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(ii) Parent: The biological, adoptive, step or foster father or mother of an
employee, an individual who stands in place of-the parent to that
employee, or an employee who has day-to-day responsibility for caring
for a child.

d. For a serious health condition that makes the employee unable to perform the
employee’s job.

e. To care for a member of the Armed Forces who is undergoing medical
treatment, recuperation, or therapy, is otherwise in outpatient status, or is
otherwise on temporary disability retired list, for a serious injury or illness.

f. To address certain qualifying exigencies of a spouse, son, daughter, or parent
on covered active duty or call to active duty status in the regular component of
the Armed Forces.

2. If both a husband and wife are employed by DART, their combined FMLA leave
is limited to 12 work weeks during any 12-month period measured backward for
the birth or placement of a son or daughter for adoption or foster care, or care for
the child after birth or adoption, or care of a parent with a serious health
condition. Request for Military Caregiver Leave is limited to a combined 26
weeks, in a single 12-month period. If the husband or wife taking Military
Caregiver Leave also takes leave for the birth or placement of a child or to care for
a parent who has a serious health condition, that leave also may count toward the
26 weeks of combined Military Caregiver Leave during a single 12-month period.

D. Military Family Leave

1. Active Duty Leave: Eligible employees with a spouse, son, daughter, or parent on
covered active duty or call to active duty status in the regular component of the
Armed Forces, National Guard or Reserves in support of a contingency operation
may use their 12-week leave entitlement to address certain qualifying exigencies.
Qualifying exigencies may include attending certain military events, arranging for
alternative childcare, addressing certain financial and legal arrangements,
attending certain counseling sessions, deployment to a foreign country, and
attending post-deployment reintegration briefings.

a. Son or Daughter: The employee’s biological, adopted, or foster child,
stepchild, a legal ward, or a child whom the employee stood in loco parentis,
who is on active duty or call to active duty status, and who is of any age.

b. Parent: The biological adoptive, step or foster, father or mother, or any other
individual who stood in loco parentis, but does not include parents-in-law.

2. Caregiver Leave: FMLA also includes a special leave entitlement that permits
eligible employees to take up to 26 weeks of leave to care for a covered service
member during a single 12-month period. This single 12-month period begins on

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the first day an eligible employee takes Military Caregiver Leave and ends 12
months after that date.

a) A covered service member is a member of the Armed Forces, including a
member of the National Guard or Reserves, who is undergoing medical
treatment, recuperation, or therapy, is otherwise in outpatient status, or is
otherwise on the temporary disability retired list for a serious injury or
illness, or

b) A veteran who is undergoing medical treatment, recuperation, or therapy for a
serious injury or illness, and who was a member of the Armed Forces
(including a member of the National Guard or Reserves) at any time during
the period of 5 years preceding the date on which the veteran undergoes that
medical treatment, recuperation or therapy.

3. The Caregiver leave entitlement applies on a per-covered service member, per-
injury basis. However, no more than 26 weeks of leave may be taken within a
single 12-month period by any covered employee. Even in circumstances where
an employee takes other leave covered by the federal FMLA, the combined leave
shall not exceed 26 weeks during that 12-month period.

a) In the case of a member of the Armed Forces (including a member of the
National Guard or Reserves), a serious health condition means an injury or
illness that was incurred by the member in the line of duty, on active duty in
the Armed Forces (or existed before the beginning of the member’s active
duty in the Armed Forces) and that may render the member medically unfit to
perform the duties of the member’s office, grade, rank or rating.

b) In the case of a veteran who was a member of the Armed Forces (including a
member of the National Guard or Reserves) at any time during a period
described in paragraph D.2.B means a qualifying (as defined by the Secretary
of Labor) injury or illness that was incurred by the member in the line of duty
on active duty in the Armed Forces (or aggravated by service in the line of
duty on active duty in the Armed Forces) and that manifested itself before or
after the member became a veteran.

E. Intermittent/Reduced Leave

1. An employee does not need to use this leave entitlement in one block. Leave can
be taken intermittently or on a reduced leave schedule when medically necessary.

a) Intermittent Leave: Leave taken in segments or separate blocks of time
interspersed with periods of work due to a single qualifying event. Examples

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of such leave include absences for continuing medical treatment such as
chemotherapy for cancer, kidney dialysis or prenatal care.

b) Reduced Leave Schedule: A leave schedule that reduces an employee's usual
number of working hours per workweek, or hours per workday. Such reduced
schedule precludes the employee from DART’s 40-hour per week pay
guarantee.

2. Leave taken for serious health conditions, or under Military Family Leave, may be
taken on an intermittent basis (not continuous) when medically necessary or for a
qualifying event.

3. When leave is taken after the birth or placement of a child for adoption or foster
care, an employee may take leave intermittently or on a reduced leave schedule
only if DART agrees. Such a schedule reduction might occur, for example, where
an employee, with DART’s agreement, works part-time after the birth of a child,
or takes leave in several segments. DART’s agreement is not required, however,
for leave during which the mother has a serious health condition in connection
with the birth of her child or if the newborn child has a serious health condition.

4. An employee may take leave to care for a family member on a reduced leave
schedule or intermittent basis. DART may require the employee to transfer
temporarily to an available alternate position for which the employee is qualified
and which better accommodates foreseeable recurring periods of leave than does
the employee’s regular position.

5. The duration of the intermittent leave or reduced leave will remain at a 12-week
maximum.

6. Employees must make reasonable efforts to schedule leave for planned medical
treatment so as not to unduly disrupt DART’s operations.

7. Leave due to qualifying exigencies may also be taken on an intermittent basis.

8. An employee requesting leave must also comply with applicable DART policies
regarding the use of other leaves of absence that run concurrently with FMLA
leave. Additionally, an employee absent from work is required to fulfill his/her
obligations under applicable agency policies.

F. Procedure for Requesting Leave

1. An employee requesting FMLA leave must provide 30 days advance notice to the
employee’s supervisor of the intention to take leave if the leave is foreseeable.
Foreseeable leave may include, but is not limited to, an expected birth, placement
for adoption or foster care, or planned medical treatment.

2. If the need for leave is unforeseeable, the employee must notify the employee’s
supervisor of the request for leave as soon as is practicable. Employees are

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required to comply with their departmental call-in and reporting procedures,
absent unusual circumstances.

3. Notice may be given by the employee’s spokesperson (e.g., spouse, adult family
member, or other responsible party) if the employee is unable to do so personally.

a. For example, if an employee’s child has a severe asthma attack and the
employee takes the child to the emergency room, the employee would not be
required to leave his or her child in order to report the absence while the child
is receiving emergency treatment.

b. However, if the child’s asthma attack required only the use of an inhaler at
home followed by a period of rest, the employee would be expected to call the
employer promptly after ensuring the child has used the inhaler.

4. Employees must provide sufficient information for the employer to determine if
the leave may qualify for FMLA protection and the anticipated timing and
duration of the leave.

a. Sufficient information may include that the employee is unable to perform job
functions; the family member is unable to perform daily activities, the need for
hospitalization or continuing treatment by a health care provider, or
circumstances supporting the need for military family leave.

b. Employees also must inform his or her supervisor if the requested leave is for
a reason for which FMLA leave was previously taken or certified.

c. Employees also may be required to provide a certification and periodic
recertification supporting the need for leave.

5. If FMLA leave is requested, the employee will receive a Notice of Eligibility and
Rights & Responsibilities, and a copy of the required DART FMLA Certification
form. The notice will include the date the certification form must be returned to
Risk Management. If the employee is not eligible, DART will provide a reason for
the ineligibility.

6. DART will inform employees if leave will be designated as FMLA-protected and
the amount of leave counted against the employee’s leave entitlement. If DART
determines the leave is not FMLA-protected, DART will notify the employee.

7. DART may require, at its expense, the opinion of a second health care provider
designated or approved by DART, but not employed regularly by DART, or
regularly contracted with DART. If the second opinion differs from the first,
DART may require, at its expense, the opinion of a third health care provider
designated or approved jointly by DART and the employee. The third health care
provider's opinion is final and binding on DART and the employee. DART may
require that the employee provide subsequent re-certification on a reasonable
basis.

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G. Procedure While on Leave

1. While on FMLA leave the employee must:

a. Continue paying the employee’s share of any group health benefit plan
premiums the employee was paying before leave began, or as may be
established during the course of such leave. An employee’s group health care
coverage may be terminated if the employee’s premium payment is more than
30 days late. If an employee fails to pay the health insurance premiums during
periods of unpaid leave, DART will recover the employee’s share of the
premiums when the employee returns to work.

b. Notify the supervisor immediately of any change in the circumstances for
which leave is being taken. DART may require re-certification as permitted
by federal law.

c. DART may require an employee on intermittent leave, for planned medical
treatment or caregiver leave to transfer temporarily to an available alternative
position for which the employee is qualified, if the position has equivalent pay
and benefits and better accommodates recurring periods of leave than the
employee's regular position. Transfers are not permitted for Military Exigency
leaves.

d. In accordance with departmental requirements, advise the supervisor of the
employee’s intent to return to work at the conclusion of leave.

e. If leave is intermittent or on a reduced schedule, continue to provide the
supervisor with a schedule of medical appointments, or the necessary dates
and times that will require the employee to be away from work while on
approved FMLA leave.

f. If leave is intermittent or on a reduced schedule, verify that the employee’s
absence was the result of a FMLA-qualifying event.

2. An employee on a FMLA leave of absence must use his or her paid leaves from
the first day of FMLA leave. This does not affect the right to unpaid leave, if
eligible.

H. Procedure for Returning From Leave

1. An employee must notify the supervisor of the employee’s expected return to
work date in accordance with departmental requirements.

2. If an employee’s leave is for the employee’s own serious health condition, and
he/she is returning to work following any period of incapacity, the employee is
required to provide DART with a fitness-for-duty certification from the applicable
health care provider, with regard to the particular health condition that caused the
employee’s need for FMLA leave.

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a. The certification must address the employee’s ability to perform the essential
duties of the position, and include a description of any limitations.

b. In addition to the above fitness for duty certificate requirements, employees
may be required to provide a fitness-for-duty certification following
Intermittent or Reduced Schedule leave up to once every 30 days if reasonable
safety concerns exist regarding the employee’s ability to perform his or her
duties.

3. Following FMLA leave, DART will return the employee to the position held
when the leave began, or to an equivalent position with equivalent pay, benefits,
and other terms and conditions of employment. Use of FMLA leave will not
result in the loss of any employment benefit that accrued prior to the start of an
employee’s leave.

4. If an employee gives definitive notice of his or her intent not to return to work,
DART’s obligation under the FMLA to maintain health benefits (subject to
COBRA requirements) and to restore the employee cease. However, DART’s
obligations will continue in a situation where an employee indicates that he or she
may be unable to return to work but expresses a continuing desire to do so,
consistent with HEM 7.22.B.1 above. Additional leave requests will be processed
in accordance with applicable sections of the HEM.

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8.1. Awards and Incentive Programs
The Authority will develop and maintain a variety of programs that recognize and reward
employees (individual or group) for demonstrated exceptional job performance over a
sustained period of time, and demonstrated exceptional performance of a special project,
act, or service.
A. DART Ideas Program
This subsection has been removed.
B. Meritorious Award
This subjection has been removed.
C. Transportation Department
Please refer to the Transportation Department Supplement for the following awards:
1. Safe Driver Award
2. Efficiency Awards
3. Most Efficient Operator Award
4. Other awards specific to Transportation Department employees.
D. Maintenance Department
This subsection has been removed effective 12/20/99.

