FTA Drug and Alcohol Program: Advanced DAPM National Conference

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FTA DRUG AND ALCOHOL PROGRAM 
 
NATIONAL CONFERENCE
APRIL 2, 2019
Speakers
FTA D&A Project Office (USDOT/Volpe Center)
Lori DeCoste
lori.decoste@dot.gov
, 617-494-2379
Michael Redington
 
michael.redington@dot.gov
, 617-494-2197
Felicity Shanahan
 
felicity.shanahan@dot.gov
, 617-494-3915
2
 
MIS – Covered Employees
How to Calculate
“Total Number of Employees in All Categories”
Average number of 
your
 FTA-covered employees in the random testing
pool(s) at the time of each random selection
Example (using quarterly selections):
Q1: 56
Q2: 60
 
(56 + 60 + 63 + 61) / 4
Q3: 63
 
240 total employees / 4 quarters = 
60 total covered employees
Q4: 61
3
MIS – Covered Employees
How to Calculate
Contractor begins mid-year (e.g., July 1)
Example (using quarterly selections):
Q3: 63
 
(63 + 61) = 124
Q4: 61
 
124 total employees / 2 quarters = 
 62 total covered employees
Work Stoppage/Seasonal (e.g. limited service April 1 – June 30)
Example (using quarterly selections):
Q1: 60
Q2: 8
 
(60 + 8 + 63 + 61) = 192
Q3: 63
 
192 total employees / 4 quarters = 
48 total covered employees
Q4: 61
4
FTA Random Testing Rates
Minimum random testing rates: drugs = 
50%, 
alcohol = 10%
50% and 10% of total number of covered employees (usually – see next slide)
If random pool includes multiple FTA-covered employers
Pool must select enough to meet 50% / 10% requirements
Each employer 
not required to meet testing rates
If random pool includes employees/employers covered by multiple DOT
modes (e.g., FTA and FMCSA)
Pool must select enough to meet highest minimum rate (i.e., FTA)
5
FTA Random Testing Rates
Contractor begins mid-year (July 1) – How many tests?
Example (using quarterly selections):
Q3: 63
 
