References

1. 49 CFR Part 655 , "Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations."

2. 49 CFR Part 40, "Procedures for Transportation Workplace Drug Testing Programs."

QUESTIONS FOR THE REVIEW

1. Has a Drug and Alcohol Program compliance audit been conducted in the past two fiscal years? If yes, when was the site visit? Is an audit scheduled for the current fiscal year?

Explanation

Consistent with FTA’s oversight responsibilities, FTA conducts grantee audits assessing compliance with the drug and alcohol regulations. The audit is comprehensive in nature, including a review of each agency’s and selected contractor’s policies, procedures, and recordkeeping. Vendors, including collection sites, third-party administrators (TPAs), MROs, and SAPs also are interviewed and a mock collection is performed.

After the audit is complete, the audit team conducts an exit interview presenting the findings, if any, to the grantee. A letter and final report documenting the deficiencies and necessary corrective actions are provided to the grantee during the exit interview. The grantee then has 90 days to take corrective actions and provide appropriate documentation to the audit team. The Office of Safety and Security issues a closeout letter once the grantee is fully in compliance.

If a Drug and Alcohol Program compliance audit has been conducted in the past two fiscal years or if one is scheduled for the current fiscal year (FYs 2005, 2006, or 2007), a review of the Drug and Alcohol Program area is not necessary.

Reason for the Question

Input to triennial review

Sources of Information

Contact the regional office to determine if a Drug and Alcohol Program compliance audit is scheduled for the current year or has been conducted during the past two fiscal years.

Determination

If a Drug and Alcohol Program compliance audit has been conducted in the past two fiscal years or if one is scheduled for the current fiscal year, a finding of “Not Reviewed” (NR) should be made.

Suggested Corrective Action

None.

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2. Does the grantee have a drug and alcohol testing program for safety sensitive employees as defined by FTA? Do contractors and subcontractors with safety sensitive employees have drug and alcohol testing programs?

Explanation

Grantees and their contractors and subcontractors that have safety sensitive employees are required to have a drug and alcohol testing program for these employees. For grantees that use volunteer drivers, the volunteers are not subject to testing unless the volunteer is required to hold a commercial driver’s license (CDL) or receives remuneration in excess of expenses incurred while engaged in a safety-sensitive function. Safety sensitive employees are employees that perform the following functions:

• operating a revenue vehicle including when not in revenue service
  
• operating a non-revenue vehicle when required to be operated by a holder of a Commercial Driver’s License (CDL)
  
• controlling dispatch or movement of a revenue service vehicle
  
• maintaining, repairing, overhauling, and rebuilding a revenue service vehicle or equipment used in revenue service with the exception of:
  
  
  • all maintenance contractors of grantees that serve populations under 200,000; and
    
  • subcontractors of maintenance contractors.
  
  Note: subcontractors that provide maintenance services to an operations contractor are subject to FTA's drug and alcohol testing regulations.
  
  
• carrying a firearm for security purposes.

Grantees that operate a commuter railroad regulated by the Federal Railroad Administration (FRA) must follow FRA regulations for its railroad operations, and follow FTA regulations for its non-railroad operations, if applicable. Grantees that operate a ferry system are considered to be in compliance with FTA regulations when they comply with the U.S. Coast Guard's (USCG's) chemical and alcohol testing requirements. However, those ferry operations are subject to FTA's random alcohol testing requirement since the USCG does not have a similar requirement.

Grantees that have employees, contractors, or subcontractors that are subject to drug and alcohol testing as part of a Federal Motor Carrier Safety Administration (FMCSA) program must ensure that any individual who also provides services to the transit system is subject to FTA regulations while performing FTA-defined safety sensitive functions. For example, a municipal transit system may have maintenance performed by a mechanic employed by the city government who repairs transit vehicles as well as other city-operated equipment. At times when this employee works on transit vehicles, he or she would be subject to FTA regulations.

Contractors that overhaul or rebuild vehicles, engines and parts are subject to FTA regulations, unless this work is done on an ad hoc or one-time basis. Also, vendors from whom grantees purchase or exchange rebuilt engines or other components are not subject to the regulations.