8.2. Employee Conduct
A. Employees of DART are expected to exhibit high standards of personal conduct both
on and off the job, and to avoid conflicts of interest or even the appearance of
conflicts of interest. Conduct that is illegal or would reflect negatively on DART may
be the basis for discharge.
B. Where evidence supports a violation of this section, disciplinary action may be taken
independently of and prior to any legal action or conviction.
C. The following statements are a guide to the general conduct of employees, and are not
intended to be a complete list.
1. All employees are expected to report to work regularly, to be on time, to be
diligent in the performance of their assignments, and to observe safety rules and
practices at all times.
2. All employees shall render courteous treatment to the public.
3. Employees shall exercise care in the use of DART property and shall not use
DART property for personal use.
4. Employees shall not use their official position to secure special privileges or
exemptions for themselves, family members, or others.

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5. Employees shall not grant any special consideration, treatment, or advantage to
any citizen, individual, group, or governmental jurisdiction.

6. An employee or members of an employee's immediate family shall not accept any
gift, service, item of value, or favor from any person, firm, or corporation that a
reasonable person might believe could tend to influence the employee in the
discharge of official duties.

7. All employees are expected to cooperate in investigations conducted by
management officials in carrying out legitimate responsibilities in administering
discipline and processing grievances.

D. Individual DART organizations may implement more specific standards of conduct as
appropriate.

8.3. Unacceptable Conduct (Revised 10/1/02)

The following types of conduct are unacceptable and may be cause for
corrective/disciplinary action in the form of counseling, written warning, final written
warning, reprimand, suspension, demotion, or discharge, depending upon the facts and
circumstances of each case.

A. Unsatisfactory attendance is exemplified by, but is not limited to, the following:

1. Absence without approved leave (AWOL) including unexcused absence or
tardiness, failure to give notice of an absence or tardiness to the supervisor as
prescribed by operating policy or procedures, or reporting to work without proper
equipment, uniform, or personal appearance.

2. Absence or tardiness that causes significant curtailment or disruption of service
without sufficient justification.

3. Excessive amounts of time off the job, regardless of the reason.
To meet the Authority's goals and objectives, all employees must report to work
regularly at the appointed place, on time, and with proper equipment and/or in
uniform.
It is recognized that there are times when employees must be absent. In such
instances employees are expected to give as much advance notice as possible, and
supervisors will attempt to assign the work so that such employees may be excused.

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Due to operating conditions some organizations require specific absence reporting
procedures with which employees must comply.
Employees who are absent or tardy without good cause will be subject to discipline.
B. Job abandonment occurs when an employee without authorization is absent from
the job, or refuses a legitimate order to report to work, for three consecutive work
days. The employee is deemed to have abandoned his job and may be discharged.
C. Inability to come to work occurs when an employee is absent due to an extended
illness or injury after sick leave, and/or disability compensation have been exhausted.
D. Failure to perform or unwillingness to perform assigned work satisfactorily is
exemplified by, but is not limited to, the following violations:
1. Failure to follow routine written or oral instructions.
2. Arguing over assignments or instructions.
3. An accumulation of other deficiencies indicating the employee's continuing

failure to adequately perform in a productive, efficient, and competent manner.
4. Concealing or attempting to conceal defective work.

E. Indifference towards work is exemplified, but not limited to, the following
violations:
1. Inattention, inefficiency, loafing, sleeping on the job, carelessness, or negligence.
2. Failure to remain at one's work station, leaving work without permission, or
taking excessive time or more time than allowed for eating or break periods.
3. Performance of personal business during work time.
4. Interference with the work of others.
5. Discourteous or irresponsible treatment of the public or other employees.
6. Reporting to work without proper tools, equipment, uniform, safety shoes, safety
glasses, watches, and any other required equipment or tools. In these situations,
the employee will be carried in AWOL status or, upon his/her request carried in
LWOP status if approved by the supervisor.

F. Sabotage is exemplified, but not limited to, the following violations:
1. Deliberate damage to or destruction of DART equipment or property.
2. Defacing of DART property.
3. Unauthorized alteration, removal, destruction, or disclosure of DART records.
This violation includes unauthorized removal or alteration of personnel file
documents.
4. Advocacy of or participation in unlawful trespass or seizure of DART property.

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G. Strike and work stoppage is exemplified by, but not limited to, the following
violations:

1. Engaging in or encouraging others to engage in slowdowns, sit-ins, or strikes.

2. Engaging in or encouraging others to engage in other concerted actions or efforts
to limit or restrict employees from working.

3. Refusal to cross picket lines after directed to by the supervisor (with consultation
with higher level manager and/or division head if required).

4. Interference with the public use of or access to DART services, properties, or
buildings.

H. Safety violations (revised 11/01/00) are exemplified, but not limited to, the following
violations:

1. Failure to follow DART or departmental safety rules, procedures, and regulations.
An employee who is required to maintain a valid Texas driver's license as a
condition of employment will be subject to discharge for violation of this section
H.1. if he/she:

a. has more than three convictions of moving violations in the last 24;

b. has one or more delinquent traffic citations;

c. has more than one DWI/DUI conviction in his/her driving history;

d. fails to report a DWI/DUI arrest or ticket to the section manager within five
working days of the date of the arrest;

e. fails to report a DWI/DUI conviction to the section manager of designee
immediately (within 24 hours of said conviction).

f. fails to maintain a valid Texas driver's license required as a condition of
employment; or

g. fails to report suspension, revocation, restriction, expiration, or any change in
the status of his/her driver's license to his/her immediate supervisor.

2. Failure to use required safety equipment.

3. Removal or modification of a safety device.

4. Lifting in an unsafe manner.

5. Operation of a vehicle or other equipment in an unsafe manner.

6. Smoking in a prohibited area.

7. Endangering of one's own safety or that of others by careless or irresponsible
actions or negligence.

8. Failure to report an on-the-job injury, vehicle accident, or unsafe working
condition.

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I. Dishonesty is exemplified by, but is not limited to, the following violations:
1. Acceptance of money or anything of value from a person subject to the regulatory
decision or supervision of the employee.
2. Cheating, forging, or willful falsification of official reports or records.
3. False reporting of the reason for paid leave of absence.
4. Any other act of dishonesty detrimental to DART or fellow employees.
5. Failure to tell the truth, the whole truth, and nothing but the truth.

J. Unauthorized possession or use of property, funds, or information is exemplified
by, but is not limited to, the following violations:

1. Unauthorized taking of DART property or the property of others.

2. Unauthorized use of DART employee funds.

3. Using or authorizing the use of DART equipment including DART telephones or
employee services for other than official DART business.

4. Using or authorizing the use of DART equipment or employee services without
property authority.

5. Mishandling or misuse of DART revenues, scrip, or credit cards.

6. Unauthorized use or misuse of DART documents, electronic communication or
information systems. Electronic communication and information systems include,
but are not limited to: computers and their networks; hardware and software;
electronic mail and internet/intranet access; telecommunications; and
reprographics equipment.

K. Insubordination is exemplified by, but is not limited to, the following violations:

1. Failure or refusal to follow the orders or instructions of a supervisor or higher
level management official in the employee's direct line of supervision.

2. Pursuit of a denied request to a higher authority without revealing the lower level
disposition, provided that:

a. if the employee believes an instruction or order is improper, he/she should
obey the instruction or order and file a grievance later; or

b. if the employee believes that the instruction or order, if followed, would result
in physical injury to the employee or others or damage to DART equipment,
the employee should request approval by the next higher level of supervision
before performing the work, unless the danger complained of is inherent to the
job.

3. Refusal to cooperate in investigations or hearings by failure to appear as a witness
or failure to produce requested evidence, unless due to justifiable reasons.

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L. Violation of DART's Substance Abuse Program
See Chapter 10 for DART’s substance abuse program, which encompasses federal
regulations regarding preventing alcohol misuse and prohibited drug use in transit
agencies.

M. Disturbance is exemplified by, but is not limited to, the following violations:
1. Fighting or boisterous conduct.
2. Deliberate causing of physical injury to an employee, a citizen, or DART patron.
3. Intimidation including threatening injury to another employee, a citizen, or DART
patron.
4. Disruption of the work area.
5. Use of profane or abusive language. This includes use of racial and/or ethnic slurs
or sexist language.
6. Confirmed findings of sexual harassment or other discriminatory acts by
employees
7. Spreading of false reports.
8. Other disruption of the harmonious relations among employees or between
employees and the public.

N. Abuse of DART property
1. Abuse of DART property is exemplified by, but is not limited to, the following
violations:
a. Negligent damage or destruction of DART equipment or property.
b. Waste of materials or negligent loss of tools or materials.
c. Improper maintenance of equipment.
d. Damage caused by use of tools or equipment for purposes other than that
intended.
e. Failure to report/correct unsafe and damaged equipment.

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2. In addition to appropriate disciplinary action, damage caused by proven intent
will cause the employee to be responsible for the repair or replacement of any
damaged item. Failure to reimburse DART is cause for discharge.

O. Misconduct is any conduct, during or off working hours, that could have an adverse
effect on DART, or on the confidence of the public in DART. Misconduct includes
criminal offense(s) and convictions.

P. Criminal Activity Reporting (eff. 3/15/12) – All employees are required to report
any letter of information or indictment within five days of receipt. Failure to report
receipt of an information or indictment within the timeframe will be grounds for
progressive discipline.

Q. Gambling or unlawful betting, loaning, and collecting loans during working hours
and on DART property.

SPECIAL NOTES:

1. In addition to these rules, because of the varied tasks performed by employees
throughout DART, organizations may establish supplemental guidelines which
employees will be required to observe.

2. A reprimand becomes part of the employee's official personnel file for 12 months.
After the 12-month period expires, the employee's immediate supervisor may
submit a written request to Human Resources requesting the reprimand be
removed from the employee's official personnel file.

8.4. Conflict of Interest and Unethical Conduct

A. General Application

1. This policy applies to all DART management officials and employees, including
temporary and part-time employees and members of the employee's immediate
family.

2. The term "employee's immediate family" is defined as the employee's spouse,
children, stepchildren, mother, father, brother, sister, or any other relative residing
in the employee's household.

3. This policy also applies to:

a. Agents of DART - individuals, groups, or organizations which represent or act
on behalf of DART.

b. Agents of employees or employee's immediate family - individuals, groups, or
organizations which represent or act on behalf of the employee.

4. Any employee found to have engaged in any activity or conduct which constitutes
a conflict of interest or who fails to timely notify his/her supervisor of a potential
conflict, is subject to discipline or discharge.

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5. Management officials, employees, members of employee's immediate family,
contractors, and agents may also be subject to penalties or sanctions which are
unrelated to the DART employment procedures for disciplinary actions.

B. Conflict of Interest

1. No DART employee shall engage in any activity which constitutes a conflict of
interest or which a reasonable person would interpret as creating the appearance
of a conflict of interest.

A conflict exists if the employee or a member of the employee's immediate family
has a direct or indirect financial, business, or close personal relationship with an
entity that does business with DART or seeks to do business with DART, now or
in the foreseeable future that a reasonable person would conclude could alter the
employee's impartial judgment or performance of his/her duties.

A potential conflict of interest also exists if the employee or any member of the
employee's immediate family is considering an offer of employment, or is
actively seeking employment, with an entity that does business with DART or
seeks to do business with DART now or in the foreseeable future.

