedures
How do the drivers and other employees record their time?
Who verifies it?
Fares
Does the system evaluate the fare structure on a regular basis?
When was thelast time fares were changed?
How long was the public comment period?
How doesyour fare structure compare with peer transit system fare structure?
Tickets, Passes, Tokens
Does the transit system use gift certificates, tickets, tokens or passes?
When and where are they sold?
Are they secure?
How are they accounted for?
Do drivers track them on their driver manifests/logs?
Elderly and Disabled Passenger Fares
Are discounts given to E & D riders?
Does the transit system have an E & D certification process? If so, describe.
Is there an E & D identification card issued?
How and where does a passenger obtain an E & D card?
How does the public know about the E & D fare?
How does the system monitor and report E & D ridership?
Contract Rates
Are all contracts written and current?
Is your contract service open to the general public?
How often are contracts reviewed?
Are you using a fully allocated cost spreadsheet to determine contract rates? If not, what are you using?
Resource Management
Are inventories up-to-date and consistent with PTMS records?
Are any vehicles leased to human service agencies, schools, etc.?
Do you have the vehicles and equipment you need to operate effectively?
Is property only being used for transit purposes?
Purchasing and Procurement
Do you have a written purchasing/procurement policy? Provide a copy.
Does it define small purchases versus large purchases/procurements?
What large purchases/procurements have you made in the past three years? Provide a list.
Do you conduct large purchases/procurements without ODOT review and approval? Please describe.
“Small” Purchases and ARRA Funding
Who is responsible for conducting small purchases?
Are there written purchasing procedures for small purchases?
What limits are used to qualify as a small purchase?
If small purchase procedures are used, how many price or rate quotations are received before making the purchase?
What documentation do you keep (quotes, price sheets, etc.)?
Where do you maintain the documentation (file location)?
How long is the information maintained?
Have you made small purchases using ARRA funds?
Have you provided documentation to ODOT on ARRA purchases?
Was a cost/price analysis done for ARRA funded procurements? How was it documented?
Do you have a separate file on ARRA purchases? (Review/Verify)
Large Purchases/Procurements and ARRA Funding
Who is responsible for conducting large purchases/procurements?
Do they contain protest procedures?
Are any purchases made through a consortium?
Are leases handled the same as purchases?
Have you made large purchases/procurements using ARRA funds?
Did you conduct independent cost estimates before receiving bids or proposals? How were they developed?
Was a cost/price analysis done for ARRA funded procurements? How was it documented?
Have you conducted any piggyback purchases with ARRA funds? How was it documented?
Have you received ODOT approval on ARRA purchases?
Do you have a separate file on ARRA purchases? (Review/Verify)
Vehicle Purchases
Does the grantee purchase from state term contracts?
Does the grantee purchase vehicles directly?
Have you purchased vehicles using ARRA funds? (If so, please list vehicle type and number)
Have you conducted any piggyback purchases with ARRA funds? How was it documented?
Leases
Do you have a lease agreement for property use?
a)Do you lease FTA funded assets? If yes, were leases approved by FTA?
b)b.How are leases administered to assure compliance with FTA requirements? Are FTA property management guidelines followed by private operators under contract?
c)Are lease revenues used for transit purposes?
Fuel Purchases
How are fuel purchases made?
How are fuel purchases accounted for?
Insurance
Do you purchase insurance or are you self insured?
Do you have a comprehensive insurance policy for vehicles and equipment?
Does your policy meet the minimum insurance requirements set by the State of Ohio?(Review/Verify)
Vehicle Maintenance Purchases
If maintenance is contracted out, how is the maintenance contractor selected?
Are maintenance purchases made using the system’s purchasing/procurement policy?
Contract Service Provider
Is service competitively procured?
Who is responsible for conducting the procurement?
How often is this procurement conducted?
When was the last time this was done?
Describe the process used to procure services.
Are the proper principlesof procurement followed?
Are formal advertisements issued?
When and where do you advertise the public notice? Provide a copy.
Provide a copy of the evaluation criteria.
How are proposalsevaluated?
Is your RFP approved by ODOT?
Do you have an ODOT concurrence file? Review/Verify
Have there been any sole source or noncompetitive negotiated procurements within the last three years? Explain.
Was there a cost analysis prepared? (Provide a copy)
Is there a standard contract the grantee uses to enter into with the service provider?
Does it include all of the FTA and ODOT-required clauses?
Do any potential conflicts of interest exist between the policy board members or employees and consultants/vendors/suppliers or between the service provider and consultants/vendors/suppliers?
Human Resource Management
Training
How do you ensure that training is current with federal and state requirements?
How is training documented and tracked?
What training needs are not being met? Why?
Have you applied for scholarships to attend training and/or conferences?
What training and/or conferences have you attended?
Do you have documentation that all drivers (even those who drive on an occasional basis) participated in a Defensive Driving class conducted by a National Safety Council (or equivalent) certified instructor within the last three years?
Do you have documentation that all drivers (even those who drive on an occasional basis) participated in DRIVE: Transporting Elderly and Disabled Passengers, Passenger Assistance Training (PAT), (or an equivalent passenger assistance program) conducted by a certified instructor?
