FTAs New Charter Rules Presented by: Ohio Department of - - PowerPoint PPT Presentation

FTA’s New Charter Rules

Presented by:

Ohio Department of Transportation/Office of Transit

Presenter:

Rich Garrity, Senior Associate RLS & Associates, Inc. November 13, 2008

FTA’s New Charter Regulations

Page 2 of 93

Ses ession sion Ob Objec ectives tives

• 1. Define Key Terms and Applicability
• 2. Review Exemptions/Exceptions to the Rule
• 3. Review New Registration Process
• 4. Understand Challenges and Complaints

FTA’s New Charter Regulations

Page 3 of 93

Ta Target rget Aud udience ience

 Thi his s Ses ession ion is Des esign gned ed for

• r:

 Tra

ransit sit Agencie ies

 Human

n Serv rvice ice Agencies ies

 Pri

riva vate te Chart rter r Op Opera rato tors rs

 Special

cialized ized Pro rovide iders rs That t May Ente ter r th the Rura ral l Publi lic c Pro rogra ram

Key ey Def efini niti tion

• ns

s an and d App pplica cabi bilit ity

Module 1

FTA’s New Charter Regulations

Page 5 of 93

Eff ffective ective Da Date te

 Fin inal al Rul ule e Is Issue ued d on

• n Jan

anua uary 14 14, 200 , 2008  The here e ar are e Sig igni nifi fica cant nt Cha hang nges es  Rul ule e Wen ent t In Into to Ef Effe fect ct on

• n Ap

April il 30 30, 2008 , 2008

FTA’s New Charter Regulations

Page 6 of 93

Significant gnificant Ch Chan anges ges

 New Definition of “Charter”  Cate tegorical

• rical Exempti

tion

• n fo

for r Secti tion 5311 if if Service is for “Program Purposes”  Ot Other r New Exemption tions  New w Exception tions  Registr istratio ation n Pro rocess ss Replace aces s Tra ransit it System Solicitation of “Willing and Able” Op Opera rato tors rs

FTA’s New Charter Regulations

Page 7 of 93

De Definition: finition: Ch Char arter ter Ser ervice vice

 Tra rans nsport portati ation

• n Pro

rovide ded d By a Rec a Recipi pient ent At the he Req eque uest t of

• f A

A Thi hird rd Par arty For

• r the

he Exclusi lusive ve Use e of

• f a B

a Bus us or

• r Va

Van F n For

• r a

a Ne Nego gotiated ated Pri rice  Or…

FTA’s New Charter Regulations

Page 8 of 93

De Definition: finition: Ch Char arter ter Ser ervice vice

 Tra ranspo porta rtation tion Pro rovid ided ed By a R Recipie ipient t To The Publi lic c fo for E r Events ts or F r Functi tions ns That t Oc Occur r on A An Ir Irre regula lar r Basis is or F r For r a L Limit ited d Dura ration tion and:

 A Premium

mium Fare e Is Is Charg rged ed That t Is Is Greater ter Than an The Usua ual l or Customary tomary Fixe xed d Route te Fare; re; or

 The

e Service vice Is Paid d For In Whole le Or In Part By A Third rd Party

FTA’s New Charter Regulations

Page 9 of 93

De Definition: finition: Ch Char arter ter Ser ervice vice

 Key Chara racte cteri ristics stics of C f Chart rter r Serv rvice ice

 A Third

rd Party ty Pays ys th the Transit nsit Provide vider a Nego gotiated tiated Price ce For the Group up

 Any

y Fares es Charged rged To Indivi vidu dual al Memb mbers ers of the Group p Are Collect lected ed By a Third rd Party ty

 The Service Is Not Part of the Transit Provider’s

Regu gula larly rly Sched edul uled ed Service, rvice, or Is Offered red For a Limited ited Period iod Of Time me;

 A Third

rd Party y Determines ermines the Origin in and Des estination ination and Trip p Sched edul ule

FTA’s New Charter Regulations

Page 10 of 93

De Definition: finition: Ch Char arter ter Ser ervice vice

 Ser ervice ce Pro rovided ded to I

• Ind

ndividuals iduals in n Dem eman and d Res espo pons nse e Mod

• de

e is Not

• t

Cha hart rter er Ser ervice e Und nder er the he New ew R Reg egs

FTA’s New Charter Regulations

Page 11 of 93

Appl pplicability icability

 New ew Ru Rule e App pplies es to

• Rec

ecipi pien ents ts of

• f FTA

Fina nanci ncial al Assistance stance

 Also

so Applies ies to to S Subre recipi cipien ents ts and Third rd Part rty y Contr tracto ctors rs That t Uti tilize lize FTA Funded Equipm pmen ent

 Charte

rter r Cert rtifica ificatio tion n Sti till ll Require ired

FTA’s New Charter Regulations

Page 12 of 93

Exemptions emptions to to th the Reg e Regulations ulations

 The here re ar are e Som

• me

e Clea ear r Exem empt ptions ions Fro rom the he Reg egul ulat ations ions

FTA’s New Charter Regulations

Page 13 of 93

Ex Exem empt ptions ions to th

• the Reg

e Regul ulations ations: : Tr Tran ansport portatio ation n of

• f Em

Empl ploy

• yees

ees

 Tra rans nsport portati ation

• n of
• f Em

Empl ploy

• yees

ees of

• f th

the e Tra rans nsit it System em To/

• /From

rom Tra rans nsit it Fac acil ilit ities ies Withi hin n the he Ser ervice e Are rea

 Ot

Other r Tra ransit it Syste tem Employees, yees, Bidd dders rs or r Contr tractors, tors, or O r Oth ther r Go Govern rnme mental ntal Of Offi ficials ials Fall l Under r th this Exemption ption