2. An employee having a potential conflict shall, prior to the existence of the
situation that could constitute a conflict of interest, notify in writing his/her
supervisor of the potential conflict of interest. Upon receipt of such notification,
the supervisor shall, if possible, remove the employee from any responsibility
which would create a conflict of interest or the appearance of a conflict of
interest.

In the event it is impracticable for the employee to be removed from the activity
or responsibility, the employee's supervisor shall notify his/her supervisor,
division head, and the General Counsel, of the potential conflict of interest. At the
discretion of the Authority, further disclosure concerning the possible conflict
may be warranted.

The employee may be assigned to continue to perform the duties to which he/she
was previously assigned, provided that the employee shall be closely monitored
by his/her supervisor to ensure that the potential conflict of interest does not in
fact affect the employee's judgment or performance or compromise the
Authority's integrity.

In situations where the potential conflict of interest is continuing and, in the
Authority's judgment, affects the ability of the employee to devote full attention to
DART responsibilities, the employee may be directed to divest himself/herself of
the interest which gives rise to the potential conflict.

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3. Organizational Conflict of Interest. An organizational conflict of interest exists
when the nature of the work to be performed under a proposed contract may,
without some restriction on future activities, result in an unfair competitive

advantage to the contractor or impair the contractor's objectivity in performing the
contract work. All DART management officials and Procurement staff must
promote policies, procedures, and practices for identifying and preventing real
and apparent organizational conflicts of interest.

C. Unethical Conduct

No DART employee shall engage in any unethical conduct. Any employee so
engaged is subject to discipline or discharge. Unethical conduct is defined as follows:

1. Improper influence or use of information:

a. The use or disclosure of any information obtained through DART
employment for actual or potential personal gain, or with the intent of
conferring upon another a competitive advantage or personal gain.

b. The use of one's official position for actual or potential gain.

c. The disclosure of any information obtained through DART employment
concerning proposed DART procurement activities, except in accordance with
the policies and procedures set forth in DART's procurement regulations.

2. Acceptance of a gratuity: DART employees, management officials, or agents will
not solicit nor accept gratuities. A gratuity is any gift, favor, entertainment,
hospitality, transportation, loan, anything of monetary value, or other tangible or
intangible benefit for which the recipient did not pay fair market value, received
from any entity that does business or seeks to do business with DART now or in
the foreseeable future (i.e., contractors potential contractors, or parties to sub-
agreements).

3. Gratuity does not include: (1) the acceptance of unsolicited advertising or
promotional articles of nominal intrinsic value, (2) the acceptance of a meal not to
exceed $15 if prior approval is obtained from a division or department head, or
(3) attendance with fees (not including expenses for travel, lodging, and meals)
paid at a professional seminar, ceremony or other activity hosted by an industrial,
technical or professional association or any entity or contractor provided that the
President / Executive Director has made a prior finding in writing that attendance
by the employee at the activity is in the best interest of DART.

D. Disclosure of Financial Interest and Affiliation. (This sub-section removed; not
applicable to this manual.)

E. Post-DART Employment and Representation:

1. Employee as used in this Section includes all DART employees, including those
employed directly by the Board of Directors.

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2. No former employee of DART shall, for a period of one year following the end of
his/her DART employment, participate in any contract or employment
relationship which results in the assignment of the employee to work on any

DART project on which he/she had significant responsibility as a DART
employee. This prohibition is waived for an employee who has been terminated as
a result of a reduction in force, if such employee is not a party to a negotiated
settlement agreement.

3. No former employee of DART shall, for a period of one year following the end of
his/her DART employment, represent for remuneration any private third party
before the DART Board or its committees regarding any matter on which he/she
had significant responsibility as a DART employee.

4. Should the DART Board determine that it is in the best interest of DART to waive
these prohibitions, it may, by two-thirds vote, waive said prohibition(s) with
regard to a particular person and/or relationship.

8.5. Participation in Political Activities

Employees should refrain from activities prohibited by state or Federal law or from active
participation in local or partisan political activities or campaigns where such participation
could hamper their ability to perform effectively as employees of DART. If employees
have any questions concerning political activity they should contact the General
Counsel's office.

8.6. Corrective Action and Performance Improvement (Effective November 24, 2004)

A. Performance is defined as an employee's accomplishment of assigned duties and
responsibilities. It is reflected by work products and services, and adherence to work
standards and procedures.

B. This section provides for initiation of corrective action when an employee's work
performance is unacceptable. Corrective actions should be adequately and
appropriately supported by documentation to protect both the rights of DART and the
rights of the employee. The employee's immediate supervisor, with assistance from
Human Resources, will determine the course of action best suited to the
circumstances.

C. The steps in corrective action are:

1. Counseling

2. Written Warning

3. Final Written Warning

4. Discharge

D. The employee's immediate supervisor may omit one or more of the steps under
appropriate circumstances with concurrence of the Employee Relations manager.

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Throughout the corrective action process, an employee must be given an opportunity
to respond fully in writing and orally.

E. As provided, eligible employees may utilize the Authority's Grievance and Appeal
Procedure to appeal a corrective action decision, except that an appeal to the Trial
Board is prohibited unless the corrective action was used in the issuance of a
suspension, demotion or discharge. Such corrective actions, heard in conjunction
with a suspension without pay, demotion or discharge will be heard de novo.

F. Steps in Corrective Action

1. Counseling

a. As the first step in correcting unacceptable performance, the employee's
immediate supervisor should review pertinent job requirements with the
employee to ensure his/her understanding of them.

b. The supervisor should consider the severity of the problem, the employee's
previous performance appraisals, and all of the circumstances surrounding the
particular situation.

c. The supervisor should clearly identify the problem in specific terms and work
with the employee to identify the requirements for performance improvement.

d. The seriousness of the performance deficiency should be indicated by stating
that a written warning or discharge may result if the problem is not resolved.
The employee should be asked to review what has been discussed to ensure
his/her understanding of the seriousness of the problem and the corrective
action necessary to improve performance.

e. Counseling sessions should be documented for future reference. A Case
Interview Record is recommended.

2. Written Warning

a. If the unacceptable performance continues, the next step is a written warning.
A serious performance problem may justify a written warning without first
using verbal counseling.

b. Before issuing a written warning to the employee, the supervisor should
discuss the situation with the Employee Relations manager or his/her
designee. That discussion will focus on completeness of documentation and
consistency with other personnel actions.

c. The written warning must define the problem, review counseling records, how
the problem may be corrected, and what action the immediate supervisor will
take to help the employee to improve performance.

d. The corrective action period should be at least 30 calendar days.

e. The seriousness of the problem is again emphasized, and the written warning
should indicate that final written warning or discharge may result if

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improvement is not observed. The employee should acknowledge receipt by
signing the written warning notice.

f. At the completion of the corrective action period, the employee's immediate
supervisor and the Employee Relations manager will meet to determine
whether the employee has achieved the required performance improvement
level. Consideration will be given to removing the employee from corrective
action, issuing a final written warning, or proposing discharge.

g. A written warning becomes part of the employee's personnel file for nine
months. After the nine-month period expires, the employee's immediate
supervisor may submit a written notice to Human Resources requesting that
the written warning be removed from the employee's official personnel file.

h. If an employee repeats the performance problems after meeting the
performance improvement requirements outlined during the corrective action
period, his/her immediate supervisor, with the concurrence of the Employee
Relations manager, may issue a final written warning or if circumstances
warrant, propose discharge.

3. Final Written Warning

a. If the problem has not been resolved through verbal counseling and written
warning, or if the circumstances warrant, the individual should be placed on a
final written warning.

b. Final written warning is a serious action in which the employee is advised that
discharge may occur if performance improvement is not achieved and
sustained within a specified period of time, normally of short duration.

c. The Employee Relations division head, or designee, and the employee's
immediate supervisor will determine the length of time. Typically, the
corrective action period should be at least 30 calendar days and no longer than
90 calendar days.

d. The final written warning is prepared by the employee's immediate supervisor.
The final written warning notice should include:

(1) A statement specifying the specific unsatisfactory situation, i.e.,
unacceptable performance.

(2) A review of counseling and written warnings.

(3) The length of the corrective action period.

(4) The specific actions or performance levels that would resolve the problem.

(5) Suggestions for improvement.

(6) Schedule for review meetings during the corrective action period.

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(7) A statement that discharge may result if the problems identified are not
resolved.

e. The employee should acknowledge receipt by signing the final written
warning notice. If the employee should refuse to sign the file copy, the
supervisor shall indicate the employee's refusal and the reasons given, attest
that the final written warning notice was delivered to the employee, and
identify the date of delivery.

f. On the meeting dates during the corrective action period, the supervisor will
review the employee's progress in correcting the problem which led to the
final written warning. Brief written summaries of these meetings should be
prepared with copies provided to the employee and the Employee Relations
section.

g. At the completion of the corrective action period, the supervisor and the
Employee Relations manager will meet to determine whether the employee
has achieved the required level of performance and to consider removing the
employee from corrective action or proposing discharge. The employee is to
be advised in writing of this decision.

h. The employee should be commended if the corrective action period is
successfully completed. However, the employee is also cautioned that any
future recurrence may result in further disciplinary action. The final written
warning shall remain in the employee's official personnel file for nine months.
At the expiration of the nine-month period, the employee's immediate
supervisor may submit a written notice to Human Resources requesting
removal of the final written warning from the employee's official personnel
file.

4. Notice of Proposed Discharge

a. In accordance with the DART Disciplinary Action procedure, the notice of
proposed discharge is prepared by the employee's immediate supervisor.

b. The notice must specifically outline the facts and reasons for the discharge;
e.g., the specific performance problems, what the employee failed to do to
improve performance, actions taken to assist the employee to improve, etc.

c. Prior to submission to the employee, the supervisor shall insure that the facts
of the case are reviewed by the Employee Relations division head, or
designee. No employee discharge may be proposed and effected without
investigation of the facts and consultation with the Employee Relations
division head, or designee.

d. If the employee presents new and material facts, the final decision will be
postponed pending further investigation. The supervisor shall provide written
notice of such investigation to the employee.

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e. If no further investigation is required and the final decision is for discharge,
the supervisor will notify the employee in writing. Discharges are to be treated
in a confidential, professional manner by all concerned.

f. Employees may appeal discharge in accordance with the DART grievance and
appeal procedure.

5. In the event an employee's conduct is disruptive or it poses a threat to safety
during counseling, discussion of written warnings, final written warnings, or
when presenting oral and/or written replies, such an employee may be required to
leave the Authority's property immediately. The employee should be requested to
return at a later day, at which time the appropriate disciplinary action will be
taken.

6. The employee may, or may not, be paid for time lost from work, depending on the
circumstances involved in the incident and the employee's overall work record.

DART DISCIPLINE, GRIEVANCE, AND APPEAL PROCEDURE

8.7. Covered Employees (Revised 02/01/2011)

This procedure applies to all hourly employees employed by Dallas Area Rapid Transit
(the Authority).

A. Pending Investigations.

When an employee is suspected of violation of an Authority, city, state, or federal
law, rule, or policy, which, if proven, would justify suspension or discharge, but an
investigation determining the exact nature and extent of the violation is in progress or
incomplete, the employee may be placed on leave with pay pending the outcome of
the investigation and the imposition of disciplinary action.

B. Disciplinary Action Procedures and Notices

1. The procedure for a disciplinary action of reprimand, suspension, demotion, or
discharge shall include the following:

a. Unless otherwise provided in subparagraph b., written designation must be
made of a supervisory or other level of department authority at which the
disciplinary action may be taken or recommended.

b. In the Authority, all supervisors or managers are authorized by the President /
Executive Director to conduct investigations and issue reprimands. In
addition, division and department heads, including the General Counsel, or
any manager so designated by the Human Resources department head are
authorized to suspend, demote, or discharge employees in their areas of
responsibility.