If a grantee utilizes taxicab companies to provide transit services (e.g., paratransit), the applicability of the drug and alcohol testing depends on the nature of the service. If a grantee has a contract with one or more taxicab operators, then the drug and alcohol testing regulations apply to the drivers. However, the FTA regulations do not apply if a transit patron (or broker) chooses the taxicab company, even if there is only one company available. The regulations do not apply to taxicab maintenance personnel, provided the primary purpose of the taxicab company is not public transit service.

Reason for the Question

49 CFR 655.3
49 CFR 655.4

Sources of Information

The grantee should provide evidence that all safety sensitive employees (including contractor and subcontractor employees) are covered by a drug and alcohol testing program. Reviewers should request a list of all contractors and subcontractors in order to determine if the requirement applies.

Determination

If the grantee and its contractors and subcontractors have a drug and alcohol testing program for all covered employees, the grantee is not deficient. If the grantee or any of its contractors and subcontractors has not adopted an FTA program, as applicable, the grantee is deficient.

Suggested Corrective Action

The grantee needs to develop and implement a drug and alcohol testing program for all covered employees within 60 days and submit evidence of such to FTA. The grantee can include the contractor’s employees in its program or require the contractor to have its own program based on the FTA requirements. If a contractor is lacking a drug and alcohol testing program, the grantee needs to ensure that the contractor implements a program within 60 days and have the grantee provide evidence of such to FTA.

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3. Does the grantee have a drug and alcohol policy as required by the FTA drug and alcohol regulations? Does the policy contain the following elements: approval by governing board or other "final authority" for the agency, identity of contact person, employee categories subject to testing, prohibited behavior, testing circumstances, testing procedures, requirement that covered employees submit to testing, behavior that constitutes a refusal to submit to a test, consequences for an employee who has a verified positive test result, consequences for an employee found to have an alcohol concentration of 0.02 or greater but less than 0.04, and requirement that covered employees submit to secondary testing upon receipt of a negative-dilute result from the MRO?

Explanation

Grantees and their contractors and subcontractors covered by 49 CFR Part 655 must have a drug and alcohol policy detailing the provisions of their drug and alcohol program. The policy should cover all the provisions noted above and should reflect all updates and regulation amendments.

The following checklist identifies the minimum requirements of a policy as defined by 49 CFR 655.15:

• Proof of policy adoption by the appropriate governing body with effective date indicated.
  
  
• Identity of the person designated by the employer to answer questions about the anti-drug and alcohol misuse program.
  
  
• Categories of employees who are subject to testing.
  
  
• Prohibited behavior, including when the regulations prohibit the use of alcohol and drugs.
  
  
• Testing circumstances for drugs and alcohol (i.e., pre-employment, random, post-accident, reasonable suspicion, return-to-duty, and follow-up testing).
  
  
• Drug and alcohol testing procedures consistent with 49 CFR Part 40, as amended. (Note: a grantee does not have to reiterate Part 40 in the policy provided that Part 40 is referenced in the policy and is readily available to any employee who requests a copy).
  
  
• The requirement that covered employees submit to drug and alcohol testing administered in accordance with FTA regulations.
  
  
• Description of the behavior and circumstances that constitute a refusal to take a drug and/or alcohol test and a statement that refusals constitute a verified positive test result.
  
  
• Description of the consequences for a covered employee who has a verified positive test result. If the system has a second chance policy, a description of the evaluation and treatment processes must be included.
  
  
• Description of the consequences for covered employees found to have an alcohol concentration of 0.02 or greater but less than 0.04.
  
  

In addition to the requirements listed above, the grantee’s policy should include the following requirement identified in 49 CFR 40.197:

• Requirement that covered employees submit to secondary testing when the MRO informs the agency that a negative test was dilute (i.e., a creatinine concentration of less than 20 milligrams per deciliter and a specific gravity of 1.003 or less).