FTA’s New Charter Regulations

Page 14 of 93

Ex Exem empt ptions ions to th

• the Reg

e Regul ulations ations: : Em Emer erge genc ncy y Pr Prep epar ared ednes ness

 Tra rans nsport portati ation

• n of
• f Em

Empl ploy

• yees

ees of

• f th

the e Tra rans nsit it System em To/

• /From

rom Emer erge genc ncy y Pre repa pared redness ness Plan anni ning ng an and d Ope pera ration

• n

FTA’s New Charter Regulations

Page 15 of 93

Ex Exem empt ptions ions to th

• the Reg

e Regul ulations ations: : Ru Rural al Tr Trai aini ning ng

 Non

• nur

urban banized ized Are reas as Tra rans nsit t System ems s May ay Tra rans nsport port The heir r Own n Empl ploy

• yees,

ees, Othe her r Tra rans nsit it System em Empl ploy

• yees,

ees, Tra rans nsit it Man anag agem ement ent Officials als, , an and d Tra rans nsit it Con

• ntra

ractors tors an and d Bidd dder ers s To/

• /Fr

From

• m Tra

rans nsit t Tra raini ning ng Out utside de Its Geo eogr graphi aphic c Ser ervice ce Are rea

FTA’s New Charter Regulations

Page 16 of 93

Exempt emptions ions to to th the Regulations lations: : Priv rivate te Sector tor Receiving iving FTA Funds

 If a a Pri rivat ate e Cha hart rter er Ope pera rator

• r Rec

ecei eives es FTA Fun undi ding, ng, Dire rectly y or

• r In

Indi dire rectl ctly, y, Is Not

• t Sub

ubjec ect t to

• the

he Rul ules es on

• n Its Non
• n-

FTA Fun unde ded d Activiti ities es

FTA’s New Charter Regulations

Page 17 of 93

Ex Exemp mptions tions to to th the Regulat ulations: ions: National, tional, Sta tate, te, and Local al Emergencies rgencies

 Servi rvice ce Pro rovid ided ed in Dire rect ct Response se to to an an Emerge rgency cy Decla lared red By th the P Pre resid sident, nt, a Go Govern rnor

• r,

, or a r a Ma Mayor  Servi rvice ce Pro rovid ided ed in Dire rect ct Response se to to an an Emerge rgency cy Requiri ring g Im Immediate te Acti tion Pri rior r to to a F a Form rmal Decla laratio ration n  Exemptio ption n Appli lies s fo for r 45 D Days

 Beyon

yond 45 Days, Permission sion Must be Granted ed by the FTA Adminis istrator trator

FTA’s New Charter Regulations

Page 18 of 93

Ex Exem empt ptions ions to th

• the Reg

e Regul ulations ations: : Pr Prog

• gram

am Ex Exem empt ptions ions

 The Follow lowing ing FTA Pro rogra rams ms are re Exempt t Fro rom th the R Regula lation tions

 Section

ction 5310 (Elde derly rly and Perso sons s with Disa isabiliti bilities es Program) gram)

 Section

ction 5311 (Nonurbaniz nurbanized ed Area Program) gram)

 Section

ction 5316 (JARC ARC Program) gram)

 Section

ction 5317 (New ew Freedom edom Program) gram)

FTA’s New Charter Regulations

Page 19 of 93

Ex Exem empt ptions ions to th

• the Reg

e Regul ulations ations: : Pr Prog

• gram

am Ex Exem empt ptions ions

 Thi his s Exem empt ption

• n Onl

nly App pplies es if th the e System tem is Tra rans nspor portin ting g Gro roup ups for

• r

“Program Purposes”

FTA’s New Charter Regulations

Page 20 of 93

Ex Exem empt ptions ions to th

• the Reg

e Regul ulations ations: : Pr Prog

• gram

am Ex Exem empt ptions ions

 Pro rogr gram am Pur urpo poses es Mea eans ns Tra rans nsport portati ation

• n Tha

hat Ser erves es the he Nee eeds ds

• f
• f Eithe

her r Hum uman an Ser ervice e Age genc ncies es or

• r

Tar arge geted ted Pop

• pul

ulati ation

• ns

s (E (Elde derl rly, y, Ind ndivid viduals uals With h Disab abiliti ities, es, an and/ d/or

• r

Lo Low Inc ncom

• me

e Ind ndividuals) duals)

FTA’s New Charter Regulations

Page 21 of 93

Ex Exem empt ptions ions to th

• the Reg

e Regul ulations ations: : Pr Prog

• gram

am Ex Exem empt ptions ions

 Pro rogr gram am Pur urpo poses es Do N

• Not
• t In

Include ude Exclusi lusive ve Ser ervice e For

• r Othe

her r Gro roup ups For

• rmed

ed for

• r Pu

Purp rpos

• ses

es Unr nrel elat ated ed to t

• the

he Spe pecial ial Ne Need eds of

• f th

the e Tar arge geted ed Pop

• pul

ulati ations

• ns

FTA’s New Charter Regulations

Page 22 of 93

Re Review view

 FTA A Questions stions and Responses

• nses

Ex Exceptions ceptions to to th the e Re Regulat gulations ions

Module 2

FTA’s New Charter Regulations

Page 24 of 93

Ge Gene neral ral

 If If th the e Ex Exem emptions ptions Li Liste ted d in in th the e Pr Prev evious ious Mo Modu dule le Do No

• Not

t App pply ly, , You

• ur Orga

gani niza zation tion is is Sub ubje ject t to to th the Ch e Char arte ter r Reg egul ulat atio ions ns  There are Also “Exceptions” to the Reg egul ulat ation ions  Ma Many ny Ex Excep eptions tions ar are e Con