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2. Before an action of discharge is taken, the employee must be given an opportunity
to respond to the allegations, in writing and orally, to the person having the
authority to take the disciplinary action.

3. Written notice must be given to the employee within five working days from the
date the employee's immediate supervisor becomes aware of the incident. The
written notice must state:

a. The type of disciplinary action to be taken; i.e., reprimand, suspension,
demotion, or discharge.

b. The reason for the disciplinary action, including any specific rule that was
violated.

c. The specific incident causing the recommended action.

d. The employee's right to appeal to a specific office within a specified period of
time.

e. The finality of the action if the employee fails to appeal within the specified
time.

4. Documents relied upon and obtained during the investigation of an incident that
directly pertain to the employee under investigation will be provided to the Union
and/or the employee’s representative upon their request.

8.8. Purpose

A. The grievance and appeal procedure described in this article is provided for the
purpose of giving an employee, individually or through such employee's
representative, the opportunity to:

1. Present a grievance and appeals regarding establishment of, or failure to establish,
specified wages, hours or conditions of work that are designated as "General"
grievances as provided for in Section 6 of Article 5154c now codified as 617.005
of the Local Government Code.

2. Present individual grievance and appeals asserting that the grievant has been
adversely affected by a violation, misinterpretation, or inequitable application of
an existing law, ordinance, resolution, policy, rule, or regulation as it applies to
the conditions of employment, or regarding disciplinary action without just cause
other than those involving discharge or demotion.

3. Present other individual grievance or appeals regarding disciplinary action
without just cause resulting in discharge or demotion of the grievant.

4. (This paragraph on presenting a grievance and appeals claiming discrimination in
employment has been eliminated.)

5. Present a group grievance or appeal as to any of the above.

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B. Terms and Conditions

The determination by DART that a grievance is a “General Grievance” and
therefore not subject to the jurisdiction of the Trial Board is appealable in
accordance with Section 8.11., Dispute Resolution Procedure for General
Grievance Determinations.

1. A grievance or an appeal will be heard during regularly scheduled working hours
without loss of pay to the employee.

2. Preparation of a grievance or appeal, except for seeking assistance from Human
Resources or a similar departmental unit, is not permitted during the employee's
working hours.

3. An employee must be willing to discuss the evidence and answer questions
concerning the grievance or appeal at each step. Failure to discuss the facts of the
case at any level of this procedure will constitute withdrawal of the grievance or
appeal and will cause the last decision rendered to become final.

4. An employee may seek assistance in presenting a grievance or an appeal at any
step. An employee may request guidance and assistance from Human Resources
or seek assistance from any other person or representative of the employee's
choice. If any other employee is selected, that employee is not eligible for regular
pay but shall be released on leave without pay for the presentation of the
grievance. The supervisor may also be assisted in responding to the grievance by
a person of the supervisor's choice.

5. The days used to establish time limits in this section are working days. "Working
days" are all days except Saturdays, Sundays, and official holidays observed by
the Authority. Time limits begin to run the working day following the incident,
event, hearing, or notice.

6. Failure to file a grievance or an appeal within the time limits prescribed in
Subsection E of this section or failure to appear at a hearing, unless due to reasons
beyond the employee's control, will constitute waiver of the employee's right to
proceed.

7. In the event the Authority asserts waiver, it shall incorporate this contention into
its written disposition of the grievance/appeal, and this contention shall not be
waived by the Authority in processing the grievance or appeal to subsequent
steps. Final determination as to a waiver contention, if the party who is claimed to
have waived his/her right to proceed chooses to contest this issue, shall be made
at the final decision level in this procedure.

8. Failure of management to make a written disposition of a grievance or appeal
within the number of days specified in Subsection E, unless due to reasons
beyond management's control, shall result in the matter being decided in favor of
the grievant.

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9. Any time limit specified in this procedure may be extended by mutual agreement
and any step in Subsection E may be bypassed by mutual agreement.

10. An employee who has not completed probation after his or her appointment or re-
appointment may not file an appeal of a disciplinary action. An employee who is
promoted while on probation may not appeal a demotion to the employee's former
level or grade if the demotion occurs while the employee is still on probation.

11. An employee shall not be subject to retaliation for using the grievance or appeal
procedure.

12. A grievance or appeal concerning a job performance rating, efficiency rating, or
merit rating may not proceed beyond Step 3.

C. Grievance. A grievance must be submitted in writing. The request for a hearing must
contain the following information:

1. A brief explanation of the incident causing the appeal and the date of occurrence.

2. A brief statement showing how or why the incident harmed the employee in a
grievable manner,

3. The remedy or solution sought.

4. The signature of the grievant and/or employee representative.

D. Disciplinary Matters. A grievance or appeal relating to a disciplinary action must be
submitted in writing to the person designated in the disciplinary notice, and the
request for a hearing must contain the following information:

1. The type of disciplinary action being appealed and the effective date of the action.

2. The reason the discipline is believed to be unfair.

3. The remedy or solution sought.

4. The signature of the disciplined employee and/or employee representative.

E. Grievance and Appeal Procedure Steps

1. Step 1. An employee who has a grievance shall, individually or through such
employee's representative, submit a written request for a grievance hearing to the
* person designated to hear the grievance at this level within ten working days
from the date of the occurrence which caused the grievance, or from the date the
employee first knew or should have known of the occurrence. A hearing shall be
conducted within five working days of receipt of the grievance or appeal. A
careful review of the charges and evidence of the action or omission will be
conducted and a written disposition issued within 10 working days of the hearing.
This step does not apply to the appeal of a disciplinary action.

2. Step 2. If a grievance is not resolved to the satisfaction of the employee or the
employee wishes to appeal a disciplinary action to Step 2, such employee must,
within five working days of receipt of the written disposition of the previous step
or, of the disciplinary notice, submit, individually or through such employee's

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representative, a written request for a hearing to the * person designated to hear
the grievance or appeal at this level. A hearing shall be conducted within seven
working days of receipt of the request and a written disposition issued within five
working days of the date of the hearing.

3. Step 3. If a grievance or an appeal is not resolved to the satisfaction of the
employee and the employee wishes to proceed to Step 3, such employee must,
within five working days of receipt of the disposition in the previous step, submit,
individually or through such employee's representative, a written request for a
hearing to the * person designated to hear the grievance or appeal at this level. A
hearing shall be conducted within seven working days of receipt of the request
and a written disposition issued within five working days of the date of the
hearing.

4. At each step of this procedure, the deciding official may rule upon all pending
issues and order appropriate relief.

* Please refer to your department bulletin board or management for information
on the persons designated to hear grievances or appeals at Step 1, Step 2, or Step
3.

8.9. Appeals to the Trial Board (Effective November 24, 2004)

A. Request for Appeal. With the exception of 8.6.E an employee who has completed the
final grievance and appeal procedure step applicable may appeal to the Secretary of
the Trial Board by submitting or having an employee representative submit a written
request for appeal to the Secretary within 10 working days of the date the employee
received notice of the last disposition of the grievance or appeal. The Director of
Board Support shall serve as the Secretary of the Trial Board. The original written
grievance or appeal and the last written disposition must be attached to the request.

B. Election of the Trial Panel and Selection of the Trial Board Hearing Officer

1. The Trial Panel is composed of nine members elected by the Authority's Board of
Directors in accordance with these procedures.

2. The Authority shall post a solicitation for nominees to serve as members of the
Trial Board. The solicitation shall include the required minimum qualifications.

3. Individual employees or employee representatives may nominate persons to serve
as members of the Trial Board. Such nominations must be made on a form,
attached hereto as Attachment 1, which requires the provision of biographical data
and qualifications of the nominee including expertise in the area of labor
relations. The required minimum qualifications of the Trial Board are that they be
either members of the National Academy of Arbitrators (NAA) or labor
arbitrators currently on the roster of the American Arbitration Association (AAA)
and/or the Federal Mediation and Conciliation Service (FMCS), residing locally
or willing to travel to Dallas for the Trial Board hearing without travel
compensation. The form shall be signed by the nominee to indicate a willingness

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to serve if elected. All forms shall be submitted to the Secretary of the Trial
Board and copies shall be provided to parties requesting same.

4. The period for nomination shall be posted and remain open for a period of at least
two weeks and not more than four weeks. At the close of the nomination period,
the list of nominees, and the biographical and qualifications data shall be provided
to any person upon request.

5. For two weeks after the close of the nomination period, the record shall be open to
written comments from individual employees and employee representatives on
the qualifications and suitability of any nominee. All comments shall be submitted
to the Secretary of the Trial Board for provision to all members of the Authority's
Board together with the nomination forms, and provided immediately to any party
requesting same. Copies of these documents will be provided at cost to requesting
parties using the standard for cost in the Texas Open Records Act.

6. Not earlier than one week after the nomination forms and written comments are
circulated to the Authority Board members, the Board shall, after giving full and
fair consideration to the comments of any employee or employee representative,
elect the nine Trial Board members from those nominated.

7. Trial Board members shall serve for a term of three years. Vacancies shall be
filled in accordance with this procedure.

8. A Trial Board of one member to hear each grievance shall be selected from the
Trial Panel in accordance with this paragraph. The management and the aggrieved
employee or the employee's representative shall alternately strike Trial Panel
member names until only one member remains. The remaining member shall be
the Trial Board Hearing Officer for the grievance. The party making the first
strike shall be determined by lot.

9. In order to assure the availability of qualified members, the Authority's Board
shall prescribe an appropriate per diem for Trial Board members.

10. No party shall communicate with the Trial Board outside of the hearing unless the
other party is present or through written communication delivered simultaneously
to the other party.

C. Hearing Date

1. A Trial Board hearing must begin within 60 calendar days of the date the
Secretary of the Trial Board receives a completed request from the employee, or
such employee's representative unless this period is extended:

a. by mutual agreement of the Authority and the employee or employee
representative;

b. by order of the Trial Board Hearing Officer when necessary to accommodate
scheduling difficulties; or

c. in accordance with other provisions of this section.

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2. The Secretary of the Trial Board shall notify the employee or such employee's
representative of the date and location of the hearing and of name of the Trial
Board Hearing Officer at least 15 working days before the date of the hearing,
unless a shorter notification period is approved by mutual agreement of the
Authority and the employee or employee representative.

3. A request by the Authority or the employee or such employee's representative to
postpone the date of a Trial Board hearing must be submitted in writing to the
Secretary of the Trial Board at least five working days before the date of the
hearing, absent extraordinary circumstances, with a copy simultaneously served to
the opposing party. Postponement may be approved only by the Trial Board
Hearing Officer, and the Trial Board Hearing Officer may grant no more than two
postponements of a case, absent extraordinary circumstances. If a Trial Board
hearing is set for a date that is within 10 working days of the end of the 60-day
period required and a request for postponement is made, the 60-day period shall
be extended for an additional 15 calendar days.

D. Substitution of Trial Board Members. If a Trial Board member is not able to serve, as
Hearing Officer, the member of the Trial Panel last stricken shall be designated by the
Secretary of the Trial Board to as the Trial Board Hearing Officer. If substitution of a
Trial Board member is made within 15 working days before the hearing date, the
Secretary of the Trial Board shall immediately notify the employee and the Authority
of the substitution. If substitution of a Trial Board member cannot be made before the
hearing, the 60-day period required shall be extended for an additional 15 calendar
days.

