Drug and Alcohol 2000 Annual Report

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PREFACE

This annual report represents the cooperative efforts of many people. Extensive appreciation is extended to the U.S. Department of Transportation’s Federal Transit Administration, the Volpe National Transportation Systems Center, and the following individuals who were instrumental in guiding this project and contributing to its success:

Mark A. Snider
Drug and Alcohol Program Manager
Federal Transit Administration

James A. Harrison
Transportation Industry Analyst
Volpe National Transportation Systems Center

Michael R. Redington
Transportation Industry Analyst
Volpe National Transportation Systems Center

TABLE OF CONTENTS

Section Page

1. INTRODUCTION
1.1 Who Must Report
1.2 Employees Who Must be Tested
1.3 Types of Tests
1.4 Drug Testing Program Overview
1.5 Alcohol Testing Program Overview
1.6 Drug and Alcohol MIS Data Quality and Validation
1.7 Availability of Drug and Alcohol MIS Documentation
1.8 Organization of this Report

2. GENERAL INFORMATION ON DRUG AND ALCOHOL FORMS

2.1 Distribution of Transit Systems and Contractors
2.2 Drug and Alcohol Forms Received by Region
2.3 FTA-Covered Employees
2.4 Federal Funds

3. DRUG TEST RESULTS

3.1 Positive Drug Rates for 2000
3.2 Drug Test Results by FTA Region
3.3 Results of Drug Tests Presented by Test Types
3.4 Post-Accident Testing
3.5 Distribution of Positive Drug Test Results by Type of Drug
3.6 Drug Test Refusals
3.7 Return-to-Duty Positive Rate
3.8 Results of Drug Tests Presented by Employee Category

4. ALCOHOL TEST RESULTS

4.1 Alcohol Tests by FTA Region
4.2 Results of Alcohol Testing by Test Type and Employee Category
4.3 Alcohol Testing Refusals
4.4 Employees Returned to Duty
4.5 Accidents
4.6 Post-Accident Positives
4.7 Violation Rate
4.8 Other Violations

5. TREND ANALYSIS

5.1 Drug and Alcohol Reports Received
5.2 Positive Drug and Alcohol Test Results
5.3 Violation Rates and Test Refusals
5.4 Drug and Alcohol Test Positives by Employment Category and Test Type
5.5 Drug and Alcohol Test Positives – Regional Comparisons

APPENDICES

A-Glossary A-1
B-FTA Regions B-1

LIST OF FIGURES

Figure Page
1-1. FTA Federal Funding Sources 1-1
2-1. Number of Drug and Alcohol Forms Received 2-2
2-2. Drug and Alcohol Forms Received by Employer Size 2-2

2-3. Number of FTA Drug and Alcohol Forms Received by Region
2-3
2-4. Number of FTA-Covered Employees by Employee Category 2-4
2-5. Percent of FTA-Covered Employees in Each Employee Category-Transit System 2-4
2-6. Percent of FTA-Covered Employees in Each Employee Category-Contractors 2-5