• nti

tinu nuat ations ions of

• f

Exce ceptions ptions in in th the e For

• rme

mer Rul ule

FTA’s New Charter Regulations

Page 25 of 93

Ex Except eptions: ions: Go Governm ernment ent Of Officials icials

 New ew Ex Excep eption tion  A Tran ansit it Syste stem m Ma May Prov

• vid

ide e Cha harter ter Ser ervice vice to to Gov

• ver

ernm nmen ent t Off ffici icials als fo for Official fficial Gov

• vern

ernme mental ntal Bu Busin ines ess  Con

• ndi

ditio tions ns

 Within

in Se Service ce Ar Area

 Tr

Trip Does Not Generate ate Revenue ue

 Limited

ted to 80 Hours Pe Per Ye Year

FTA’s New Charter Regulations

Page 26 of 93

Ex Except eptions: ions: Go Governm ernment ent Of Officials icials

 Rec ecordkee

• rdkeeping

ping Req equi uired ed (Se See e Ap Appe pend ndix ix B of

• f Gui

uide debo book

• k or
• r FTA Web

ebsit ite) e)  Tran ansi sit t Syste stem m Ma May Pet etit itio ion n FTA Adm dmin inistrator istrator See eekin ing g Per ermis mission sion to to Exce ceed ed 80 80 H Hou

• urs

 Pe

Petitio tions ns Ge Get Po Posted d to a Ne New w Do Docket et for Comment

FTA’s New Charter Regulations

Page 27 of 93

Ex Excepti ceptions

• ns:

: Q Qua uali lifi fied ed Hum uman an Se Service vice Organi ganizat zation ion (QHSO) SO)

 New ew Con

• ncep

ept

 An

An Organiz izati ation

• n Th

That Se Serves s Pe Persons ns Who Qualify ify Fo For Human Se Service ce Pr Program Fu Funding g (Se See Ap Appendix ix A t A to the Re Regulati ation

• n)

 An

An Organiz izati ation

• n Th

That Pr Provides es Human Se Servic ices es to



Indivi vidu duals als wi with Di Disabilitie ties



Indivi vidu duals als wi with Low w Income me



Indivi vidu dual al wi with Advance ced d Age (Elderl rly) y)

FTA’s New Charter Regulations

Page 28 of 93

Ex Excepti ceptions

• ns:

: Q Qua uali lifi fied ed Hum uman an Se Service vice Organi ganizat zation ion (QHSO) SO)

 A A Hum uman an Se Service vice Ag Agen ency is is Cat ateg egor

• rically

ically Assu sumed med to to be be a Q a QHSO O if if it it Rec ecei eives ves Fun undi ding ng Und nder er th the St e Stan anda dard d Li List t of

• f

Fed eder eral al Prog

• grams

ams Fou

• und

nd in in App ppen endi dix A

• f
• f th

the Re e Regu gula lati tion

• n

 If If th the Or e Orga ganiza nization tion Doe

• es Not
• t Rec

eceive eive Suc uch h Fun undi ding ng, , The hen it n it Mu Must t Reg egis ister ter on

• n a

a New ew FTA Web ebsite ite as as a Q a QHSO

FTA’s New Charter Regulations

Page 29 of 93

Ex Excepti ceptions

• ns:

: Q Qua uali lifi fied ed Hum uman an Se Service vice Organi ganizat zation ion (QHSO) SO)

 A A Tr Transit sit Sy Syst stem em May y Pr Provide vide Charter arter Service ice to to a QH QHSO  Recordkeepi cordkeeping ng Requiremen uirements ts

FTA’s New Charter Regulations

Page 30 of 93

Ex Excepti ceptions

• ns:

: L Lea easi sing ng of

• f Eq

Equi uipment/ pment/ Driv ivers ers

 A A Tr Tran ansit it Sy System stem Ma May Le Leas ase e It Its FT FTA A Fun unde ded d Equ quip ipme ment nt an and P d Prov

• vid

ide e Driv ivers ers to to a R a Reg egis istere tered d Cha harte ter r Prov

• vide

ider

 Co Conditio itions ns



Provi vider er is Re Registered ered



Provi vider er Own wns and Operates ates Buses and Vans in a Ch Charter ter Business ss



Pr Provid vider er Re Receiv ived d a Re Request t that Ex Exceeds s Its s Ca Capacity ity



Provi vider er Ha Has Exhaust sted d All Available e Vehicles From Oth ther er Re Registere ered d Private te Ch Charter er Operators ators

FTA’s New Charter Regulations

Page 31 of 93

Ex Excepti ceptions

• ns:

: L Lea easi sing ng of

• f Eq

Equi uipment/ pment/ Driv ivers ers

 Rec ecordkee

• rdkeeping

ping Req equi uirements ements  Sim imila ilar r In Info formation mation But ut Als lso

• In

Inclu lude des s Syste stem m Ret eten entio tion n of

• f th

the Pr e Priv ivate ate Cha harte ter r Operator’s Documentation That the Four Con

• ndi

ditio tions ns ar are e Me Met

FTA’s New Charter Regulations

Page 32 of 93

Ex Excepti ceptions

• ns:

: A Agr greem eements ents wit ith h Reg egist istere ered d Pr Priv ivate ate Cha hart rter er Ope perators rators

 A Tr A Transit it Sy System em May Ne Negotiat iate e wi with Registe stere red d Pr Provide ders rs To To Se Seek Pe Permissi sion

• n to

Pr Provid ide e Certain in Charter er Tr Trips  Ag Agreement ents s Must be Re Reached ed With Al All Pr Provid ider ers  If a New Pr Provide der r Register ters, s, the Tr Transi sit t Sy System em May Continu nue e to Operato ator Under the Current nt Ag Agreemen ents ts With Operator tors



An Agreeme ment nt Must be Re Reached wi with the Ne New w Operator rator in 90 Da Days

FTA’s New Charter Regulations

Page 33 of 93

Ex Excepti ceptions

• ns:

: P Pet etit itio ions ns to to th the e FTA A Ad Admi ministrator nistrator

 A A Tr Tran ansit it Sy System stem Ma May Su Subm bmit it Req eque uests ts (Pet etitions itions) to to th the FT e FTA Adm dmin inis istr trato ator r to to Prov

• vide

ide Cha harte ter r Ser ervice ice Und nder er Thr hree ee Sc Scen enarios arios

 Ev

Events ts of Regiona nal or Nationa nal l Si Signific fican ance ce

 Hardsh

ship ips s (Nonurb rban aniz ized ed Ar Areas Only)