E. Notice to Appear

1. The Trial Board Hearing Officer is granted the power to compel the attendance of
witnesses and the production of testimony and evidence, administer oaths, and
recommend to the President / Executive Director punishment for failure to appear,
unless due to reasons beyond the employee's control, by disciplining Authority
employees up to and including termination of employment. At the request of an
appealing employee, individually or through such employee's representative, or
the Authority, the Secretary of the Trial Board shall issue a Notice to Appear on
behalf of the Trial Board for the attendance of witnesses and the production of
records at the hearing.

The Authority or the appealing employee or employee representative must deliver
a written request for a Notice to Appear to the Secretary of the Trial Board at least
seven working days before the hearing. A request for a Notice to Appear received

after this day may be processed only upon order of the Trial Board Hearing
Officer. The request for a Notice to Appear must contain:

a. The name of the witness.

b. The address of the witness.

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c. If the witness is an employee of the Authority, the name of the employee's
department.

d. The specific identification of books, papers, documents, or other tangible
things sought to be entered as evidence in the hearing.

3. The Trial Board Secretary shall cause all Notices to Appear to be personally
served at least five working days before the hearing. For this purpose the Trial
Board Secretary shall designate a person to deliver the Notice to Appear to
witnesses. The designated person shall sign each Notice to Appear stating that the
witness was served. The Notice to Appear of an active Authority employee will
be served through the department head of the employee's department.

4. A witness who is an employee of the Authority and is served with a Notice to
Appear who fails to appear at the hearing or fails to produce requested evidence,
unless due to justifiable reasons, may be punished for insubordination up to and
including termination of employment.

5. An employee of the Authority served with a Notice to Appear at a hearing shall
be granted leave with pay in order to testify.

F. Exhibits

Not less than two working days before the hearing date, the Authority and the
appealing employee or employee representative shall exchange exhibits that they
anticipate introducing into evidence at the hearing. The Trial Board Hearing Officer
may exclude from evidence at the hearing any exhibit not previously exchanged
unless good cause for the failure to exchange is shown and the opposing party is not
unduly prejudiced.

G. Failure of Employee to Appear

If an appealing employee fails to appear at the Trial Board hearing, the Authority
through its representative, may request that the Trial Board Hearing Officer dismiss
the appeal. If it is clear that the employee had notice of the time and place of the
hearing, the Trial Board may dismiss the appeal unless there is a showing that the
employee had no control over the employee's failure to appear. If the appeal is not
dismissed, the Secretary of the Trial Board shall schedule a new hearing date within
30 calendar days from the date of the decision not to dismiss, and the Trial Board
Hearing Officer shall grant no further postponement of the hearing.

H. Rights of the Appealing Employee

1. An appealing employee may elect that the Trial Board hearing and deliberations,
which usually are open to the public, be closed.

2. An appealing employee has the right to representation at a Trial Board hearing.

3. The Trial Board Hearing Officer will determine whether or not an employee shall
be compensated for time lost from the employee's job while attending a Trial
Board hearing.

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I. Recording of Trial Board Proceedings

The Secretary of the Trial Board shall preserve the records of each Trial Board
hearing. The Authority shall appoint a licensed court reporter to take notes and tape
record or otherwise make a verbatim record of the hearings. The cost of the court
reporter service at the hearing shall be paid by the Authority. The court reporter shall
maintain the record of the hearing not less than one year following the conclusion of
each Trial Board hearing. All other written documents relating to the hearing will be
preserved for three years following the conclusion of the hearing.

J. Trial Board Proceedings

The Trial Board Hearing Officer shall control the manner of presentations at the
hearing and shall afford the parties the opportunity to make oral and written
presentations. The Trial Board Hearing Officer shall issue a written decision
including findings and conclusions. If the Trial Board Hearing Officer finds in favor
of the employee, in cases of suspension, demotion, or discharge, the employee shall
be restored to such employee's previous position with full back pay and benefits and
without penalty. In all other matters, the Trial Board Hearing Officer shall fashion an
appropriate remedy. The decision of the Trial Board Hearing Officer shall be final
and binding, and the Authority shall implement any award within 30 calendar days of
such decision and order, except that any reinstatement shall be implemented within
five calendar days.

K. Computation of Time

In computing any period of time prescribed in this section for purposes of appeal, the
day of the act, event, or default after which the designated period of time begins to
run is not included. The last day of the period so computed is to be included, unless it
is a Saturday, Sunday, or official holiday observed by the Authority, in which event
the period runs until 5:15 P.M. of the next day which is neither a Saturday, Sunday, or
official holiday observed by the Authority.

8.10. General Grievance

Employees of the Authority, individually or through their representatives, will be
provided the opportunity to present general grievances in accordance with this section.

A. All General Grievances must be first presented in writing to the Human Resources
department head, who shall, within a reasonable time thereafter, meet with the
grievant and such grievant’s representative and provide the grievant a full hearing and
review of the grievance. Following the discussion, the Human Resources department
head shall, within a reasonable time, provide a written decision to the grievant and the
grievant's representative.

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B. Dispute / Fact-Finding

1. Any dispute that remains following the decision of the Human Resources
department head may be appealed by the grievant individually or through such
grievant’s representative to the President / Executive Director or may be
submitted directly to fact-finding in accordance with the following procedures.

2. Fact-finding shall be conducted by a three-member panel to be selected as
follows:

a. Within three working days after submission of the matter in dispute, one
member to be appointed by the Human Resources department head and one
member to be appointed by the grievant or representative.

b. Within 10 days after fact-finding is requested in writing to the President /
Executive Director, the parties shall take all reasonable steps to identify a list
of potential, neutral fact-finders who will be available for such service. If the
parties have not agreed upon a neutral fact-finder within those 10 days, a
neutral fact-finder shall be selected by the parties by alternately striking
names from a list of nine qualified and available persons maintained and made
available at the request of either party by the Federal Mediation and
Conciliation Service. The parties shall determine by lot the order of striking
from the list.

3. The fact-finding panel shall gather facts and make recommendations for the
resolution of the outstanding issues. Each party shall, within 10 days after the
neutral fact-finder accepts his/her appointment, submit to the other party and to
the fact-finding panel an itemized listing of all unresolved issues to be submitted
to fact-finding and their respective positions on those issues. The fact-finding
hearings shall begin not earlier than 15 days nor later than 30 days after fact-
finding is requested, subject to the availability of the fact-finding panel. The
hearing shall be limited to not more than five days. The fact-finding panel shall
have no authority to mediate the dispute. All individually incurred costs shall be
borne by the party incurring them. The cost for the services of the impartial fact-
finder, including per diem expenses, if any, and actual and necessary travel and
subsistence expenses, and any other necessary expenses of the fact-finding
proceedings, shall be borne equally by the parties.

The fact-finding panel shall issue a written report and cause such to be received
by the parties within 14 days after the completion of the hearing. The report shall
make final recommendations as to all unresolved issues and shall set forth the
supporting factual findings.

4. In making findings and recommendations for the resolution of the matter, the fact-
finding panel shall take into consideration and give weight to the following
factors in determining its recommendations:

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a. Stipulations of the parties.

b. The interest and welfare of the public, ability of DART to finance and
administer the issues proposed, and the effect of the adjustments on the
normal standard of public service.

c. Comparison of the wages, hours, fringe benefits, and other terms and
conditions of employment of the DART employee with the wages, hours,
fringe benefits, and other terms and conditions of employment of other public
and private employees doing comparable work, giving consideration to factors
peculiar to the community or area and classification involved.

d. The overall compensation presently received by the employees, including
direct wages, fringe benefits, vacations, holidays, and other excused time,
insurance, pensions, medical and hospitalization benefits, and all other
benefits received.

e. The relevant Personnel Policies and Section 13(c) arrangements.

f. Such other factors not confined to those noted above which are normally and
traditionally taken into consideration in determinations of issues submitted to
mutually agreed upon dispute settlement procedures in public or private
employment.

g. Such other factors as may be agreed upon by all parties prior to the close of
the hearing.

6. Not later than seven days after release of the fact-finding panel's report, exclusive
of Saturdays, Sundays, and legal holidays, either panel member representing
management or the grievant may file a dissenting opinion. If neither files a
dissent, the recommendations shall be deemed agreed upon as a final resolution of
the issues submitted, except as otherwise modified by the mutual agreement of the
parties. The fact-find panel shall have published in the local media its findings of
act and recommendations for settlement and the statements of position provided
to the fact-finding panel by the parties, together with any dissenting opinions.

7. The parties may, by mutual written agreement, alter any time limits set forth
herein.

8. Nothing herein shall prevent the parties from engaging in further discussion of
any unresolved issues at any time.

9. The fact-finding report and recommendations shall be advisory only and shall not
be binding on either party.

10. Absent written mutual agreement by the parties to the contrary (such agreement
not prejudicing either party's rights or positions under this procedure) no
modifications shall take place until the fact-finding panel's report and
recommendations are accepted or until final action of the DART Board of
Directors, whichever is earlier.

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8.11. Questioned Grievances (Effective November 24, 2004)

Procedure for Appeals to the Secretary of the Trial Board for Questioned Grievances:

1. With the exception of corrective actions that were not used in the issuance of a
suspension without pay, demotion or discharge, DART shall process any grievance filed
under Paragraph 8.8(A) of the HEM, or any successor thereof at least as far as the request
to appeal to the Trial Board provided for in Paragraph 8.9(A) of the HEM, or any
successor thereof.

2. With the exception of corrective actions that were not used in the issuance of a
suspension without pay, demotion or discharge, the Secretary shall accept and process all
appeals to the Trial Board submitted to the Secretary pursuant to Section 8.9(A) of the
HEM, or any successor thereof other than those which the Secretary determines in good
faith meet the definition of “general grievances” as defined by Section 8.8(A)(1) or those
that DART or the Secretary determine, in good faith, are for any other reason, improper
and/or outside the jurisdiction of the Trial Board (hereinafter referred to collectively as
“Questioned Grievances” or “Questioned Grievance”). The Secretary shall within ten
(10) working days after receipt thereof return any Questioned Grievance or Questioned
Grievances to the grievant and/or his/her/their employee representative. Thereafter:

a) An employee or employee representative who has had his/her/their/its written request for
appeal returned as a Questioned Grievance(s) shall have the right to appeal this decision.
Such appeal must be submitted to the Secretary within forty-five (45) calendar days of
the date the employee receives notice of the return of his/her/their/its written request for
appeal. An employee or employee representative may submit more than one (but no
more than two without mutual consent of the parties) Questioned Grievance to the
Secretary simultaneously. When this occurs, all appeals submitted simultaneously by
that employee or employee representative to the Secretary of the Trial Board (so long as
each is timely submitted), shall be processed pursuant to paragraphs 2 (b) through (d) of
this procedure as a single proceeding. In the case of such a combined arbitration, the
neutral arbitrator selected pursuant to Paragraph 2 (b) hereof shall resolve the issue of the
Trial Board’s jurisdiction as to each appeal, specifying the appeals, if any, as to which
he/she determines the Trial Board has jurisdiction and those, if any, as to which he/she
determines the Trial Board lacks jurisdiction.

b) Within ten (10) working days of the receipt of such appeal, the Secretary of the Trial
Board shall submit a request to the American Arbitration Association in Dallas, Texas for
a list of nine (9) qualified and available persons from the AAA’s Panel of Labor
Arbitrators, one of whom shall serve as the neutral arbitrator for the resolution of the
dispute. Within ten (10) working days after receipt of the list of arbitrators from the
American Arbitration Association, the parties (the employee and his/her/their employee
representative and DART’s representative) shall select the neutral arbitrator from the list
by alternately striking the names provided on the list by the American Arbitration
Association. The parties shall determine the order of striking from the list by flipping a
coin (the winner of the coin toss having the right to strike first or to insist that the other
party strike first).