2-7. Number of FTA-Covered Employees by Employee Category-Large, Small, and Rural Systems
2-5
2-8. Percent of All FTA-Covered Employees for Large Operators 2-6
2-9. Percent of All FTA-Covered Employees for Small Operators 2-6
2-10. Percent of All FTA-Covered Employees Reporting for Rural Operators 2-7
2-11. Number of FTA-Covered Employees by Employer Size 2-7
2-12. Number of FTA-Covered Employees by Region 2-8
2-13. FTA-Covered Employees by Region/Size 2-8
2-14. Percentage of FTA Funding Recipients Who Receive Specific Funding 2-9
2-15. Number of Transit Systems that Received Federal Funds by Source of Funding and by FTA Region 2-9
3-1. Random Drug Test Results by FTA Region 3-3
3-2. Percent of Positives by FTA Region 3-4
3-3. Percentage of Drug Types Detected for All Positive Specimens 3-12
3-4. Number of Positive Specimens by Type of Drug for Each Employer Type 3-12
3-5. Percent of Positive Specimens by Type of Drug for Each Employer Type 3-13
3-6. Percent of Positive Specimens by Type of Drug and Operator Size 3-13
3-7. Number and Type of Drug by FTA Region 3-14
3-8. Percent of Positive Specimens by FTA Region and Type of Drug 3-14
3-9. Number of Positive Specimens by Employee Category and Type of Drug 3-15
3-10. Percent of Positive Specimens by Type of Drug and Employee Category 3-15
3-11. Drug Test Refusals 3-17
4-1. Consequences of an Alcohol Test for FTA-Covered Employees 4-2
4-2. Positive Alcohol Rates by Region 4-4
4-3. Positive Random Alcohol Rates by Region 4-4
4-4. Alcohol Test Refusals 4-14
4-5. Alcohol Violation Rate by Region 4-17
5-1. Drug and Alcohol Reports Received 5-2
5-2. Comparison of Verified Positive Random Drug Test Results 5-3
5-3. Comparison of Random Alcohol Test Results > 0.04 5-4
5-4. Percent of Verified Drug Test Positives 5-4
5-5. Percentage of All Alcohol Screening Test Results > 0.04 5-5
5-6. Violation Rate (Alcohol) 5-6
5-7. Alcohol Test Refusals 5-6
5-8. Drug Test Refusals 5-7
5-9. Drug Test Results by Test Type, 1996 to 2000 5-8
5-10. Alcohol Test Results > 0.04 by Test Type, 1996 to 2000 5-10
5-11. Comparison of Verified Test Positives by Drug Type, 1996 to 2000 5-10

5-12. Random Alcohol Test Results > 0.04 by Region
5-10
5-13. Verified Positive Random Drug Tests by Region 5-11
5-14. Percent of Verified Positive Random Drug Tests by Drug Type 5-11

LIST OF TABLES

Table Page
ES-1. 1996 to 2000 Positive Random Drug Test Results ES-4
ES-2. 1996 to 2000 Random Alcohol Test Results > 0.04 ES-5
ES-3. 1996 to 2000 Percent of Positive Drug Test Results ES-5
ES-4. 1996 to 2000 Percent of Alcohol Test Results > 0.04 ES-5
ES-5. 1996 to 2000 Percent of Positive Drug Test Results/Employee Category ES-6
ES-6. 1996 to 2000 Alcohol Test Results > 0.04/Employee Category ES-6
3-1. 2000 Positive Rate 3-2
3-2. 2000 Random Drug Test Results 3-2
3-3. Random Drug Test Results by Operator Size 3-3
3-4. Drug Test Results by Test Type and Employee Category 3-5
3-5. Drug Test Results by Test Type and Employee Category by Size 3-7
3-6. Accidents Which Resulted in a Post-Accident Positive 3-9
3-7. Accidents Which Resulted in a Post-Accident Positive by Operator Size 3-10
3-8. Accidents Which Resulted in a Post-Accident Positive by Region 3-10
3-9. Post-Accident Drug Test Positives by Employee Category 3-10

3-10. Multiple Drug Combinations
3-16
3-11. Number of Covered Employees Who Returned-to-Duty 3-17
3-12. Drug Test Results by Employee Category and Test Type by Transit System and Contractor 3-18
3-13. Drug Test Results by Employee Category and Test Type by Size 3-20
4-1. Percent of Alcohol Forms Received for 2000 with at Least One Positive Test Result 4-3
4-2. Random Alcohol Test Results at Both Levels for Transit Systems and Contractors 4-3
4-3. Random Alcohol Test Results at Both Levels by Size 4-3
4-4. Random Alcohol Test Results at Both Levels by Region 4-5
4-5. Alcohol Test Results by Test Type and Employee Category by Transit System and Contractor 4-6
4-6. Alcohol Test Results by Test Type and Employee Category by Size 4-8
4-7. Alcohol Test Results by Employee Category and Test Type by Transit System and Contractor 4-10
4-8. Alcohol Test Results by Employee Category and Test Type by Size 4-12
4-9. Number of Covered Employees Who Returned-to-Duty 4-14
4-10. Accidents with Alcohol Positives 4-15
4-11. Accidents with Alcohol Positives by Size 4-15
4-12. Post-Accident Alcohol Positives 4-16
4-13. Violation Rate by Transit System/Contractor 4-17
4-14. Violation Rate by Employer Size 4-17
4-15. Violation Rate by FTA Region 4-18
4-16. Other Alcohol Violations 4-18
5-1. Percent of Drug Reports with a Verified Positive and Alcohol Reports with a Test Result > 0.04 5-2
5-2. Drug Positive Rate for 1996 to 2000 5-3
EXECUTIVE SUMMARY