 Un

Unique ue and Ti Time Se Sensitiv tive e Ev Events s (e.g., g., Fu Funera rals ls of Local, l, Regional al, or General al Pu Public ic Intere rest st

FTA’s New Charter Regulations

Page 34 of 93

Ex Excepti ceptions

• ns:

: P Pet etit itio ions ns to to th the e FTA A Ad Admi ministrator nistrator

 Pe Peti titio tions ns Ar Are e One ne-Time Time Ev Even ents ts  Pet etiti itions

• ns Mu

Must t In Indi dicat ate

 Date and Descrip

riptio tion n of the Ev Event

 Ty

Type of Se Service ce Re Requeste sted d and the Ty Type of Eq Equipmen ent

 An

Antici cipa pated ted Number of Charter er Se Service ce Ho Hours s Ne Needed d Fo For the Ev Event

 An

Antici cipa pated ted Number of Ve Vehicles es and Duratio ion

• f Th

The Ev Event

FTA’s New Charter Regulations

Page 35 of 93

Ex Excepti ceptions

• ns:

: P Pet etit itio ions ns to to th the e FTA A Ad Admi ministrator nistrator

 Na Nationa

• nal

l Ev Events



Super r Bowl wl



De Democrat cratic ic Na National al Co Conventi tion

• n



Presi sidenti ential al Addresse sses

 Sy System tem Must Al Also Pr Provide e A D A Descrip riptio tion n of How Register tered ed Charter er Pr Provide ders rs



Were e Co Consulted ed



Will Be Ut Utilized d

 Sy System tem Must Certify ify Th That It Has Ex Exhaust sted ed Al All

• f the Regist

stere red d Charter er Pr Provide ders rs In Its Geogra raph phic ic Se Service ce Ar Area

FTA’s New Charter Regulations

Page 36 of 93

Ex Excepti ceptions

• ns:

: P Pet etit itio ions ns to to th the e FTA A Ad Admi ministrator nistrator

 Har ardshi dships ps

 Design

gned ed for Nonurba bani nize zed d Ar Areas

 Si

Situati ation

• ns

s Where a Charter er Operator tor Would Impos

• se Minimum Duratio

ion n or Si Similar r Charge ges s Th That Would Make the Cost Pr Prohibi bitive tive to the Charter ering ng Pa Party

 Th This is Ex Excep eption tion Has as Be Been en Ex Exte tend nded ed to to Sma mall ll Urba bani nized zed Area eas (Und nder er 20 200, 0,00 000) 0)

FTA’s New Charter Regulations

Page 37 of 93

Ex Excepti ceptions

• ns:

: N No

• Res

esponse ponse To

• Not
• tic

ice

 A Tr A Transit it Sy System em Is Pe Permitted tted to Pr Provide de A A Reques ested ted Charter er Se Service ce If, Af After Pr Providin ing g Notic ice e to Al All Register tered d Pr Private te Operator tors, s, Th There e is No No Re Respons nse e or Intere erest st in Pr Providing ing the Se Service ce



Re Requests sts for Service ce Within in 30 Da Days



Resp sponse nse From

• m Opera

rators tors Due in 72 Hours rs



Re Requests sts for Service ce Beyond 30 Da Days



Resp sponse nse From

• m Opera

rators tors Due in 14 Calenda ndar Days

FTA’s New Charter Regulations

Page 38 of 93

Ex Excepti ceptions

• ns:

: N No

• Res

esponse ponse To

• Not
• tic

ice

 Not

• tices

ices Mu Must t Fo Foll llow

• w Pr

Pres escribe cribed d Pr Proc

• cess

ess  Rec ecordke

• rdkeep

eping ing Req equi uiremen ements ts (See ee App ppen endi dix B to to th the e Gui uide debo book

• k)

FTA’s New Charter Regulations

Page 39 of 93

Rec ecord

• rdkee

keeping ping

 Ne New w El Electron ronic ic Re Reportin ting Re Requirem ement ent



Quarterl rterly y Submissi sion

• n



Effective fective July 30, 2008



Re Report rts s Fil iled at FTA A Website ite

 Al All Charter er Ac Activi vity ty Records ds  Retenti ntion

• n Require

remen ent: t: Th Three Ye Years  El Electro tronic nic, , Bu But No No Sp Specific fic Fo Format t Sp Specifie fied  A Si A Single Log May Su Suffic ice

FTA’s New Charter Regulations

Page 40 of 93

Rec ecord

• rdkee

keeping ping

 If If An Any Cha harte ter r Se Service ice Was as Pr Prov

• vided

ided in in th the e Qua uarter, ter, a C a Cle lear ar Sta tate teme ment nt Id Iden enti tify fying ing Whi hich h Exce cepti ption

• n The

he System tem Rel elie ied d Upo pon n Whe hen n It It Prov

• vid

ided ed th the e Cha harte ter r Ser ervice vice Mu Must t be be Su Subm bmit itted ted to to FTA

FTA’s New Charter Regulations

Page 41 of 93

Re Review view

 FTA A Questions stions and Responses

• nses

FT FTA A Re Regi gistration stration Pr Proces

• cess

Module 3

FTA’s New Charter Regulations

Page 43 of 93

Re Registration gistration Pro rocess ess

 A New ew, , Web eb-Bas ased ed Reg egis istration tration Proc

• cess

ess Rep epla lace ces s th the e Old ld Req equi uiremen ement t fo for a a Tran ansi sit t Syste stem m to to Ann nnua uall lly Sol