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c) The arbitration shall be conducted pursuant to the American Arbitration Association’s
Labor Arbitration Rules and shall begin no earlier than thirty (30) calendar days nor later
than (60) calendar days after selection of the neutral arbitration, subject to the availability
of the neutral arbitrator. All costs associated with the services of the neutral arbitrator
shall be borne equally by the parties. All individually incurred costs shall be borne by the
party incurring them. If the parties jointly request a transcript, each shall pay one-half the
cost. If either party separately orders a transcript, the party shall pay the full cost of
providing a copy of such transcript to the neutral arbitrator and the other party
immediately upon receipt of same from the court reporter.

d) The jurisdiction and authority of the neutral arbitrator is limited to resolving the
following issue: Whether the Trial Board has jurisdiction to hear the grievance. The
decision of the neutral arbitrator is final and binding upon both the employee and DART.
When the arbitrator has reached a decision he/she shall reduce the decision to writing and
forward it to the Secretary. A finding that the Trial Board has jurisdiction to hear the
grievance shall be accepted by DART and the Secretary and the request for appeal
pursuant to Section 8.9(A) shall be deemed submitted on the date that the Secretary
receives the final written decision from the neutral arbitrator. Upon a finding that the
Trial Board does not have jurisdiction to hear the grievance, the Secretary of the Trial
Board shall so inform the employee and/or his/her/their employee representative, and the
grievance shall be dismissed, except that if the Questioned Grievance is determined to be
a “general grievance” the employee or his/her/their representative shall have twenty (20)
working days from the date of receipt of such notice to file a general grievance pursuant
to Section 8.10.

8.12. Modification (Effective November 24, 2004)

The Human Resources department head may modify, as they apply to Authority employees, the
personnel rules of the City of Dallas, the personnel policies and employees benefit manual of the
Dallas Transit System (effective October 1, 1984), and the personnel rules of the Authority
including this Discipline, Grievance and Appeal Procedure (hereinafter “departmental rules”),
except this section and the General Grievance Procedure. Further, any such initiative to make
modifications must provide for notification of employees and/or their representatives in advance
and given them an opportunity to present their views. Any proposed change of the departmental
rules is subject to hearing and review by the President/Executive Director or his/her designee
before implementation upon request by employees or their representatives. Further, employees
and/or their representatives may produce modifications of the departmental rules to the Human
Resources department head and obtain hearing and review by the President/Executive director or
designee. Conflict of Interest

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9.1. Policy Statement

A. It is the policy of the Dallas Area Rapid Transit to provide and maintain a safe and
healthful working environment for its employees and to assure safe and dependable
transportation of its patrons.

B. Safety is the highest priority in all departments. No operating requirement or other
activity will take precedence.

C. DART has voluntarily adopted the Occupational Safety and Health Act as its
minimum safety standard. Provisions of this act shall be incorporated into every
aspect of DART operations unless a specific waiver has been granted, in accordance
with the waiver provisions of the System Safety Program Plan.

9.2. System Safety Program Plan

To manage the prevention, control and resolution of unsafe conditions and actions,
DART has developed a System Safety Program Plan (SSPP). Each department and
division has been directed and empowered to administer this plan.

9.3. Accident Statistics and Reports

DART will develop and maintain statistics, reports, and comparison studies that measure
safety performance in relation to DART’s safety goals and objectives. Reports will be
posted on employee bulletin boards and the intranet as appropriate. This information will
also be reported to the DART Safety Committee on a monthly basis.

9.4. Responsibilities

A. DART’s Executive Management Team shall maintain a System Safety Program Plan
(SSPP) to manage all safety issues. They will establish and implement any other
policies and procedures, in accordance with existing agreements and guidelines,
necessary to support DART’s safety programs.

B. All management officials will insure that their employees are properly trained to
perform their job in a safe and skillful manner. All employees will receive additional
training in new methods, products, materials and procedures, as they become
available.

C. DART management shall provide all necessary tools and equipment required to
maintain a safe working environment in compliance with the SSPP and Safe Work
Practices Procedures.

D. Immediate supervisors shall emphasize the importance of safety to all new employees,
enforce safety rules and procedures and shall, by their own actions, set a good
example at all times.

E. Immediate supervisors shall inform employees of safety rules and practices and shall
constantly be on the alert for any condition, work method, or practice that might
jeopardize the safety of workers or the public.

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F. Employees shall perform their job responsibilities according to established safety
policies and procedures. Any unsafe condition, practice or method shall be
immediately reported to the employee’s supervisor for correction. Where correction
of such condition, practice or method is beyond the scope of the supervisor, the
supervisor shall prepare a written report utilizing the Hazard Identification process as
outlined in chapter three of the SSPP.

G. Employees are expected to avoid situations or conditions that could impair their
ability to perform their job in a safe and effective manner. Hazards which may
increase the chance of loss are to be reported and avoided whenever possible.

H. Employees are required to attend all mandatory safety meetings as directed by their
manager or as required under DART’s Safe Work Practices Policies. Time attending
meetings will be paid time.

9.5. Safety Suggestions

All DART employees are encouraged to make management aware of any safety
suggestions or recommendations. The employee’s supervisor and the Safety Officer for
that facility will review the suggestions. All employees making written suggestions will
receive a written response within 30 days.

9.6. Safety Inspections

A. Safety Ride Check - An employee who is involved in a preventable accident while
operating a DART vehicle will be given a safety ride check by a supervisor, safety
specialist or a training specialist. They will ride with the employee as soon as
practical after the accident occurs. The employee will be counseled on ways to avoid
accidents and on techniques for improving passenger relations. Recommendations for
additional training may also be made to the employee’s supervisor based on the safety
ride check.

B. Spot Inspections - The safety staff and/or supervisor will do random inspections of
operator and servicing personnel. They will evaluate the employee’s driving
performance and observance of DART’s safety rules and practices as they apply to the
operation and servicing of any DART vehicle.

C. Facility Inspections - Facility managers or supervisors shall inspect facilities on a
daily basis and correct any unsafe acts or conditions. The safety staff will conduct
monthly inspections, and report any concerns or deficiencies to the facility supervisor
for correction. On a quarterly basis, DART’s insurance carriers will conduct
inspections of all facilities.

D. Audits - A Safe Work Practices compliance audit will be conducted on an annual
basis. System Safety Program Plan audits of rail, bus and HOV operations will be
conducted annually. Additional audits will be conducted as necessary.

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9.7. Safety Qualifications

A. All applicants who will be required to operate DART vehicles as an essential part of
their job duties must meet the following safety criteria in addition to any other job-
related requirements: pass a physical examination, including testing for prohibited
drugs, which will be administered by a physician of DART’s choice. The findings of
DART’s physician will be final.

B. All applicants will have an acceptable driving record. An acceptable driving record is
defined as no more than two convictions of moving violations in the past 36
consecutive months, no DWI/DUI conviction in the last 60 consecutive months, and
no more than one DWI/DUI in the applicant’s driving history will be allowed. No
moving violation resulting in license suspension or revocation will be allowed.

9.8. New Employee Safety Training

A. Operators

1. All applicants employed as student operators will be required to successfully
complete a comprehensive training program. The program will consist of both
classroom and street or mainline operation training.

2. DART's safety policies and practices will be emphasized throughout the training
program. All student operators will be trained in hazard identification and
avoidance along with proper procedures for handling and reporting an emergency
or accident.

3. All student operators will be instructed on how to complete an accident report.

B. Maintenance Personnel

1. All persons employed as mechanics or vehicle servicing personnel that will
operate DART vehicles will be required to successfully complete the "Operator
Training for Maintenance Personnel". This training will be specific for the type of
equipment the employee will be operating.

2. Vehicle servicing personnel will receive a minimum of three days of on-the-job
training for the equipment they will use in the performance of their jobs.

3. Maintenance personnel will receive the applicable departmental safety procedures.
They will be instructed on how to complete an accident report and on the proper
use of DART’s radio.

4. Specific training, relative to each employee’s job responsibilities, and in
accordance with all safety policies and procedures, will be provided as necessary.

9.9. Driver Eligibility Requirements

To protect the public and minimize the risk of vehicular accidents, employees who
operate any vehicle as an essential part of their job duties, who hold a safety-sensitive

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position or who are assigned a DART vehicle, must maintain compliance with the
following requirements:

1. Pass the required physical examination at least once every 24 months or when
specifically requested to do so by their manager or the DART Safety Office. A
physician of DART's choice will administer the examination. Time required for
such physical examination will be paid at the employee's base rate.

a. An employee disqualified as a result of such physical examination may appeal
such disqualification in accordance with the grievance procedure as a demoted
or discharged employee. In the event the employee's physician disagrees with
the diagnosis of the physician chosen by DART, the President / Executive
Director, or designee, shall have the discretion to appoint an independent
physician to examine the employee and advise the President / Executive
Director, with the cost of such independent physician's examination being
borne by DART, the employee, or both, as the President / Executive Director
shall direct.

b. After an absence of fifteen or more consecutive days from vehicle operation or
after an injury that could impair driving abilities, employees will be retrained
and given a ride check before resuming vehicle operation.

2. Possess and maintain a valid Texas Driver’s License as required by law, for the
type of equipment required to be operated as an essential part of the employee’s
job. Occupational licenses do not meet the license requirements of jobs that
require driving DART vehicles as an essential job function.

3. Driving records will be checked through the Texas Department of Public Safety at
least every 24 months. An employee must not have:

a. More than three convictions of moving violations in the last 24 months.

b. More than one DWI/DUI conviction in employee’s driving history.

4. Report a DWI/DUI arrest or ticket to the section senior manager or designee
within five working days of the date of the arrest or ticket. Failure to report
within that time frame is grounds for discharge.

5. Report a DWI/DUI conviction to the section senior manager or designee
immediately (within 24 hours of said conviction). Failure to report a conviction
within 24 hours is grounds for discharge. Placement on probation is treated as a
conviction.

a. An employee who receives a DWI/DUI conviction may be eligible for a
Rehabilitation Opportunity. Such opportunity is offered only once in the term
of an employee’s DART employment, regardless of the event that led to the
rehabilitation. Subsequent positive drug or alcohol test or DWI/DUI
conviction will subject the employee to discharge.

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b. If eligible, the employee must successfully complete DART’s Rehabilitation
Opportunity program. Information about the requirements of the program can
be found in Section 10 of this manual.

6. Attend a DART sponsored Defensive Driving Course and maintain a current
“National Safety Council Defensive Driving Certification of Completion”. The
certificate must be renewed a minimum of once every two years and must be
renewed within three months of its expiration date. All new qualified employees
will be required to complete the Defensive Driving Course before their
probationary period expires.

7. Attend all applicable safety training classes. Failure to attend mandatory training
will be the basis for corrective or disciplinary action.

8. If required, attend courses in first aid and cardiopulmonary resuscitation (CPR) at
least once a year.

9. Avoid open arrest warrants for any reason. Employees who have open arrest
warrants are subject to discipline, including discharge, depending on the
circumstances.

10. Immediately report any change in the status of their driver’s license (suspension,
revocation, restriction, expiration, etc.) to their section senior manager or
designee. Failure to report immediately (within 24 hours of said change) is
grounds for discharge, even though an employee reports the change later.