(63 + 61) = 124
Q4: 61
 
124 total employees / 2 quarters = 
 62 total covered employees
62 covered employees x 0.5 year = 31
50% of 31 = 15.5 = 
16 random drug tests
10% of 31 = 3.1 = 
4 random alcohol tests
Must round up!
6
MIS – Reporting Test Results
Report only FTA test results to FTA
If random pool includes non-FTA, do not report non-FTA
Do not report non-DOT tests
MIS is employer-based
Do not include contractors on grantee MIS report
Corporate Contractors
Report testing results associated with individual contract (FTA grantee)
Do not report corporate-wide results
7
MIS – Reporting Test Results
What do you report when…
A DOT form is used for a non-DOT test?
The collector marks the wrong test type on the CCF?
An applicant takes a pre-employment test, but is not hired?
8
Safety-Sensitive - Sometimes
Employee ‘could, ‘might’, ‘may’ perform safety-sensitive function:
Operates only when several operators are on sick and on vacation
Operates only once a year – special event
Operates only in an emergency
Must employee be in random pool – subject to DOT/FTA testing?
Can you “add in” and “pull out” of random pool on a regular basis?
Safety-sensitive determined by job function, not job title
9
Safety-Sensitive - Supervisors
“Supervising safety-sensitive functions” is not a safety-sensitive function
Must actually perform a safety-sensitive function
How do you report on MIS?
10
Post-Accident Decision Making
Scenario #1: Operator in hospital – hospital does not allow tests
Can you test when released? Operator went home?
Scenario #2: Operator does not report accident – disabling damage – and
goes home
Is this a refusal?
Scenario #3: Operator escorting paratransit passenger from doorstep –
passenger falls and is transported to the hospital
Do you test?
11
Post-Accident Decision Making
Scenario #4: Manager thinks operator was discounted for improper
reasons by on-scene supervisor
Can manager overturn decision by on-scene supervisor?
Scenario #5: Police provide direction to test the operator
Do you test?
Scenario #6: Accident occurs 200 miles away
Must supervisor go to scene?
12
Waiting For Test Results
What does FTA require you to do when…
Employee sent for Reasonable Suspicion drug test – Awaiting Result
Employee sent for Post-Accident Drug – Awaiting Result
Shy Bladder or Shy Lung Evaluation – Awaiting Outcome
13
Test Refusals
Who has the final say?
MRO
Evaluating Physician (shy lung)
Employer – After Review of Collector/BAT/STT documentation
Employer may differ from Collector, BAT, STT – must document
Urine Collector, BAT, STT do not make refusal determinations
14
Employee Prescriptions
What does FTA require you to do when…
Employee reports they have been prescribed OxyContin?
15
CDL Physicals & Drug Testing
DOT physical exams (CMVs) do not require drug tests
Urinalysis is for metabolic testing (e.g. glucose)
Medical Certificate Renewal
Any drug testing must be non-DOT
16
Pre-Employment Refusals
PE Drug Test Begins When Donor Accepts or Selects Specimen Cup
Donor Unable to ‘Refuse’ Prior to that
NOT a Refusal
Donor will not select or accept cup
Donor does not go to collection site
Donor does not arrive at scheduled time
Donor does not provide identification at collection site
Donor admits to illegal drug use in interview
17
*MIS Data as of 3/18/19
Previous Employer
Discover current employee had DOT positive/refusal with a previous
employer
Check if compliant with SAP evaluation, follow-up testing program
If 
not
 – Pull employee
What if discovery is after more than two years?
Discover previous employee, with positive DOT result, is performing
safety-sensitive elsewhere?
Contact FTA Drug and Alcohol Program Manager (Iyon Rosario)
18
Positives/Refusals - Arbitration
Arbitrators may overturn the 
discipline
 (termination) following a
refusal or positive test result, but 
not 
the test 
result
Remains a DOT positive/refusal result
Employee must still:
Be referred to SAP
Successfully complete return-to-duty process
Take return-to-duty test(s) with negative result
Be subject to follow-up testing
Still report positive/refusal on MIS report
19
Follow-up Testing
DAPM Did Not Follow the Plan
Scenario #1: SAP required both drug and alcohol testing, DAPM only
conducted drug testing
Scenario #2: SAP required drug testing only, DAPM conducted both
drug and alcohol testing
Scenario #3: SAP required 8 tests in first year, DAPM only conducted 6
tests
20
Alcohol Testing - When?
Pre-employment (optional) – After making a contingent job offer
Must be DOT test
Must test all safety-sensitive applicants/transferees
Random – During, just before, and just after performance of safety-
sensitive function
Post-accident – As soon as practicable following an accident
21
Alcohol Testing - When?
Reasonable suspicion – During, just before, and just after the
performance of safety-sensitive function
Observations must be made during, just before and just after performance
of safety-sensitive function
Return-to-duty – after SAP has determined compliance (and has
required RTD alcohol testing)
Follow-up – During, just before and just after the performance of
safety-sensitive function
What if not performing a safety-sensitive function?
22
Collection Site – Wait Times
What are your responsibilities/options?
Example to section 40.61(b)(1) states:
“Collectors and BATs should work together, however, to 
ensure that post-
accident and reasonable suspicion alcohol tests happen as soon as possible
(e.g., by moving the employee to the head of the line for alcohol tests).”
Post-Accident Testing Documentation Requirements
2 hours from accident to alcohol test
 not 2 hours from accident to arrival at collection site
23
Collection Site – Restrictions
Unavailable After Hours
Must test at all hours that safety-sensitive functions are performed
Random testing
Post-accident testing
Reasonable suspicion testing
Follow-up testing
Hospitals
Collectors and BATs must be DOT-qualified
24
Cancelled Tests – Shy Bladder
Shy bladder with “temporary” medical explanation
Not a refusal
What does FTA require you to do?
Pre-Employment Test
Random Tests
Follow-Up Tests
25
Access to D&A RECORDS
655.73(i): “employer may disclose drug and alcohol testing information
required to be maintained under this part, pertaining to a covered
employee, to the State oversight agency or grantee required to certify
to FTA compliance with the drug and alcohol testing procedures of 49
CFR parts 40 and 655”
Contractors/subrecipients must release D&A records to FTA Grantee upon
request
Includes subcontractors and independent contractors (taxicab)
Do all departments of employer (Risk, HR, Legal, Operations,
Accounting, Safety, etc.) have access?
26
Questions?
Contact Us
FTA Drug and Alcohol Hotline: 617-494-6336 or 
fta.damis@dot.gov
Lori DeCoste, 
lori.decoste@dot.gov
, 617-494-2379
Michael Redington, 
michael.redington@dot.gov
, 617-494-2197
Felicity Shanahan, 
felicity.shanahan@dot.gov
, 617-494-3915
27
 
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Explore the guidelines and procedures for the FTA Drug and Alcohol Program discussed at the Advanced DAPM National Conference held on April 2, 2019. Learn about calculating covered employees, random testing rates, and reporting test results efficiently. Gain insights into managing drug and alcohol testing requirements for FTA-covered employees and contractors. Stay compliant with strict testing regulations and ensure a safe work environment.