Do you have documentation that all drivers (even those who drive on an occasional basis) participated in First Aid training?
Do you have documentation that all drivers (even those who drive on an occasional basis) participated in annual blood borne pathogens training?
Do you have documentation that all drivers (even those who drive on an occasional basis) participated in CPR training?
Do you have documentation that all drivers (even those who drive on an occasional basis) participated in wheelchair securement training?
Do employees receive any other type of training? If so, what types and how often?
Driver Requirements
If required due to vehicle size/weight, do drivers have CDLs?
Do you have documentation that all newly hired drivers are at least 18 years old?
Do you have documentation that all newly hired drivers have a valid driver’s license?
Do you have a recent certified abstract of record of convictions for all newly hired drivers? (The maximum number of points on the abstract is six (6).)
Do you have documentation of a criminal background check through the Bureau of Criminal Identification and Investigation for all newly hired drivers?
Do you have a policy on how you will handle the outcome of the criminal background checks?)
Do all newly hired drivers have a physical exam stating that they are able to provide passenger assistance?
Required ADA Policies
Do you have policies available to passengers and employees for the following?
- ADA ComplianceYes/No
- Job DescriptionsYes/No
- Service AreaYes/No
- Service HoursYes/No
- Access to InformationYes/No
- Lift ProceduresYes/No
- Seatbelt UsageYes/No
- Wheelchair SecurementYes/No
- Trip DenialsYes/No
- Preventive MaintenanceYes/No
- Daily Pre-trip InspectionsYes/No
(including lift cycling)
Required ADA Documentation
Do you have documentation available to passengers and employees for the following?
- Personal Care Attendants Yes/No
- Service AnimalsYes/No
- Oxygen Tank SecurementYes/No
- Lift Maintenance Yes/No
Required Communications
What type of two-way communication do you have with your drivers?
Does your two-way communication device have either a 110 volt or 12 volt power source backup?
Service Delivery
Service Design and Capacity
Do you notify ODOT before making service changes?
Are you using ODOT’s data definitions as defined in the Rural Transit Manual, Attachment 6-A?
Scheduling
How is scheduling done (manually, computer spreadsheet, dispatching software, etc.)?
How many dispatchers/schedulers does the system have?
How many direct phone lines are there to the scheduler/dispatcher?
a.How are the phones answered (e.g., ______Transit)?
b.If a customer calls and the line is busy, what happens to the call?
c.If, in question b. above, the call rolls to another line, how is that call answered (e.g., ______Transit, other, etc.)?
d.How does the scheduler/dispatcher know if an accessible vehicle is needed?
How are calls answered outside regular dispatching hours?
How are “will calls” for return trips handled?
How far in advance are customers required to call to reserve a ride (e.g., 24-hours in advance vs. day before, 48-hours in advance, etc.)?
Are same day calls accepted?
How are no-shows handled? Do you have a written no-show policy?
How are cancellations handled? Do you have a written cancellation policy?
Are no shows and cancellations documented? What is the no-show rate? What is cancellation rate?
Do you document all service requests? (ie. Trip turndowns, Trip refusals)
How do you know that the dispatchers/schedulers are accurately tracking and documenting trip denials?
What is the number of trip denials per month?
Have you analyzed the causes of the trips denials (days, times, locations, accessible vehicle availability, etc.)? (Provide copies of the analysis.)
Have you mapped the locations of the trip denials in the service area?
Have you assessed the impact of the trip denials on persons with disabilities?
What percentage of trip denials are persons with disabilities?
Are any trips scheduled outside of the service area? To where? How often?
Are trips prioritized by trip purpose?
Can general public trips ride with the contract trips?
What is the average amount of time a passenger is on a vehicle?
What is the maximum amount of time a passenger is on a vehicle?
Type of Service (indicate)
Door-to-door plus call to inform passenger vehicle is on its way to pick them up
Door-to-door
Curb-to-curb, door-to-door upon request
Curb-to-curb
Stop-to-stop
% General Public Trips (indicate)
> 80%
80% - 70%
69.99% - 60%
59.99% - 50%
49.99% - 25%
< 25%
Peak Period Spare Ratio
What periods of the day are peak periods for your system?
What is your current spare ratio?______
Total number of vehicles in fleet ______
Required number of vehicles for peak hour ______
Number of spares ______
Service Monitoring
Who is responsible for driver supervision?
How many full-time and part-time drivers does the system have?
Do drivers usually drive the same vehicle or route or do drivers switch?
How do you monitor drivers? Do you have on-street monitoring procedures? Do you document on-street monitoring observations for each driver?
Local and Regional Transportation Coordination Efforts
Has your system ever been involved with a coordination project funded by the Ohio Coordination Program? How did you participate?
Are you currently involved in any coordination efforts in your area? Describe them, who is involved and whatare the coordination goals?
Do you currently coordinate with other rural systems? With whom?
Do you currently coordinate with other urban systems? With whom?
How could you improve regional coordination efforts?
Are you participating in a Locally Developed Coordinated Public Transit-Human Services Transportation Plan? Please describe your participation.
Public Participation Policy
Did the system hold the required public hearing for the grant application? How was it advertised?
Do you have a written public participation process when making servicechanges?