INTRODUCTION

This annual report presents the results of mandatory drug and alcohol testing conducted by transit systems and their contractors who receive funds from the Federal Transit Administration (FTA). Under the Omnibus Transportation Employee Testing Act passed by Congress in 1991, the FTA was required to establish regulations for drug and alcohol testing of transit employees performing safety-sensitive functions. These regulations require that each recipient of FTA funds: (1) implement an anti-drug program to deter and detect the use of prohibited drugs, (2) establish a program to prevent the misuse of alcohol, and (3) report the results of its programs to FTA annually. The 2000 Annual Report is the sixth annual report summarizing the reported results of drug and alcohol tests from all such transit systems.

Compliance with FTA’s drug and alcohol testing program is a condition of federal assistance. Failure of a recipient to establish and implement a drug and alcohol testing program - either in its own operations or in those of an entity operating on its behalf - may result in the suspension of federal transit funding to the recipient. Because a recipient may not always directly provide mass transit services, the FTA uses the term “operator” or “employer” to describe those who actually provide transit services. The direct recipient of FTA funds, however, is the entity legally responsible to the FTA for compliance.

DISTRIBUTION OF TRANSIT SYSTEMS AND CONTRACTORS

The FTA received drug and alcohol MIS reporting forms for calendar year 2000 from 2,657 individual employers representing 1,700 transit systems and 957contractors. Of the individual employers, 869 were large operators, 372 were small operators, and 1,416 were rural operators. A total of 1,657 of all employers reported being a member of a consortium. Approximately 74 percent of all employers reported no positive drug test results, and 97 percent of employers reported no alcohol test results ³ 0.04 percent. The number of contractors who had at least one positive drug test result was 33.8 percent, compared to 21.6 percent of transit systems. The number of contractors who submitted forms with at least one alcohol test result > 0.04 percent was 3.2 percent, compared to 21.6 percent of transit systems.

Employers reported a total of 249,733 employees performing safety-sensitive functions: 78.5 percent of these employees are employed at transit systems and 21.5 percent are employed by contractors. The average transit system employs more than twice as many safety-sensitive employees than the average contractor, 115 to 56. Large operators employ an average of 226 safety-sensitive employees compared to 52 for small operators and 26.4 for rural. The largest number of employees performing safety-sensitive functions are engaged in revenue vehicle operation (70 percent) followed by revenue vehicle and equipment maintenance (18.9 percent). Revenue vehicle control/dispatch, CDL/non-revenue vehicle employees, and armed security personnel combined make-up less 11.0 percent of the overall labor force (7.6 percent, 1.9 percent, and 1.5 percent respectively).

The largest number of contract employees were involved in revenue vehicle operation at 77.2 percent, followed by revenue vehicle and equipment maintenance at 12.9 percent. For rural operators, contractors comprise a relatively small percent of the total number of FTA-covered employees at 19.9 percent; for large operators, contractors comprise a slightly higher total at 20.8 percent. Contractors comprise 31.9 percent of the total number of FTA-covered employees for small contractors.

ELECTRONIC REPORTING

Electronically reporting Drug and Alcohol MIS results became an option for FTA-covered employers in 1998. Electronic software was developed with help and validation capabilities in an effort to lessen the reporting burden. In 2000, 707 employers (27 percent) reported electronically in 2000, versus 568 (22 percent) in 1999.