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  1. ADVANCED DAPM ADVANCED DAPM FTA DRUG AND ALCOHOL PROGRAM NATIONAL CONFERENCE APRIL 2, 2019

  2. Speakers FTA D&A Project Office (USDOT/Volpe Center) Lori DeCoste lori.decoste@dot.gov, 617-494-2379 Michael Redington michael.redington@dot.gov, 617-494-2197 Felicity Shanahan felicity.shanahan@dot.gov, 617-494-3915 2

  3. MIS Covered Employees How to Calculate Total Number of Employees in All Categories Average number of your FTA-covered employees in the random testing pool(s) at the time of each random selection Example (using quarterly selections): Q1: 56 Q2: 60 (56 + 60 + 63 + 61) / 4 Q3: 63 240 total employees / 4 quarters = 60 total covered employees Q4: 61 3

  4. MIS Covered Employees How to Calculate Contractor begins mid-year (e.g., July 1) Example (using quarterly selections): Q3: 63 (63 + 61) = 124 Q4: 61 124 total employees / 2 quarters = 62 total covered employees Work Stoppage/Seasonal (e.g. limited service April 1 June 30) Example (using quarterly selections): Q1: 60 Q2: 8 (60 + 8 + 63 + 61) = 192 Q3: 63 192 total employees / 4 quarters = 48 total covered employees Q4: 61 4

  5. FTA Random Testing Rates Minimum random testing rates: drugs = 50%, alcohol = 10% 50% and 10% of total number of covered employees (usually see next slide) If random pool includes multiple FTA-covered employers Pool must select enough to meet 50% / 10% requirements Each employer not required to meet testing rates If random pool includes employees/employers covered by multiple DOT modes (e.g., FTA and FMCSA) Pool must select enough to meet highest minimum rate (i.e., FTA) 5

  6. FTA Random Testing Rates Contractor begins mid-year (July 1) How many tests? Example (using quarterly selections): Q3: 63 (63 + 61) = 124 Q4: 61 124 total employees / 2 quarters = 62 total covered employees 62 covered employees x 0.5 year = 31 50% of 31 = 15.5 = 16 random drug tests 10% of 31 = 3.1 = 4 random alcohol tests Must round up! 6

  7. MIS Reporting Test Results Report only FTA test results to FTA If random pool includes non-FTA, do not report non-FTA Do not report non-DOT tests MIS is employer-based Do not include contractors on grantee MIS report Corporate Contractors Report testing results associated with individual contract (FTA grantee) Do not report corporate-wide results 7

  8. MIS Reporting Test Results What do you report when A DOT form is used for a non-DOT test? The collector marks the wrong test type on the CCF? An applicant takes a pre-employment test, but is not hired? 8

  9. Safety-Sensitive - Sometimes Employee could, might , may perform safety-sensitive function: Operates only when several operators are on sick and on vacation Operates only once a year special event Operates only in an emergency Must employee be in random pool subject to DOT/FTA testing? Can you add in and pull out of random pool on a regular basis? Safety-sensitive determined by job function, not job title 9

  10. Safety-Sensitive - Supervisors Supervising safety-sensitive functions is not a safety-sensitive function Must actually perform a safety-sensitive function How do you report on MIS? 10

  11. Post-Accident Decision Making Scenario #1: Operator in hospital hospital does not allow tests Can you test when released? Operator went home? Scenario #2: Operator does not report accident disabling damage and goes home Is this a refusal? Scenario #3: Operator escorting paratransit passenger from doorstep passenger falls and is transported to the hospital Do you test? 11

  12. Post-Accident Decision Making Scenario #4: Manager thinks operator was discounted for improper reasons by on-scene supervisor Can manager overturn decision by on-scene supervisor? Scenario #5: Police provide direction to test the operator Do you test? Scenario #6: Accident occurs 200 miles away Must supervisor go to scene? 12

  13. Waiting For Test Results What does FTA require you to do when Employee sent for Reasonable Suspicion drug test Awaiting Result Employee sent for Post-Accident Drug Awaiting Result Shy Bladder or Shy Lung Evaluation Awaiting Outcome 13