Some grantees may have modeled their testing programs after Federal Motor Carrier Safety Administration (FMCSA) regulations (49 CFR Part 382). FMCSA regulations do not meet FTA requirements. For example, the definition of covered employee is different. If the program refers to “covered employee” as an employee with a commercial driver’s license, the program is probably fashioned after FMCSA regulations.

Reason for the Question

49 CFR 655.15

Sources of Information

The grantee’s drug and alcohol policy as well as the policies of any contractors or subcontractors with safety-sensitive employees should be reviewed. If there are numerous contractors, the reviewer may choose to review a sample of contractor policies. If the grantee is covered by FRA or the USCG, the grantee should provide documentation that it complies with FRA or USCG regulations. In these situations, the grantee should confirm that there are no employees subject to the FTA requirements.

Determination

If the policy contains all of the provisions mentioned in the above question, the grantee is not deficient. If the policy neglects any of the above provisions required by the regulations, the grantee is deficient. If the grantee is covered by FRA or the USCG and provides documentation that it complies with FRA or USCG regulations, the grantee is not deficient. If a grantee or its contractor has not updated its policy to reflect updates and/or amendments to the regulations, the grantee is deficient.

Suggested Corrective Action

The grantee needs to correct the policy to bring it into compliance, obtain governing board or other “final authority” approval, and recommunicate the policy to all affected employees within 60 days. If a grantee or its contractor has not updated its policy to reflect updates and/or amendments to the regulations, the grantee needs to update the policy; obtain approval by appropriate governing board; and recommunicate the policy to all affected employees within 60 days.

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4. Does the grantee conduct the following types of drug and alcohol testing:

1. Pre-Employment (alcohol optional)
2. Random
3. Post-Accident
4. Reasonable Suspicion
5. Return to Duty
6. Follow-up

Does the grantee test for the following substances: Marijuana, Cocaine, Opiates, Phencyclidine, Amphetamines, Alcohol.

Explanation

Six types of testing are required by the drug and alcohol testing regulations. Pre-Employment (mandatory for drugs and optional for alcohol), Random, Post-Accident, and Reasonable Suspicion under certain conditions must be conducted by all grantees. If the grantee offers rehabilitation and the opportunity for an employee who tested positive to return to work, the grantee must conduct Return to Duty and Follow-up testing also.

The grantee is required to test for the following substances: marijuana, cocaine, opiates, phencyclidine, amphetamines, and alcohol.

Note: if the grantee optionally conducts pre-employment alcohol tests of covered employees, the grantee must follow Part 40 testing procedures.

Reason for the Question

49 CFR 655.31, 655.33, 655.34, 655.41, 655.42, 655.43, 655.44, 655.45, 655.46, and 655.47

Sources of Information

The grantee’s drug and alcohol policy should indicate clearly when and under what circumstances employees will be tested for drugs and alcohol. The policies and procedures for each type of testing should be explained clearly.

Determination

If the policy includes the types of employee testing and the substances to be tested, and all tests are being conducted, the grantee is in compliance. If the policy omits the required information, tests are not being conducted, or substances are not being tested, the grantee is deficient. The reviewer is not permitted to examine specific employee records to make this determination.

Suggested Corrective Action

Direct the grantee to correct the policy to bring it into compliance, obtain governing board approval and recommunicate the policy to all affected employees within 60 days. The grantee must implement the testing program immediately if any requirement is lacking.

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5. Does the grantee use drug testing laboratories certified by the DHHS?

Explanation

All grantees conducting drug testing under 49 CFR Part 655 must use drug testing laboratories certified by the U.S. Department of Health and Human Services (DHHS). A second, separate laboratory may be used to test split-sample specimens. That laboratory must be DHHS certified, also. A notice listing all currently certified laboratories is published in the Federal Register during the first week of each month, and is updated to include laboratories that subsequently apply for and complete the certification process. If any listed laboratory’s certification is totally suspended or revoked, the laboratory will be omitted. The Notice is now available on the Internet at the following website: http://workplace.samhsa.gov/ResourceCenter/lablist.htm.