DRUG TEST RESULTS

The 2000 drug-testing program performed by large, small, and rural FTA-covered employers revealed the following major findings:

ALCOHOL TEST RESULTS

Employers are required to establish and conduct an alcohol misuse prevention program in which employees performing safety-sensitive functions are tested for the misuse of alcohol and supervisors are trained to recognize the signs and symptoms of alcohol misuse. Employees are subject to five types of alcohol tests: random, reasonable suspicion, post-accident, return-to-duty, and follow-up. In addition, employers may not allow safety sensitive employees to consume alcohol under four specific circumstances: (1) 4 hours before performing a safety sensitive function; (2) while performing a safety sensitive function; (3) after a fatal accident, unless the employee has received a post-accident test or 8 hours have elapsed, whichever occurs first; or (4) after a non-fatal accident unless the employee's involvement was completely discounted as a contributing factor to the accident, the employee has been tested, or 8 hours have elapsed.

An employee with an alcohol concentration of 0.02 or greater, but less than 0.04, must be removed from duty for 8 hours or until a retest shows an alcohol concentration of less than 0.02. An employee with an alcohol concentration 0.04 must be prohibited from performing any safety-sensitive duties, removed from his/her safety sensitive position, and be evaluated by a substance abuse professional. If the employer has a second-chance policy, the employee must properly complete a course of treatment prescribed by the substance abuse professional, and pass a return-to-duty alcohol test prior to returning to a safety-sensitive position.

The 2000 alcohol-testing program performed by large, small, and rural transit employers revealed the following:

TRENDS: 1996 THROUGH 2000

The number of FTA drug and alcohol reporting forms received between 1996 and 2000 increased by 16.18 percent. The greatest gain has been in the number of contractor reports received: reports received from contractors have jumped by 35.40 percent while transit systems have increased by 7.06 percent.

From 1996 to 2000, the number of reported safety-sensitive employees has increased by 12.46 percent for transit systems, and 36.43 percent for contractors. The percent of contracted FTA-covered employees out of the total pool (i.e., including transit systems), increased from 18.44 percent in 1996 to 25.16 percent in 2000.

Overall, the percent of positive random drug test results and the percent of random alcohol test results 0.04 decreased each year for the 5-year period (see “Totals” column in Tables ES-1 and ES-2).

Table ES-1. 1996 to 2000 Positive Random Drug Test Results

Employer 1996 1997 1998 1999 2000
Transit Systems 1.42% 1.06% 0.93% 0.83% 0.77%
Contractors 1.84% 1.92% 1.69% 1.72% 1.64%
Totals 1.50% 1.21% 1.07% 1.00% 0.95

Table ES-2. 1996 to 2000 Random Alcohol Test Results 0.04

Employer 1996 1997 1998 1999 2000
Transit Systems 0.17% 0.15% 0.13% 0.10% 0.10%
Contractors 0.11% 0.09% 0.14% 0.05% 0.12%
Totals 0.14% 0.13% 0.09% 0.10% 0.10%

As with random testing, the percent of positive drug test results decreased overall each year for the 5-year period from 1996 to 2000. Transit systems showed a significant decrease in total positive drug tests, whereas the percent of total positive drug tests for contractors showed no trend. See Table ES-3 below for the percentages. See Table ES-4 for the percent of total alcohol test results 0.04 for both transit systems and contractors.

Table ES-3. 1996 to 2000 Percent of Positive Drug Test Results

Employer 1996 1997 1998 1999 2000
Transit Systems 1.75% 1.41% 1.28% 1.20% 1.12%
Contractors 2.75% 3.01% 2.87% 2.66% 2.78%
Totals 2.00% 1.77% 1.67% 1.59% 1.58%

Table ES-4. 1996 to 2000 Percent of Alcohol Test Results 0.04

Employer 1996 1997 1998 1999 2000
Transit Systems 0.26% 0.23% 0.24% 0.18% 0.18%
Contractors 0.27% 0.28% 0.56% 0.33% 0.28%
Totals 0.26% 0.24% 0.29% 0.21% 0.20%

See Table ES-5 and ES-6 for positive drug and alcohol tests > 0.04 for all 5 employee category types over the last 5 years.