  14. Test Refusals Who has the final say? MRO Evaluating Physician (shy lung) Employer After Review of Collector/BAT/STT documentation Employer may differ from Collector, BAT, STT must document Urine Collector, BAT, STT do not make refusal determinations 14

  15. Employee Prescriptions What does FTA require you to do when Employee reports they have been prescribed OxyContin? 15

  16. CDL Physicals & Drug Testing DOT physical exams (CMVs) do not require drug tests Urinalysis is for metabolic testing (e.g. glucose) Medical Certificate Renewal Any drug testing must be non-DOT 16

  17. Pre-Employment Refusals PE Drug Test Begins When Donor Accepts or Selects Specimen Cup Donor Unable to Refuse Prior to that NOT a Refusal Donor will not select or accept cup Donor does not go to collection site Donor does not arrive at scheduled time Donor does not provide identification at collection site Donor admits to illegal drug use in interview 2018 MIS* Other Refusals Pre-Employment Other PE Drug Refusals 111,031 Drug Tests 714 Random Other Random Drug Refusals *MIS Data as of 3/18/19 91,037 Drug Tests 167 17

  18. Previous Employer Discover current employee had DOT positive/refusal with a previous employer Check if compliant with SAP evaluation, follow-up testing program If not Pull employee What if discovery is after more than two years? Discover previous employee, with positive DOT result, is performing safety-sensitive elsewhere? Contact FTA Drug and Alcohol Program Manager (Iyon Rosario) 18

  19. Positives/Refusals - Arbitration Arbitrators may overturn the discipline (termination) following a refusal or positive test result, but not the test result Remains a DOT positive/refusal result Employee must still: Be referred to SAP Successfully complete return-to-duty process Take return-to-duty test(s) with negative result Be subject to follow-up testing Still report positive/refusal on MIS report 19

  20. Follow-up Testing DAPM Did Not Follow the Plan Scenario #1: SAP required both drug and alcohol testing, DAPM only conducted drug testing Scenario #2: SAP required drug testing only, DAPM conducted both drug and alcohol testing Scenario #3: SAP required 8 tests in first year, DAPM only conducted 6 tests 20

  21. Alcohol Testing - When? Pre-employment (optional) After making a contingent job offer Must be DOT test Must test all safety-sensitive applicants/transferees Random During, just before, and just after performance of safety- sensitive function Post-accident As soon as practicable following an accident 21

  22. Alcohol Testing - When? Reasonable suspicion During, just before, and just after the performance of safety-sensitive function Observations must be made during, just before and just after performance of safety-sensitive function Return-to-duty after SAP has determined compliance (and has required RTD alcohol testing) Follow-up During, just before and just after the performance of safety-sensitive function What if not performing a safety-sensitive function? 22

  23. Collection Site Wait Times What are your responsibilities/options? Example to section 40.61(b)(1) states: Collectors and BATs should work together, however, to ensure that post- accident and reasonable suspicion alcohol tests happen as soon as possible (e.g., by moving the employee to the head of the line for alcohol tests). Post-Accident Testing Documentation Requirements 2 hours from accident to alcohol test not 2 hours from accident to arrival at collection site 23

  24. Collection Site Restrictions Unavailable After Hours Must test at all hours that safety-sensitive functions are performed Random testing Post-accident testing Reasonable suspicion testing Follow-up testing Hospitals Collectors and BATs must be DOT-qualified 24

  25. Cancelled Tests Shy Bladder Shy bladder with temporary medical explanation Not a refusal What does FTA require you to do? Pre-Employment Test Random Tests Follow-Up Tests 25

  26. Access to D&A RECORDS 655.73(i): employer may disclose drug and alcohol testing information required to be maintained under this part, pertaining to a covered employee, to the State oversight agency or grantee required to certify to FTA compliance with the drug and alcohol testing procedures of 49 CFR parts 40 and 655 Contractors/subrecipients must release D&A records to FTA Grantee upon request Includes subcontractors and independent contractors (taxicab) Do all departments of employer (Risk, HR, Legal, Operations, Accounting, Safety, etc.) have access? 26

  27. Questions? Contact Us FTA Drug and Alcohol Hotline: 617-494-6336 or fta.damis@dot.gov Lori DeCoste, lori.decoste@dot.gov, 617-494-2379 Michael Redington, michael.redington@dot.gov, 617-494-2197 Felicity Shanahan, felicity.shanahan@dot.gov, 617-494-3915 27

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