Reason for the Question

49 CFR 40.81

Sources of Information

The grantee should know which laboratories are being used. The use of these laboratories can be verified by reviewing the Drug Testing Custody and Control Form and/or contracts between the grantee and the laboratories. Use the most current Federal Register list to determine if the grantee is not deficient. This is important because laboratories routinely lose or give up their certification.

Determination

If the grantee is using laboratories on the most current list of DHHS certified laboratories, the grantee is not deficient. If the grantee’s laboratories are not on that list, the grantee is deficient. Laboratory name changes, which occur often, do not revoke a laboratory’s certification.

Suggested Corrective Action

The grantee must discontinue using uncertified laboratories and contract with DHHS certified laboratories.

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6. Is the grantee testing at a random rate of 50 percent for drugs and 10 percent for alcohol?

Explanation

Grantees are required to conduct random tests for drugs and alcohol at rates specified by FTA. The rate for calendar year 2006 random drug testing is set at 50 percent of the number of safety sensitive employees annually. Likewise, the random testing rate for alcohol is 10 percent of the number of safety sensitive employees annually.

Reason for the Question

49 CFR 655.45

Sources of Information

Most grantees perform random selections four times a year. To determine the appropriate number of random tests for drugs at any given time, the reviewer should perform the following calculation:

T = 0.5 * (D / P)	(a)
Where:
T = the number of required random tests;
D = the number of safety sensitive employees to be tested; and
P = the number of random test periods per year.

For example, if a grantee selects for random tests four times per calendar year and the triennial review is conducted in July, the grantee should have made two selections (one for each quarter). If there were 60 safety sensitive employees at the time of the first selection and 80 safety sensitive employees at the time of the second selection, the number of random test to be conducted for drugs would be calculated as follows:

T = 0.5 * [(60+80)/4]	(b)
T = 17.5

In which case, the answer in (b) would be rounded up to the nearest whole number. As such, the grantee should have conducted 18 random tests for drugs.

To calculate the number of random alcohol tests, the reviewer would substitute 0.1 for 0.5 in the equation shown in (a). As such, the number of random tests for alcohol would be calculated as follows:

T = 0.1 * [(60+80)/4]	(c)
T = 3.5

In which case, the answer in (c) would be rounded up to the nearest whole number. As such, the grantee should have conducted 4 random tests.

Determination

If the grantee has conducted within 10 percent of the required number of random tests, the grantee is not deficient. If the number of random tests is below 90 percent of the required number, the grantee is deficient.

Suggested Corrective Action

The grantee needs to develop and implement a plan to bring the random testing rate to the required level within 90 days.

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7. Does the grantee make proper post-accident determinations?

Explanation

Following a fatal accident involving a transit vehicle, grantees and/or their contractors and subcontractors with safety sensitive employees are required to test all surviving covered employees on duty in the vehicle at the time of the accident as well as any other covered employee whose performance may have contributed to the accident. The determination of who should be tested must be made by the employer using the best available information at the time the decision is made.

Following a nonfatal accident all covered employees on duty in a transit vehicle at the time of the accident must be tested unless the employer determines that an employee’s performance did not contribute to the accident. The determination of who should be tested must be made by the employer using the best available information at the time the decision is made. The decision of who should and should not be tested following an accident must be documented in detail, including the decision-making process used to make the determination.

Note: Failure to conduct any required testing is addressed under Question 4 of this section.

Reason for the Question

49 CFR 655.44

Sources of Information

Copies of accident reports in which post-accident testing was performed as well as copies of accident reports in which post accident testing was not performed. Minutes from accident review committee meetings should also be reviewed if these are relevant to post accident determinations.

Determination

If the grantee’s, contractor’s and/or subcontractor’s post-accident determinations are properly documented, the grantee is not deficient. If a covered employee was not tested following a nonfatal accident and the grantee cannot properly document its determination, the grantee is deficient.

Suggested Corrective Action

Within 30 days, the grantee must develop and implement a process to make proper post accident determinations including procedures to document the decision-making process.

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8. Are drug and alcohol testing program records maintained in a secure location with controlled access?