9.10. Accident Reporting

A. A reportable accident is an occurrence involving an employee, a passenger, or DART
equipment which results in death, injury, or property damage.

B. A written report of every accident or injury, no matter how slight, must be completed
by the employee as soon as possible after the occurrence using the appropriate
accident report form. All employees shall receive instruction on how to complete an
accident report.

C. All work-related injuries, no matter how slight, will be immediately reported to an
employee’s supervisor. The supervisor shall ensure appropriate medical care for the
employee and shall complete a First Report of Injury (TWCC-1) within 24 hours of
notification.

D. Supervisors shall conduct a thorough investigation of all accidents reported to them.
An accident investigation form shall be completed and forwarded to the Safety Office
for review. If necessary, the Safety Office will conduct an additional investigation to
ascertain the circumstances surrounding the accident.

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E. Employees are responsible for the settlement of any fine or penalty imposed for traffic
or other violations arising out of the use or operation of a DART vehicle, except when
the violation is beyond the control of the employee.

9.11. Post-Accident Requirements (Rev. Effective 03/02/05)

A. When an accident occurs, DART employees and supervisors must comply with the
following requirements:

1. Check for injuries and notify dispatch and/or supervisor. Request police and
ambulance if necessary.

2. Do not make statements regarding the accident to anyone other than the police
officers investigating the accident and/or DART officials.

3. Survey the damage to all vehicles and accurately note the location.

4. Obtain names, addresses and license numbers of other drivers. Use courtesy cards
to obtain names, addresses and phone numbers of witnesses.

5. Complete and submit a written report of the accident on the same day the accident
occurred, except when other arrangements are approved in writing by the
supervisor. Due regard shall be given to the physical and emotional condition of
the operator.

6. Cooperate with all DART representatives investigating the accident.

7. Arrange for an interview with the Safety office within five (5) working days of the
accident. If an employee fails to schedule an appointment after five days, the
Safety Office will classify the accident based upon the information available at the
time.

Exception: If, during the five-day period immediately following an accident, an
employee had previously scheduled time off, is on approved sick leave or is absent
due to a compensable worker’s compensation claim, the interview will be postponed
until the employee returns to work. The employee must arrange for an interview
within 5 days of their return to work. Interviews may be accomplished by telephone
when necessary based on the above issues.

B. Failure to notify dispatch or employee’s immediate supervisor or to complete a
written report of any accident, or to report any mishap on or near a DART vehicle,
even though there is no apparent injury or damage involved, may result in disciplinary
action.

C. Falsifying an accident report or attempting to settle a claim directly with the parties
involved shall subject the employee to corrective or disciplinary action.

9.12. Accident Classification (Revised 03/02/05)

A. In order to quickly analyze and identify the causes of accidents and recommend
corrective actions for those accidents that are determined to be preventable, DART
has adopted “ A Guide To Determine Motor Vehicle Accident Preventability”

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published in 1999 by the National Safety Council, as its accident classification policy.
Accidents are defined in 9.12B.1-2. This policy applies to any reportable accident.
All managers, supervisors and employees will be responsible for ensuring compliance
with this policy.

B. The Safety Office will review all accident reports and determine if an accident is
preventable or non-preventable based upon the following definitions:

1. Preventable Accident - Any occurrence, involving a DART vehicle, which results
in property damage or personal injury, in which the employee in question failed to
do everything that reasonably could have been done to avoid the accident.

2. Non-Preventable Accident – When a driver commits no error and reacts
reasonably to the error of others.

3. Incident - Any occurrence involving a DART vehicle, which, due to the lack of
apparent property damage or injury, does not qualify as an accident as defined
above. It may be preventable or non-preventable in nature. NOTE: Damage to
a DART vehicle equal to or less than the actual cost of a mirror (including parts
and labor), in the absence of any other property damage or bodily injury, will be
considered an incident.

C. Written notification of the accident classification will be provided to the employee’s
immediate supervisor within fifteen (15) working days of the Safety Officer’s post-
accident interview with the employee. The written notification shall include all
information generated as part of the accident investigation and classification process.

1. In the event the classification cannot be completed within this time frame, notice
shall be provided to the employee’s immediate supervisor. An automatic
extension of five (5) working days shall occur when additional information is
required to complete the accident classification.

2. If a subsequent extension is required, said extension shall be by mutual agreement
of the employee and/or employee’s representative.

3. Failure to classify the accident within the required time frames shall result in
forfeiture of the corrective or disciplinary action only.

D. An accumulation of incidents or non-preventable accidents may be reason for further
review of an employee’s operating performance. The Safety Office may recommend
retraining, ride checks, a physical examination, or counseling to improve an
employee’s operating performance.

E. The employee’s supervisor will determine and administer appropriate disciplinary
action within five working days of receipt of the written classification. NOTE: If an
employee is absent from work for any reason during the five days after the supervisor
receives a written classification, pending disciplinary action against the employee
will in most cases be delayed until the employee returns to work. If the

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disciplinary action is based on a serious violation, immediate action may be
necessary.

F. Corrective or disciplinary action for preventable accidents will be progressive in
nature and will be in the form of counseling, written warning, final written warning,
reprimand, suspension, or discharge, depending on the circumstances surrounding the
accident and the employee’s work history and accident record.

9.13. Accident Appeal Process (Revised 10-01-02)

A. If an employee does not agree with an accident classification and wishes to appeal it,
they can do so through the accident appeal process. The first step in the process is as
follows:

1. Within five days of receipt of the written classification, an appeal must be made to
the Safety Manager or their designee. The appeal must be in writing, and must
specifically state the reasons the employee believes the accident is not
preventable.

2. Once an appeal has been scheduled, the employee or employee representative is
responsible for attending the hearing at the scheduled time. If an employee or
employee representative fails to appear, and it is clear that the employee or their
representative had notice of the time and place of the hearing, the employee shall
forfeit their right to appeal the original accident classification unless the employee
can show that they had no control over their failure to appear.

3. The Safety Manager or his designee will review all pertinent information and will
notify the employee in writing of the decision to either uphold or reverse the
original accident classification. Notification, including the employee’s right to
appeal the decision to the Accident Review Board, will be made within five days
of the appeal unless an extension is mutually agreed upon with the employee or
employee representative.

B. If an employee wishes to appeal the determination of the Safety Manager to the
Accident Review Board they must do so as follows:

1. Within five days of receipt of the Step 1 determination, the employee may appeal
to the Accident Review Board. The appeal must be in writing and must state the
reasons the employee believes the accident is non-preventable. The written appeal
must be given to the Accident Review Board Chair.

2. The employee, upon request contained in the written appeal, shall be provided and
may review the written statements and exhibits that will be presented to the
Accident Review Board. After such review, the employee may make an
additional written statement and submit additional exhibits necessary to
adequately present their case.

3. All evidence will be discussed in private. In determining whether or not an
accident is preventable, a majority vote of the Board will govern. The Chair will

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vote only in the case of a tie. Decisions that are determined without the vote of
the Chair will be final.

4. The Chair will notify the employee of the Board’s decision in writing within five
working days of the hearing.

C. The Accident Review Board will be comprised of two operators with at least a ten-
year safety award and no preventable accidents in the preceding 12 consecutive
months, a transportation supervisor, a maintenance supervisor, and a Chair who will
be the VP of Human Resources or their designee.

1. At the end of each calendar year, a list of employees meeting the safety criteria will
be submitted to the employee representative. The employee representative will
select 10 employees from the list to serve a one-year term on the Accident Review
Board.

2. DART will appoint five employees meeting the safety criteria to serve on the
panel and five supervisors each from the Transportation and Maintenance
Departments.

3. All appointees will serve a 12-month term after successful completion of the
National Safety Council’s training on vehicle accident preventability. In addition,
appointees must maintain their eligibility during the one-year period.

4. Training will be provided at DART expense and panel members will be paid for
the time spent in reviewing accident appeals without loss of pay.

5. Prior to the convening of an Accident Review Board hearing, DART will provide
the employee or employee’s representative a list of the names of 15 employees
made up from the list of their designated appointees and the DART appointees as
reference in Section 9.13.C.1 & 2. The employee or employee representative may
strike five (5) employees from the eligibility list and those individuals will not
serve on the Accident Review Board that will determine the preventability of the
accident being appealed.

D. The Accident Review Board will meet at least once every three months provided there
are appeals to be reviewed. The role of the Chair is to read the written statements,
present all exhibits and make all materials available to the other Board members. The
identity of the employee will not be revealed.

E. If an accident determination was deadlocked and was determined by a vote of the
Chair, the employee will be notified of their right to appeal the determination, if
applicable, to the National Safety Council as follows:

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1. Upon being notified of the right to appeal to the National Safety Council, the
employee must, within 10 working days, write a letter to the Safety Officer
detailing why the local Accident Review Board should have determined that the
accident in question was non-preventable. The Safety Officer will be responsible
for forwarding the required information to the National Safety Council.

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TABLE OF CONTENTS 1A
1B
DART Board Resolution 1
DART Board Policy 2
Preamble 3
Introduction 3
General Information 3
A. References 3
B. Preemption of State and Local Law 3
C. Definitions 3
D. Questions About this Policy 4
E. FTA Regulations and DART Policy 5
F. Covered Employees 6
G. Confidentiality and Access to Records 6
FTA Regulations on Drug and Alcohol Testing 7
A. Participation 7
B. FTA Prohibitions Regarding Alcohol Use 7
8
1. Alcohol concentration 8
2. On-duty use 8
3. Pre-duty use 8
4. On-call employees 8
5. Following an accident 8
6. Refusal to Submit 9
C. FTA Prohibited Drugs 10
D. Alcohol and Drug Testing Circumstances 11
1. Pre-employment Testing 11
2. Random Testing 13
3. Reasonable Suspicion Testing 13
4. Post-Accident Testing 14
5. Return to Duty Testing 14
6. Follow-Up Testing 15
7. Retesting Requirements
Referral and Evaluation
Education and Training

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Additional Requirements not Mandated by FTA 16
A. Controlled Substances 16
B. The Drug-Free Workplace Act of 1988 16
C. Off-Duty Employees 16
D. Reasonable Suspicion Testing – Negative Results 18
E. Participation in Other Testing Circumstances 17
17
1. Post Incident Testing 17
F. Disciplinary Action 17
17
1. Alcohol Concentration of 0.02 to 0.04 17
2. Positive Tests and Refusal to Submit to Testing 17
3. Administrative Leave 18
4. On-Call Employees
5. Recap of Disciplinary Actions

APPENDICES 19
1. Definitions 26
2. Staff Names and Telephone Numbers 26
27
Identity of Contractors 28
Administration of the Program 30
3. DART’s EAP and Rehabilitation Opportunity 34
4. Alcohol Testing Procedures 49
5. Drug Testing Procedures
6. Random Testing – Percentages Required

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Preamble to DART’s Substance Abuse Program

The attached document outlines the requirements that have been adopted by DART in compliance
with Federal Transit Administration (FTA) regulations regarding the prevention of prohibited drug
use and alcohol misuse in transit operations and the United States Department of Transportation
(DOT) procedures for testing for drugs and alcohol in the workplace.

In addition to the above requirements, DART’s Substance Abuse Program requires compliance with
policies established under DART’s own authority, separate and apart from the federal regulations
named above. Throughout the attached policy, DART’s requirements are clearly differentiated
from the requirements mandated by DOT and the FTA.