Table ES-5. 1996 to 2000 Percent of Positive Drug Test Results/
Employee Category

Employer 1996 1997 1998 1999 2000
Revenue Vehicle Operation 2.06% 1.87% 1.79% 1.70% 1.72%
Revenue Veh. And Equip. Maint. 1.95% 1.69% 1.45% 1.46% 1.32%
Revenue Veh. Control/Disp. 1.20% 0.91% 0.85% 0.97% 0.80%
CDL/Non-Revenue Vehicle 2.55% 2.05% 2.06% 1.02% 1.13%
Armed Security Personnel 0.73% 0.28% 0.60% 0.53% 0.41%
Totals 2.00% 1.77% 1.67% 1.59% 1.58%

Table ES-6. 1996 to 2000 Alcohol Test Results 0.04/
Employee Category

Employer 1996 1997 1998 1999 2000
Revenue Vehicle Operation 0.23% 0.20% 0.26% 0.17% 0.21%
Revenue Veh. And Equip. Maint. 0.33% 0.34% 0.39% 0.33% 0.19%
Revenue Veh. Control/Disp. 0.20% 0.30% 0.47% 0.30% 0.26%
CDL/Non-Revenue Vehicle 0.61% 0.48% 0.42% 0.26% 0.26%
Armed Security Personnel 0.06% 0.06% 0.00% 0.00% 0.00%
Totals 0.26% 0.24% 0.29% 0.21% 0.20%

 

 

 

1. INTRODUCTION

This annual report presents the results of mandatory drug and alcohol testing conducted by transit systems that receive funds from the Federal Transit Administration (FTA). Under the Omnibus Transportation Employee Testing Act passed by Congress in 1991, the FTA was required to establish regulations for drug and alcohol testing of transit employees who perform safety-sensitive functions. The purpose of requiring transit agencies to implement drug and alcohol programs is to achieve a drug- and alcohol-free work force in the interest of the health and safety of transit employees and the traveling public. This report covers the testing results from the calendar year 2000, as well as trend analysis dating back to the program’s inception.

The FTA regulations require that recipients of specific FTA funds implement an anti-drug program to deter and detect the use of prohibited drugs by transit employees, and to establish a program to prevent prohibited alcohol use. Covered under these regulations are employees of transit systems who receive grant funds, and employees of contractors to those transit systems. Large operators (i.e., those providing transit services in urbanized areas of 200,000 or more in population) were required to begin their drug and alcohol testing programs for calendar year 1995. Small operators (i.e., those providing transit services in areas of less than 200,000) were required to begin their drug and alcohol testing programs for calendar year 1996.

1.1 Who Must Report

Transit systems that receive funding from the FTA sources listed in Figure 1-1 are required to have drug and alcohol testing programs. Under FTA regulations, all recipients must implement the required drug and alcohol testing programs and must report the results of their programs to the FTA annually. The results must be submitted to the FTA on specific Management Information System (MIS) forms or data diskettes. For the 2000 reporting year, a sample of transit agencies reported over the Internet, testing this next reporting option, which will be available for 2001 reporting. Recipients of 5310 funds only are not required to comply with FTA drug and alcohol testing requirements, unless they provide contract services to recipients receiving Section 5307, 5309, and 5311 funds. In those instances, they must report as contractors.

Section 5307 (Section 9). Formula Program

Section 5309 (Section 3). Capital Program

Section 5310 (Section 16). Elderly and Disabled Program

Section 5311 (Section 18). Non-urbanized Area Program

Figure 1-1. FTA Federal Funding Sources

Section 5307 refers to block grants for capital projects and to finance the planning, improvement, and operating costs of equipment, facilities, and associated capital maintenance items for use in mass transportation. Section 5309 refers to discretionary grants and loans for capital projects, new and existing fixed guideway systems, an efficient mass transportation system coordinated with other transportation systems, the introduction of new technologies, the enhancement of urban economic development or the incorporation of private investment, and mass transportation projects to meet the needs of the elderly and individuals with disabilities. Section 5310 refers to grants and loans for the special needs of the elderly and individuals with disabilities. Section 5311 refers to financial assistance for non-urbanized areas.

Some recipients provide mass transit services directly. Others rely on additional public or private entities to provide services in whole or in part. In these cases, the direct recipient of FTA funds is legally responsible for assuring that any entity operating on its behalf is in compliance with FTA testing rules.