• lic

icit it th the e In Inte teres rest t of

• f Wil

illi ling ng an and A d Abl ble e Ope perat ators

• rs

 Two

• Ent

ntit ities ies Reg egis ister ter

 Pr

Private ate Charter er Operato ators rs

 Qualifie

ified d Human Se Service ce Organiz izati ation

• ns

FTA’s New Charter Regulations

Page 44 of 93

Re Registration gistration Ho Home e Pag age

FTA’s New Charter Regulations

Page 45 of 93

Pr Priv ivate ate Cha hart rter er Ope perat rator

• r Reg

egis istration tration

 Web ebsite ite Add ddres ess

http:/ tp://ww www.ft w.fta.d a.dot.g

• t.gov
• v/la

laws/le ws/leg_ g_reg reg_1 _179. 79.htm html

FTA’s New Charter Regulations

Page 46 of 93

Pr Priv ivate ate Cha hart rter er Ope perat rator

• r Reg

egis istration tration

 Web ebsite ite Opt ptio ions ns

 Registe

ster

 Am

Amend a Pr Previous us Registra tration

• n

 Se

Search ch Pr Private te Charter er Operato ators rs Databas ase

 Se

Search ch Qualifie fied d Human Se Service ce Organi niza zatio tions ns Databas ase

FTA’s New Charter Regulations

Page 47 of 93

Pr Priv ivate ate Cha hart rter er Ope perat rator

• r Reg

egis istration tration

 Sel elf-Certif Certificatio ication n Proc

• ces

ess  For

• r Exam

ampl ple, e, Proo

• of

f of

• f In

Insur urance ance is is Not

• t

Req equi uired red  Civ ivil il an and C d Crimi imina nal l Pen enal alti ties es, , How

• wev

ever, er, For

• r Fil

ilin ing g a Fal a False e Reg egis istr trati ation

• n

FTA’s New Charter Regulations

Page 48 of 93

Pr Priv ivate ate Cha hart rter er Ope perat rator

• r Reg

egis istration tration

 In Info formatio rmation



Compa mpany ny Contac act t Informat rmation ion



Federal deral and State Motor

• r Carr

rrier ier Numbers bers



The e Geogr grap aphic hic Serv rvice ice Areas as (Orga ganiz nized d by Public ic Transi nsit t Agencies ncies) ) In Which ch the Priva vate te Charter rter Opera rator

• r Intends

nds to Prov

• vide

ide Chart rter er Serv rvice ice



The e Number ber of Buses es/Vans Vans the Priva vate e Char arter er Operator rator Owns



A Certific ificat ation ion Regard arding ng Valid Insur uran ance ce



St Statement ement Regard arding ing Whether ther the Operator rator is W to Pr Provide vide Free ee or Reduc uced d Rate Char arter er Servic vice to R Register istered d Qualifi ified ed Human man Servic vice e Organiz ganizati ation

• ns

FTA’s New Charter Regulations

Page 49 of 93

Pr Priv ivate ate Cha hart rter er Ope perat rator

• r Reg

egis istration tration

FTA’s New Charter Regulations

Page 50 of 93

Pr Priv ivate ate Cha hart rter er Ope perat rator

• r Reg

egis istration tration

FTA’s New Charter Regulations

Page 51 of 93

Pr Priv ivate ate Cha hart rter er Ope perat rator

• r Reg

egis istration tration

 Cha hall llen enge ges

 A Tr

A Transit it Ag Agency

 An

Anothe her r Pr Private te Charter er Operato ator

 Repres

esen entat tativ ives es of these se Organiz izati ation

• ns

 Challe leng nges es Fi Filed Th Through h a Complain int t Pr Process ss

FTA’s New Charter Regulations

Page 52 of 93

Pr Priv ivate ate Cha hart rter er Ope perat rator

• r Reg

egis istration tration

 Web ebsite ite Mu Must t Be Up e Upda date ted d Whe hene never er The here e is is a C a Cha hang nge, e, But ut No Les

• Less

Freq eque uent ntly ly Tha han On n Once e Ever ery y Two

• Yea

ears

FTA’s New Charter Regulations

Page 53 of 93

Qua uali lified fied Hum uman an Se Service vice Organi ganizat zation ion (QHSO) SO) Reg egis istration tration

 A Hu A Human Se Service ce Ag Agency Th That Receive ves s Fu Fundin ing g Under An Any One of the Fe Federal l Pr Program ams s Listed ed in Ap Appendix ix A A of the Re Regulat latio ion n Do Does No Not Ha Have to Re Registe ster  If the Ag Agency Does Not Receiv ive e Su Such Fu Funding, g, Bu But Se Serves s the El Elderly, y, Pe Persons ns with Disabili ilitie ties s

• r Pe

Persons ns wi with Low w Incom

• me,

e, Th They Sh Should Registe ster r If Th They Need Charte ter r Se Service ces s from a Pu Public ic Tr Transit it Sy System

FTA’s New Charter Regulations

Page 54 of 93

Qua uali lified fied Hum uman an Se Service vice Organi ganizat zation ion (QHSO) SO) Reg egis istration tration

 In Info formation rmation



Agency ncy Contact act Informat rmation ion



The e Geogr grap aphic hic Serv rvice ice Areas as (Orga ganiz nized d by Public ic Transi nsit t Agencies ncies) ) In Which ch the Agenc ncy y Serv rves es



A A Copy y of the Most Recent cent Financ ncial ial St Statement ment



Statement ement Indica cating ing If th the Agenc ncy y is Organiz anized ed as a Se Section ion 501(c) 1(c) (1),(3), ),(3), (4), ), or (19) 9) Corp rporation

• ration of the Intern

rnal al Reve venue nue Code de



Statement ement Regar arding ing Funding, ding, Directly ectly or Indire rectly ctly From m a Federal deral or State Agenc ncy



A Statement ment Desc scribi ibing ng the Charter rter Servic vice e Requir quired ed and How That at Servic vice is Consis sistent tent With the Missio sion n of th the Agenc ncy

FTA’s New Charter Regulations

Page 55 of 93

Qua uali lified fied Hum uman an Se Service vice Organi ganizat zation ion (QHSO) SO) Reg egis istration tration