Under DART’s policy, employees are strictly prohibited from the non-prescriptive use, sale,
possession, distribution, dispensation, manufacture, or transfer of controlled substances or alcohol
on DART property or other work sites, on or off duty. Controlled substances include, but are not
limited to, marijuana, cocaine, opiates, amphetamines, and phencyclidine (PCP). The term does not
include controlled substances used in accordance with a valid prescription.

DART also requires compliance with the Drug-Free Workplace Act of 1988 and the Omnibus
Transportation Testing Act of 1991. The Drug-Free Workplace Act of 1988 requires employees to
notify management, in writing, within five working days of any criminal drug statute conviction for
a violation occurring in the workplace, or of a plea of guilty or nolo contendere to such charges.
DART requires the same notification for such violations that occur outside the workplace. The
Omnibus Transportation Testing Act of 1991 requires:

1. The FTA to issue regulations requiring recipients of Federal transit funds under 49 U.S.C.
5307, 5309, and 5311, and 23 U.S.C. 103(e)(4) to test safety-sensitive employees for the use
of alcohol or drugs in violation of law or federal regulation.

2. Recipients to establish alcohol and drug testing programs.
3. Mandates four types of testing: pre-employment, random, reasonable suspicion, and post-

accident. In addition, the Act permits return-to-duty and follow-up testing under specific
circumstances.
4. Recipients follow the testing procedures set out by the Department of Health and Human
Services (DHHS).
5. Directs FTA to issue regulations establishing consequences for the use of alcohol or
prohibited drugs by individuals performing safety-sensitive functions in the transit industry.
Possible consequences include education, counseling, rehabilitation programs, and
suspension or termination from employment.

In addition, DART has established under its own authority disciplinary actions that will be taken
against employees who violate the provisions of the attached policy (outlined in Section 10.6).

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10.1. Introduction

A. DART promotes the safety of its riders, employees, and the general public by encouraging a
drug-free and alcohol-free workplace, and by undertaking affirmative measures to deter and
detect the use of illegal drugs and alcohol misuse in the workplace.

B. The policies and procedures in this chapter outline the regulations of the United States
Department of Transportation (DOT) and the Federal Transit Administration (FTA), a DOT
agency, regarding testing of transit agency employees who perform safety-sensitive
functions to detect alcohol misuse and prohibited drug use.

C. The chapter includes information on the following:

1. The identity of the persons designated to answer employee questions about this policy.
2. The categories of employees who are subject to this policy.
3. Specific information concerning the conduct and behavior that is prohibited.
4. The specific circumstances under which an employee will be tested for prohibited drugs

and alcohol misuse.
5. The procedures that will be used to test for the presence of drugs and alcohol, protect the

employee and the integrity of the testing process, safeguard the validity of the test
results, and ensure the test results are attributed to the correct covered employee.
6. The requirement that employees must submit to testing administered in accordance with
this policy.
7. A description of the kind of behavior that constitutes a refusal to take a test.
8. The consequences for employees who: i) violate the prohibitions outlined in this policy;
ii) test positive for alcohol [an alcohol concentration of 0.04 or greater]; iii) test positive
for drugs [a verified positive drug test result]; or iv) refuse to submit to testing, including
the mandatory requirements that such employees will be removed immediately from any
safety-sensitive function.
9. The consequences for employees found to have an alcohol concentration of 0.02 or
greater but less than 0.04.
10. Information on the effects of alcohol misuse on a person’s health, work, and personal
life; signs and symptoms of an alcohol problem, and available methods of intervening
when an alcohol problem is suspected, including confrontation, and referral for help for
such problems.
11. Information on additional policies established by DART with respect to prohibited drug
use or the use or possession of alcohol, including any consequences for an employee
found to have a specified alcohol concentration, that are independent of the federal
regulations.

D. DART has established policies that are in addition to the federal requirements and will
provide employees with specific information concerning which provisions are mandated by
the FTA and which are required under DART authority.

E. Participation by covered employees is a condition of employment. Supervisors may not
permit employees to perform safety-sensitive functions if they have violated any provision
of this chapter.

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10.2. General Information

A. References.

1. Procedures for Transportation Workplace Drug and Alcohol Testing Programs, as
amended (49 CFR Part 40).

2. Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations as
amended (49 CFR Part 655).

3. Omnibus Transportation Testing Act of 1991.

4. The Drug-Free Workplace Act of 1988 (FR-Vol.55-No.102, May 25, 1990) (Pub. L.100-
690, title V, subtitle D).

B. Preemption of State and Local Law.

49 CFR Part 655 preempts any state and local law, rule, regulation, or order to the extent that
(1) compliance with both the state and 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 Part 655. This part shall not be construed
to preempt provisions of State criminal laws that impose sanction 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 DART employees, DART, or the general
public.

C. Definitions.

The definition of specific words and terms used in this chapter are listed in Appendix 1. Unless
otherwise indicated, all other words and terms are to be given their usual and customary
meaning.

D. Questions about this Policy.

Employees who have questions regarding this policy should refer to the Safety Section of Risk
Management. See Appendix 2 for a list of names and telephone numbers.

E. FTA Regulations and DART Policy.

This manual describes both the FTA regulations regarding prevention of prohibited drug use and
alcohol misuse in transit agencies and DART policies on substance abuse established on the
basis of its independent authority, separate from the FTA requirements. DART will take every
lawful action necessary to create and maintain a workplace free of drugs and alcohol to protect
the safety of its customers, employees, and physical assets. DART policies that are separate
from FTA regulations are clearly identified.

The primary areas where DART has established policies based on its independent authority are
as follows:

1. DART requires participation in the drug and alcohol testing program by all employees.
Non-Safety Sensitive employees are only subject to pre-employment testing prior to

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hire, reasonable suspicion testing, and post-accident testing following a fatality accident
while driving a DART vehicle.

2. Employees who test positive in the circumstances of reasonable suspicion, post-accident,
return to duty, and follow-up testing, or who test positive a second time under any
circumstances, are subject to discharge and therefore not eligible for the substance abuse
professional services or rehabilitation opportunities set forth in this chapter. The same is
true for employees who refuse to take a test. Such employees will be advised of the
resources available in evaluating and resolving problems associated with prohibited
drugs and the misuse of alcohol, including names, addresses, and telephone numbers of
substance abuse professionals.

3. DART has established disciplinary consequences for certain violations of the drug and
alcohol testing program, as shown in Section 10.6.

4. Section 10.6 outlines other aspects of DART's substance abuse program that are
established under its own authority or the authority of other governmental regulations.

5. Prescription and Over-the-Counter Medication Use. The appropriate use of legally
prescribed drug and non-prescription medication is not prohibited. It is, however, the
employee’s responsibility to inform his/her physician of the employee’s job duties and
determine from the physician whether or not the medication may impair the employee’s
job performance, mental function, or motor function. It is the responsibility of the
employee to consult with his/her supervisor if he/she feels he/she may be impaired.

F. Covered Employees

All safety-sensitive employees of DART and selected contractors who perform safety-sensitive
functions for DART are subject to the drug and alcohol testing provisions set forth in the FTA
regulations. The FTA mandates that safety-sensitive employees who perform any of the
functions listed below are subject to drug and alcohol testing. The requirement extends to any
supervisor who performs safety-sensitive functions, or whose job description includes
performance of at least one of the safety-sensitive functions:

1. Operating a revenue service vehicle, including when not in revenue service.

2. Operating a non-revenue service vehicle, when required to be operated by a holder of a
Commercial Drivers License (CDL).

3. Controlling dispatch or movement of a revenue service vehicle.

4. Maintaining (including repairs, overhaul, and rebuilding) a revenue service vehicle or
equipment used in revenue service.

5. Carrying a firearm for security purposes.

A list of safety-sensitive positions is maintained in the Safety Section of Risk Management.

The FTA holds that employees are considered to be performing safety-sensitive functions
during any period in which they are actually performing, ready to perform, or immediately
available to perform such functions. This includes employees who are on call to perform a
safety-sensitive function.

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G. Confidentiality of and Access to Records

1. Except as required by law or expressly authorized or required by the FTA regulations,
DART will not release employee information contained in records required to be
maintained by the FTA. DART may disclose such information pertaining to an employee
to the employee or the decision-maker in a lawsuit, grievance, or other proceeding
initiated by or on behalf of the employee, and arising from the results of a test
administered as described in this policy (including, but not limited to a workers’
compensation, unemployment compensation, or other proceeding relating to a benefit
sought by the employee).

2. Employees are entitled, upon written request, to obtain copies of any records pertaining
to their use of alcohol or drugs, including any records pertaining to alcohol or drug tests,
and any records required to be maintained by the FTA. DART will promptly provide the
records requested by the employee. Access to an employee’s records shall not be
contingent upon payment for records other than those specifically requested. DART will
permit access to all facilities and records compiled in complying with the requirements
of the FTA to the Secretary of Transportation or any DOT agency with regulatory
authority over DART or any of its employees or to a State oversight agency authorized
to oversee rail fixed guideway systems.

3. DART will disclose data for its drug and alcohol testing program, and any other
information pertaining to anti-drug and alcohol misuse programs as required by the FTA,
to the Secretary of Transportation or any DOT agency with regulatory authority over it
or its employees to the State oversight agency authorized to oversee rail fixed guideway
systems, upon the Secretary’s request or the respective agency’s request.

4. When requested by the National Transportation Safety Board as part of an accident
investigation, DART will disclose information related to the drug and alcohol testing
related to the accident under investigation. Records will be made available to a
subsequent employer upon receipt of a written request from the covered employee.
Subsequent disclosure by DART is permitted only as expressly authorized by the terms
of the employee’s request.

5. DART may disclose drug and alcohol testing information to the State oversight
agency or grantee that is required to certify to the FTA compliance with the drug and
alcohol testing procedures of 49 CFR Parts 40 and 655.

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6. DART will release information regarding an employee’s records as directed by the
specific, written consent of the employee authorizing release of the information to an
identified person.

10.3. FTA Regulations on Drug and Alcohol Testing

A. Participation.

1. Safety-sensitive employees are required to submit to testing in the circumstances
outlined below. Employees will be notified prior to testing whether the test is required
by the FTA or by DART.

2. Refusal to Submit to Testing.

a. Employees who refuse to submit to testing will not be permitted to perform or
continue to perform safety-sensitive functions.

b. The FTA mandates that an employee is considered to have refused to take a drug or
alcohol test if he/she:

i. Fails to appear for any test (except a preemployment test) within a reasonable
time, as determined by DART, after being directed to do so;

ii. Fails to remain at the testing site until the testing process is complete; provided,
that an employee who leaves the testing site before the testing process
commences for a pre-employment test is not deemed to have refused to test.

iii. Fails to sign the certification at Step 2 of the Alcohol Testing Form;

iv. Fails to provide a urine specimen for any drug test required; provided, that an
employee who does not provide a specimen because he/she has left the
collection site before the testing process commences for a pre-employment test
is not deemed to have refused to test.

v. In the case of a directly observed or monitored collection in a drug test, fails to
permit the observation or monitoring of his/her provision of a specimen;

vi. Fails to provide an adequate amount of breath for any alcohol test required;

vii. Fails to provide a sufficient amount of urine or breath specimen, and the
physician has determined, through a required medical evaluation, that there was
no adequate medical explanation for the failure;

viii. Fails or declines to take an additional drug test that DART or the collector has
directed you to take;

ix. Fails to undergo a medical examination or evaluation, as directed by the MRO as
part of the verification process, or as directed by DART. In the case of a pre-
employment drug test, the employee is deemed to have refused to test on this
basis only if the pre-employment test is conducted following a contingent offer
of employment. If there was no contingent offer of employment, the MRO will
cancel the test;

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