Explanation

The grantee must maintain records on program administration and the test results of individuals for whom the grantee has testing responsibility (see question 9 for the list of required records). The records must be maintained by the grantee in a secure location with controlled access. If a consortium is used to administer the testing program, the consortium can maintain some or all of the records. It is necessary, under this circumstance, for the grantee to maintain a duplicate set of records. It is the responsibility of the grantee to exercise and document oversight/compliance activities to ensure that records are accurate and current and that they comply fully with FTA regulations.

As an example, the grantee should maintain program records in locked file cabinets and a locked file room, with a limited number of keys that cannot be duplicated without proper authorization. In addition, only the program manager and his/her designee(s) should have access to the keys.

Reason for the Question

49 CFR 655.71

Sources of Information

The drug and alcohol testing program records must be maintained in a secure location with controlled access. The records must be at the grantee’s office.

Determination

If the drug and alcohol testing program records are maintained in a secure location with controlled access, the grantee is not deficient. If the drug and alcohol testing program records are not maintained in a secure location with controlled access, the grantee is deficient.

Suggested Corrective Action

The grantee should move program records to a secure location with controlled access.

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9. Does the grantee’s records retention policies for the drug and alcohol testing program meet the following FTA requirements?

1. One year: records of negative drug or alcohol test results.
2. Two years: records related to the collection process and employee training.
3. Five years: records of covered employee verified positive drug or alcohol test results, documentation of refusals to take required drug or alcohol tests, covered employee referrals to the SAP, and copies of annual MIS reports.

Explanation

The grantee must maintain specific records concerning its testing program for specific periods of time. The FTA regulations allow a grantee to maintain additional records and do not require disposal of records after the minimum retention times have been met. If the grantee uses a consortium to administer the testing program, the consortium may maintain some or all of the grantee’s records. It is necessary, under this circumstance, for the grantee to maintain a duplicate set of records. It is the grantee’s responsibility to exercise and document oversight/ compliance activities to ensure that records are accurate and current and that they fully comply with FTA regulations.

Reason for the Question

49 CFR 655.71

Sources of Information

Drug and alcohol testing records must be available. Procedures regarding records retention time frames should be on file.

Determination

If the records retention requirements are met, the grantee is not deficient. Failure to maintain the records or failure to retain the records for the minimum length of time will result in the grantee being deficient.

Suggested Corrective Action

The grantee must implement and maintain a comprehensive records retention program.

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10. Has the grantee clearly defined to whom test results may be released?
    
    Does the grantee ensure that the testing laboratory only releases test results to the Medical Review Officer (MRO)?
    
    Does the grantee ensure that the MRO, the breath alcohol technician (BAT), and the non-evidential alcohol screening testing technician (STT) only release test results to the designated employer representative or their designee and to the employee who was tested?
    
    Does the grantee obtain an employee’s permission before releasing records (except to FTA/ U.S. DOT reviewers and auditors, the MRO, the SAP, or the program manager)?

Explanation

The FTA regulations go to great lengths to ensure employee privacy and confidentiality in the drug and alcohol testing process. Only certain people are allowed access to drug and alcohol testing records without the employee’s permission. The testing laboratory, the MRO, the BAT, the SAP, and the designated employer representative, or their designee are the only ones allowed access to the testing records without the tested employee’s written permission. Those individuals should have access only to those records pertinent to their positions, for example, the BAT should not have access to drug test results.

In certain circumstances, the following may have access to an employee’s test records without the employee’s consent: the Secretary of Transportation or a DOT agency with regulatory authority over the employer; a state agency authorized to oversee fixed guideway systems; the National Transportation Safety Board as part of an accident investigation; or the decision-maker in a lawsuit, grievance, or other proceeding initiated by or on behalf of the individual.

Reason for the Question

49 CFR 655.73 and 49 CFR Part 40, Subpart P

Sources of Information

The grantee’s drug and alcohol policy must clearly document to whom, and under what circumstances, drug and alcohol testing records will be released.