FTA’s New Charter Regulations

Page 56 of 93

Qua uali lified fied Hum uman an Se Service vice Organi ganizat zation ion (QHSO) SO) Reg egis istration tration

FTA’s New Charter Regulations

Page 57 of 93

Qua uali lified fied Hum uman an Se Service vice Organi ganizat zation ion (QHSO) SO) Reg egis istration tration

 Cha hall llen enge ges

 A Tr

A Transit it Ag Agency

 An

Anothe her r Pr Private te Charter er Operato ator

 Repres

esen entat tativ ives es of these se Organiz izati ation

• ns

 Challe leng nges es Fi Filed Th Through h a Complain int t Pr Process ss

FTA’s New Charter Regulations

Page 58 of 93

Qu Qualifi ified ed Human an Se Servi vice ce Or Organi anizat zation ion (QH QHSO SO) Registrat stration ion

 Web ebsite ite Mu Must t Be Up e Upda date ted d Whe hene never er The here e is is a C a Cha hang nge, e, But ut No Les

• Less

Freq eque uent ntly ly Tha han On n Once e Ever ery y Two

• Yea

ears

FTA’s New Charter Regulations

Page 59 of 93

How

• w Pu

Publ blic ic Transit ansit Sy Systems tems Use e th the e Reg egistrat istration ion Dat atab abase ase

 If An An Organiz izatio ation n Qualifie fies s as a QHSO SO, Th Then the Tr Transi sit t Ag Agency, y, Upon Request st to Pr Provide de a Charter Service, Should Verify the Agency’s QH QHSO SO St Status s on the Website ite  If Regist ster ered ed, , Th Then the Tr Transit it Ag Agency y May Pr Provid ide e the Se Service ce Pu Pursuan ant t to the Ex Excepti ption n Al Allowe wed d Un Under 49 CF CFR p R part 604.7  Must t Maintai ain n Records ds

FTA’s New Charter Regulations

Page 60 of 93

How

• w Pu

Publ blic ic Transit ansit Sy Systems tems Use e th the e Reg egistrat istration ion Dat atab abase ase

 Why Do We Need the Databas ase? e?  Tr Transi sit t Sy Systems ms Will Be Be Ab Able to Se Serve Qualifi ified ed Human Se Service ce Organizati ization

• ns

s Under Th The Ex Exemptio tion n in 49 CF CFR R part 604.2(e) (e)

FTA’s New Charter Regulations

Page 61 of 93

Deci cision sion Tree ee

FTA’s New Charter Regulations

Page 62 of 93

Re Review view

 FTA A Questions stions and Responses

• nses

FTA’s New Charter Regulations

Page 63 of 93

Gr Group up Ex Exercise cise

 Ex Exerci cise se – Can We Pr Provide e Charter r Se Service ce?  Review ew the Va Various s Sc Scenario ios s and Determ rmin ine e if Th The Tr Transit it Ag Agency y Can Pr Provide e the Request sted ed Charter ter Se Service ce

Co Complai mplaints nts an and d En Enfor forcement cement

Module 4

FTA’s New Charter Regulations

Page 65 of 93

Ov Overview erview

 New SA SAFET ETEA EA-LU LU Ma Mandated ted En Enfor forcement cement  Mechanisms hanisms

 Registr

gistration ation Challe llenges nges

 Ad

Advisor isory y Op Opinio nions ns

 Cease

ase and d Desist ist Or Orders ers

 Vi

Violatio lation n Comp mplaints laints

FTA’s New Charter Regulations

Page 66 of 93

Re Regi gistratio stration n Ch Chal alleng enges es – Pr Privat ate e Op Oper erat ators

• rs

 Challeng lenging ing a Pr Private te Charter ter Operator ator Registrati istration

• n

 Require uired d In Info formati rmation

• n

 Nam

ame e and Ad Address ress of f Ea Each h En Enti tity ty That t is th the e Su Subject ject of th f the Comp mplaint laint

 A

A Concise cise St State temen ment t of f Wh Why th the Pr Private vate Charter arter Op Oper erator ator Sh Shou

• uld

ld Not t Be Be Listed ted

FTA’s New Charter Regulations

Page 67 of 93

Re Regi gistratio stration n Ch Chal alleng enges es – Pr Privat ate e Op Oper erat ators

• rs

 Filing ng a Co Comp mpla laint int is an El Electr tronic

• nic

Pr Process cess

 Filed

ed to to th the Char arter ter Se Service vice Removal moval Com

• mplain

plaint t Docket ket Numb mber er FTA–2007 2007– 002 024 4 at: t: htt ttp: p://ww //www.re w.regu gulat lations ions.gov .gov

 Compl plain aints ts Can Al Also Be Be Filed on Pa Paper

FTA’s New Charter Regulations

Page 68 of 93

Re Registration gistration Ch Chal allenges lenges - QH QHSO

 Challeng lenging ing a Qualified fied Huma man n Se Service ice Organ ganization ization  Require uired d In Info formati rmation

• n

 Nam

ame e and Ad Address ress of f Ea Each h En Enti tity ty That t is th the e Su Subject ject of th f the Comp mplaint laint

 A

A Concise cise St State temen ment t of f Wh Why th the QH QHSO SO Sh Shou

• uld

ld Not t Be Be Liste ted

FTA’s New Charter Regulations

Page 69 of 93

Re Registration gistration Ch Chal allenges lenges - QH QHSO

 Filing ng a Co Comp mpla laint int is El Electron tronic ic Pr Process cess

 Filed

ed to to th the Char arter ter Se Service vice Removal moval Com

• mplain

plaint t Docket ket Numb mber er FTA–2007 2007– 002 024 4 at: t: htt ttp: p://ww //www.re w.regu gulat lations ions.gov .gov

 Compl plain aints ts Can Al Also Be Be Filed on Pa Paper

FTA’s New Charter Regulations

Page 70 of 93

Re Registration gistration Ch Chal allenges lenges - FTA FTA

 Certif tification ication Required red by Comp mpla lainant inant  Challeng lenges es Must t be Filed With thin n 90 Days ys of f th the Complaini aining ng Pa Party ty Disc scover