Determination

Discussions with the designated employer representative and a review of the drug and alcohol policy will indicate if the correct procedures are in place with respect to confidentiality issues. If all procedures are defined clearly and are being followed, the grantee is not deficient. If the procedures are not defined clearly or are incorrect, the grantee is deficient.

Suggested Corrective Action

The grantee must revise its program to bring it into compliance. When the program is changed, it should be re-communicated to all affected employees.

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11. Are employees who have a verified positive drug test result or a breath alcohol concentration of 0.04 or greater referred to a SAP for evaluation even if they are to be terminated?

Explanation

Employees who have a verified positive drug test result, a breath alcohol concentration of 0.04 or who refuse to be tested must be referred to and evaluated by a SAP even if they are to be terminated. The SAP evaluates the employee to determine if the employee is in need of assistance in resolving problems associated with prohibited drug or alcohol use. The SAP will recommend a course of action to the employee. Grantees are not required to provide rehabilitation or to offer to return the employee to duty after rehabilitation. Grantees are not required to refer to the SAP those applicants for safety-sensitive positions who fail to pass a pre-employment drug test.

Reason for the Question

49 CFR 655.12 (d)

Sources of Information

The grantee’s drug and alcohol testing program should specify what procedures the grantee will take when employees have a verified positive drug test result, a breath alcohol concentration of 0.04, or who refuse to be tested.

Determination

If employees who have a verified positive drug test result or a breath alcohol concentration of 0.04 or greater, or who refuse to be tested, are referred to a SAP, the grantee is not deficient. If the employees are not referred to a SAP, the grantee is deficient.

Suggested Corrective Action

The grantee must revise its drug and alcohol testing program to reflect proper referral and evaluation by a SAP and re-communicate the program to all covered employees.

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12. Does the grantee prepare and maintain an annual management information system (MIS) report of drug and alcohol test results?

Explanation

All grantees must prepare, maintain and submit annual reports to the FTA summarizing their drug and alcohol testing program results from the previous calendar year. The standard MIS report forms that must be used are on the web at: http://transit-safety.volpe.dot.gov/Safety/DAMIS.asp. The MIS forms must be used “as-is”; they may not be combined or modified by a grantee and must be filled out completely. Grantees are responsible for ensuring the annual MIS reports of their contractors with covered employees are prepared, maintained, and submitted to FTA.

The annual reports covering the prior calendar year must be submitted by March 15th to the FTA Office of Safety and Security or its designated agent. The MIS reports can also be submitted on-line at: http://damis.dot.gov/. While paper reports are still accepted, FTA strongly encourages grantees to submit via the Internet.

Reason for the Question

49 CFR 655.72

Sources of Information

Copies of the MIS reports must be retained for five years. The grantee should provide documentation that the MIS reports were submitted as required.

Determination

If the MIS reports are properly submitted, the grantee is not deficient. If a grantee uses contractors, an MIS report must be filed for each of those contractors. If the MIS reports for a grantee and/or contractors are not being submitted, the grantee is deficient.

Suggested Corrective Action

The grantee must prepare and submit all delinquent MIS forms.

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13. Have safety-sensitive employees received 60 minutes of training on the effects and consequences of prohibited drug use on the personal health, safety, and the work environment, and on the signs and symptoms that may indicate prohibited drug use?

Explanation

A grantee is required to provide a one-time, 60-minute, training session to all safety-sensitive employees on the effects and consequences of prohibited drug use. This includes newly hired safety-sensitive employees and employees transferring to safety-sensitive positions. Training safety-sensitive employees on the effects and consequences of prohibited alcohol use is not a requirement of the FTA regulations.

Reason for the Question

49 CFR 655.14

Sources of Information

A grantee is required to maintain records for two years for all safety-sensitive employees indicating that they have been properly trained.

Determination

If safety-sensitive employees have received 60 minutes of training, including the elements described above, the grantee is not deficient. If any safety-sensitive employee has not received 60 minutes of training or the training did not involve the required information, the grantee is deficient.

Suggested Corrective Action

The grantee must provide training to all safety-sensitive employees who have not been properly trained.