• vering

ing Facts ts That t Merit t Removal val of f th the Register tered ed Charter ter Pr Provid ider er fr from th the FTA A Charter ter Registration stration Websi site te  Ag Agency ncy Respo ponse nse Due in 15 Days s Af Afte ter r Challeng lenge

FTA’s New Charter Regulations

Page 71 of 93

Re Registration gistration Ch Chal allenges lenges - FTA FTA

 FTA A Will Rule, , Ba Based on Pr Prepond

• nderance

erance

• f

f Ev Evidence nce

 Ba

Bad d Faith th

 Fra

raud ud

 Lap

apse se of In f Insurance urance

 Lapse

apse of Oth f Other er Documen cumentati tation

• n

 Repeti

petiti tive ve Filing ng of f Unsubstantia ubstantiated ted Claims ims

FTA’s New Charter Regulations

Page 72 of 93

Re Registration gistration Ch Chal allenges lenges - FTA FTA

 FTA A Will Rule With thin n 30 Days s of f Filing g of f Challeng lenge e Respo ponse nse

 Pe

Permit rmit Registr gistrant ant to to Rema main in on List t and d Reasons asons Wh Why

 Len

ength gth of Ti f Time e Of Off L f List t if Re f Remo moved ved (Up to to Thre hree e Ye Years) ars)

FTA’s New Charter Regulations

Page 73 of 93

Adv dvisory isory Op Opini nions

• ns

 A A Written tten St State tement ment Is Issued ed By By th the FTA A Chief f Counsel sel Regardi rding ng Whether ther A A Se Servic vice e Is Is Be Being Pr Provi vided ded In In Compl pliance iance Or Not t In In Compliance iance With th FTA A Charter ter Rules  A A First t St Step That t Es Esta tablishes blishes a Ba Basis s fo for Furt rther her Ac Acti tion, n, If If An Any

FTA’s New Charter Regulations

Page 74 of 93

Adv dvisory isory Op Opini nions

• ns

 Represent resent th the Formal mal Po Positio tion n of f FTA A

• n th

the Matt tter er  Ad Advisor isory y Opinions

• ns May be Ac

Accom

• mpanied

panied by Issuance of a “Cease and Desist” Order der

FTA’s New Charter Regulations

Page 75 of 93

Adv dvisory isory Op Opini nions

• ns

 Reque questi sting ng an Ad Adviso sory ry Op Opinio nion



State atemen ent t of Facts



Affirmat mation ion

 Reque quests sts Filed ed El Electronica tronically lly  Charter arter Se Service vice Ad Advisor sory y Op Opinio nion/Cease n/Cease and Desist sist Or Orde der r Docket ket Numb mber er FTA–20 2007 07– 002 023 3 at: t: htt ttp: p://ww //www.re w.regu gulat lations ions.gov .gov

FTA’s New Charter Regulations

Page 76 of 93

Ce Cease ase an and d De Desis sist t Or Orde ders rs

 A A Written tten Order er Is Issued ed By By FTA A Mandating ating That t The Se Servic vice e In In Question tion Pr Provided vided By By th the Transit nsit Sy System tem Be Be St Stopped ped Im Immediately iately  ODOT OT Will Treat at Ad Advisor sory y Opinions ions and Cease se and Desist st Orders ers as Compl pliance iance It Items

FTA’s New Charter Regulations

Page 77 of 93

Ce Cease ase an and d De Desis sist t Or Orde ders rs

 Reque quests sts fo for Or Orders ders Must st Contain ntain:



A Descripti ption

• n of the Need for the Order



A Detailed ed Descripti ption

• n of the Lost Busine

ness ss Oppor portuni tunity ty



A Descripti ption

• n of How The Public

c Interes rest t Will B Be Served ved



A Detailed ed Descripti ption

• n of the Efforts

ts Made e to Notify y the Transi sit t System em of the Poten ential tial Violati ation

• n

FTA’s New Charter Regulations

Page 78 of 93

Ce Ceas ase e an and Des d Desist st Or Orde ders – Tr Tran ansit t Sy System tem Re Respo pons nse

 Response ponse Required ired in Three e Bu Business ness Days ys  Po Point-by by-Point Point Rebuttal ttal Sh Should be Su Suppli lied ed

FTA’s New Charter Regulations

Page 79 of 93

Violation

• lation Co

Complaints plaints

 Form rmal al Pr Process ess

 Pr

Privat vate e Op Oper erator ator Comp mplaint laint

 Tra

ransit nsit Sy Syste tem m An Answer wer

 Pr

Privat vate e Op Oper erator ator Reply ply

 Tra

ransit nsit Sy Syste tem m Rebu butta ttal

 Sp Speci cified fied Time melines nes fo for Ea Each St Step in Pr Process cess

FTA’s New Charter Regulations

Page 80 of 93

Violation

• lation Co

Complaints plaints

6/3 - 6/23 20 Days 6/23 - 7/3 10 Days 5/4 - 6/3 30 Days 4/4 - 5/4 30 Days 1/5 - 4/4 90 Days

1/1/08 7/31/08

1/5/08 Date of Alleged Violation 5/4/08 FTA Notifies System 6/3/08 Transit System Answer 6/23/08 Charter Operator Reply 7/3/08 Transit System Rebuttal 4/4/08 Deadline for Filing Complaint Complaint Answer Reply Rebuttal Transit System Action Private Charter Operator Action FTA Action