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14. Have supervisors who are designated to determine whether reasonable suspicion exists to require a safety-sensitive employee to undergo alcohol and/or drug testing been provided the following training: at least 60 minutes of training on the physical, behavioral, speech, and performance indicators of probable alcohol misuse? At least 60 minutes of training on the physical, behavioral, and performance indicators of probable drug use?

Explanation

Supervisors who make reasonable suspicion determinations for drug or alcohol testing of their safety-sensitive employees must receive a one-time 60-minute training session for drugs and a one-time 60-minute training session for alcohol. The training sessions may be combined for a total of at least 120 minutes and the training may be reoccurring, although it is not required.

Reason for the Question

49 CFR 655.14

Sources of Information

Grantees are required to maintain training records for two years of supervisors who are designated to make reasonable suspicion determinations.

Determination

If all supervisors who make reasonable suspicion determinations have received the required amount of training, the grantee is not deficient. If any supervisor is making reasonable suspicion determinations and has not received the required 120 minutes of training or the training did not involve the required information, the grantee is deficient.

Suggested Corrective Action

The grantee must provide training to all affected supervisors who have not been trained.

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15. What efforts does the grantee make to monitor the FTA Drug and Alcohol testing program requirements of its contractors, subrecipients, or lessees with safety-sensitive employees?

Explanation

If the grantee contracts with another agency or firm (contractors, subrecipients, or lessees) to provide safety-sensitive functions, it must monitor each contractor’s drug and alcohol program proactively over the course of the contract. At a minimum, it is suggested that each contractor provide the grantee a copy of its policy; employee and supervisor training documentation; name and location of the collection site, laboratory, MRO, BAT, STT and SAP; a description of its random selection process; quarterly management reports summarizing test results; and annual MIS reports.

Many grantees contract with service providers that already are required to comply with Federal Motor Carrier Safety Administration (FMCSA) drug and alcohol testing regulations. If this situation exists, special procedures apply and the reviewer should consult FTA Drug and Alcohol Regulation Updates, Spring 1996, Issue 2, for more information.

Reason for the Question

49 CFR 655.81

Sources of Information

At the site visit, the grantee should provide copies of documentation demonstrating that contractors, subrecipients, and lessees are properly monitored. Such documentation may include monitoring reports, site visit reports, memoranda summarizing site visits, and self-certification documentation submitted by the contractors, subrecipients, or lessees.

Determination

If the grantee has shown that it is monitoring its contractor(s) proactively, the grantee is not deficient. If the grantee has not made efforts to monitor its contractor(s), it is deficient.

Suggested Corrective Action

The grantee needs to begin monitoring contractors, subrecipients, or lessees with safety-sensitive employees within 30 days.

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16. If the grantee contracts out any or all aspects of its Drug and Alcohol Program, what steps is the grantee taking to monitor vendor (e.g., collection sites, MROs) compliance with program requirements?

Explanation

If the grantee contracts out any aspects of its Drug and Alcohol Program implementation to a vendor(s), the grantee remains responsible for the integrity of the drug and alcohol testing program and the quality of testing services provided by vendors. Consequently, grantees should monitor the quality of its testing service vendors, including collection sites, MROs, and SAPs. The grantee should not assume that its vendors are following the correct procedures or that they are knowledgeable about the FTA regulations.

Reason for the Question

49 CFR 40.15

Sources of Information

The grantee should have a written contract with each vendor. The grantee should provide copies of contracts and monitoring reports to show that it is monitoring vendor compliance by taking such actions as making periodic mock collections, investigating reports by employees of flawed procedures, requiring detailed explanations for cancelled tests, and documenting error correction training, when required.

Determination

If the grantee has written contracts with vendors and can show that it is monitoring vendor operations, the grantee is not deficient. If the grantee does not have written contracts and/or it cannot show that it is monitoring vendor operations, the grantee is deficient.

Suggested Corrective Action

The grantee needs to execute contract(s) with vendor(s) and/or begin monitoring the vendor(s) within 30 days.

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