FTA’s New Charter Regulations

Page 81 of 93

Violation

• lation Co

Complaints plaints

 FTA A Ma May Dismis miss s a Comp mplai aint nt

 Outside FTA’s Jurisdiction  Com

• mplain

plaint t Deem emed ed Unwar warra ranted nted

 Lack

ck of L f Legal gal St Standing ding of Co f Comp mplainant lainant Pa Part rty

FTA’s New Charter Regulations

Page 82 of 93

Vi Viol

• latio

ation n Co Comp mplai aints nts - Inv nves estiga tigation tion

 FTA, A, If If Me Merit t is Found in th the Vi Violation tion Compl plain aint, t, Will Conduct uct In Investiga estigation tion  FTA A May Se Seek Ad Addition tional al Facts ts fr from Bo Both th Pa Parties ties  FTA A May In Initi tiate ate an In Investigation stigation Without thout a Fo Formal mal Comp mplaint aint

FTA’s New Charter Regulations

Page 83 of 93

Vi Viol

• latio

ation n Co Comp mplai aints nts - Inv nves estiga tigation tion

 FTA May Appoint a “Presiding Official” to to Overs rsee ee th the Complai aint nt In Investi estigation gation and to to Conduct uct Formal mal Hearings ings on th the Ma Matter tter  Judicial icial Rights ts Ac Accorded

• rded to

to Bo Both th Pa Parti ties es

 Leg

egal al Repr present esentat ation ion

 Righ

ght t to to Have e a H Hearing aring

 Righ

ght t to to Pr Present sent Testi timony mony

FTA’s New Charter Regulations

Page 84 of 93

Vi Viol

• latio

ation n Co Comp mplai aints nts - Inv nves estiga tigation tion

 Pr Presidi siding ng Off fficial cial (PO PO) ) Su Submi mits ts Findings ngs and Recomme mmendatio ndations ns to to FTA A Chief f Counsel nsel With thin n 110 Days s of f Refe ferra rral  Requested uested Ex Exte tensio nsions ns May Delay y Ruling ng

FTA’s New Charter Regulations

Page 85 of 93

Violation

• lation Co

Complaints plaints - App ppeal eals

 A Party May Appeal the Chief Counsel’s Decision ision by Filing g Noti tice ce of f Ap Appeal l Within thin 21 Days s  FTA A Ad Administrator istrator Rules s With thin in 30 Days s

• f

f Ap Appeal  FTA A Ad Admi ministrator istrator Has Discre cretionary tionary Au Auth thority

• rity to

to Review ew Al All Decisions sions

FTA’s New Charter Regulations

Page 86 of 93

Violation

• lation Co

Complaints plaints - App ppeal eals

 If If An An Ap Appe peal al Is Is Not

• t Fi

File led, d, th the e Chi hief ef Counsel’s Decision Takes Effect as FTA’s Fin inal al Dec ecis ision ion an and O d Orde der r 21 21 D Day ays s Aft fter er the Date of the Chief Counsel’s Decision  Fai ailu lure e to to Fil ile e an an Ap Appe peal al Is Is Dee eeme med d a a Wai aiver er of

• f Any

ny Rig ight hts to to See eek Jud udic icial ial Review of the Chief Counsel’s Decision

FTA’s New Charter Regulations

Page 87 of 93

Violation

• lation Co

Complaints plaints - Re Remedies edies

 Vi Violation ation Comp mplai aints nts, , if f Su Substant tantiated, ated, May Result lt in Se Serious

• us Pe

Penalties ties Im Imposed

• sed on Transit

nsit Sy System tem

 Ba

Bar r Transi ansit t Sy Syste tem From

• m Receiving

eiving Futu ture re FTA A Financial ancial As Assistance tance

 Wi

With thholdi holding ng of a f a Pe Percentage centage of FT f FTA A Financial nancial As Assistanc tance

 Su

Suspension/De spension/Deba barmen rment

FTA’s New Charter Regulations

Page 88 of 93

FT FTA O A Omb mbud udsma man

Crys rystal tal Frede deric rick Ombudsman budsman fo for Charte arter r Services vices Fede dera ral l Transit nsit Admin inistration, istration, 1200 00 New w Jersey rsey Ave., , SE. Room

• m E54–410

410 Was ashing hington, ton, DC 20590 90 (202 02) ) 366–406 063

• mbud

budsm sman.chart an.charterser erservi vice@dot.gov ce@dot.gov

FTA’s New Charter Regulations

Page 89 of 93

Addi dditional tional Re Resources

• urces

 49 CFR part t 604  Ap Appendix ndix B B to to 49 CFR part t 604

 Ba

Basis is fo for Remo moval val From

• m Charte

arter r Registr gistration ation We Website site

 Ap Appendix ndix B B to to 49 CFR part t 604

 Charter

arter Se Service vice Qu Questi stions

• ns and

d An Answers wers

FTA’s New Charter Regulations

Page 90 of 93

Addi dditional tional Re Resources

• urces

 Transi ansit t Ag Agency cy Fact t Sh Sheet

htt ttp: p://ww //www. w.fta fta.dot.gov/docume .dot.gov/documents/ nts/Fact_Shee Fact_Sheet- _Cha hart rter_Service er_Service_Final_R _Final_Rule.ppt ule.ppt

 Pr Private vate Charter ter Operator ators s Fact t Sh Sheet

htt ttp: p://www //www.f .fta.dot.gov ta.dot.gov/docum /documents ents/C /Char harter_ ter_Fin Fin al_Rul _Rule-Private Private_Operat Operator

• r_Fact_Sheet.p

Fact_Sheet.ppt pt

FTA’s New Charter Regulations

Page 91 of 93

Re Review view

 FTA A Questions stions and Responses

• nses

FTA’s New Charter Regulations

Page 92 of 93

Adjour journ

 Good d Luck k in Using g This In Info formation rmation at t Yo Your r Own Transi nsit t Pr Programs rams

FTA’s New Charter Regulations

Page 93 of 93

Pres resenter enter

Richard chard Ga Garrit rity, y, Senior ior Associate ciate

RLS S & & As Associ ciate ates, s, Inc. 3131 S.

• S. Di

Dixie Hi Highwa way, y, Su Suite 545 Dayton ton, , OH 45439 (937) ) 299-5007 07 Direct ct Line: : (910) 328-5770 70 richg hg@c @cris.co is.com