Transit systems that receive funding directly from the FTA must certify annually that they are in compliance with the drug and alcohol testing regulations. States must certify regulatory compliance on behalf of the transit systems that receive FTA funding through a state agency.

Failure of a recipient to establish and implement a drug and alcohol testing program, either in its own operations or in those of an entity operating on its behalf, may result in the suspension of federal transit funding to the recipient. Because a recipient may not always provide transit services directly, the FTA uses the term “operator” or “employer” to describe those who actually provide transit services and who therefore, must implement the FTA requirements.

1.2 Employees Who Must be Tested

Under the FTA’s drug and alcohol testing regulations, employees and supervisors who perform any of the following functions are considered safety-sensitive employees:

1. Operate a revenue service vehicle, including when not in revenue service (includes employees who operate a passenger vehicle, whether or not a fare is collected);

2. Maintain revenue service vehicles or equipment used in revenue service (except 5311 recipients’ contractors);

3. Dispatch or control revenue service vehicles;

4. Operate a non-revenue service vehicle (e.g., ancillary vehicle), which requires a Commercial Drivers License (CDL), and is not already covered by another employee category; and/or

5. Provide security and carry a firearm.

Maintenance contractors (except for 5311 recipients’ contractors) who perform routine, ongoing repair or maintenance work for FTA recipients and subrecipients must comply with the regulations if their employees perform any of the identified safety-sensitive functions. In addition, supervisors who perform, or could be called upon to perform, any of the safety-sensitive functions are also included.

1.3 Types of Tests

Employees who perform safety-sensitive functions are subject to six different types of tests:

1) Pre-employment testing for drugs is performed on each prospective employee, including individuals who are being transferred into safety-sensitive positions, or who are returning following an absence that resulted in being removed from the random pool. Employees may not be hired unless they have a verified negative drug test result. (This is no longer applicable for alcohol — the FTA suspended required pre-employment testing for alcohol on May 10, 1995, as a result of a U.S. Court of Appeals decision.)

2) Random testing must be unannounced and unpredictable. The tests must be based on a scientifically valid random-number selection method. All safety-sensitive employees must have an equal chance of being selected for testing each time a selection is made. They must also be included in the selection pool, and must remain in the pool after being tested. For 2000, the number of random tests conducted must equal at least 50 percent (for drugs) and 10 percent (for alcohol) of the average number of safety-sensitive employees in the random pool at the time of the random draws. Transit systems have the option of joining a consortium; an entity that arranges testing services and that acts on behalf of the employers. If a transit system joins a consortium for random testing, the testing rate applies to the total number of safety-sensitive employees within the random testing pool of the consortium. As a result, some individual transit operators may not appear to meet the random testing requirement.

3) Post-accident testing is required for accidents where there is loss of human life. For non-fatal accidents that meet FTA-defined conditions, testing is required unless the covered employee’s performance can be completely discounted as a causative or contributing factor. When an accident occurs, safety-sensitive employees operating the vehicle must be tested, as well as any other safety-sensitive personnel not in the vehicle whose performance could have contributed to the accident. Tests must be administered as soon as possible, but no later than 8 hours after the accident for alcohol, and 32 hours post-accident for drugs.

4) Reasonable suspicion testing is conducted when an employer suspects that an employee has used a prohibited drug or has misused alcohol as defined in the regulations. Reasonable suspicion determinations are made by trained supervisors and must be based on specific, contemporaneous, articulated observations concerning the appearance, behavior, speech, or body odor of the safety-sensitive employee.

5) Return-to-duty testing occurs when an employer’s policy statement permits an employee who violated the regulations (i.e., tested positive for drugs, had an alcohol result of ³ 0.04, refused to submit to a test) to return to duty to perform a safety-sensitive function after completion of rehabilitation. The employee must, however, be evaluated by a Substance Abuse Professional (SAP) and pass a return-to-duty test prior to performing a safety-sensitive function.

6) Follow-up testing occurs after an employee has returned to duty following a positive drug or alcohol test. The employee is subject to unannounced follow-up testing for at least 12, but no more than 60 months as recommended by the SAP. Follow-up testing is separate from, and in addition to, random testing.

1.4 Drug Testing Program Overview

Transit systems must establish an anti-drug program that focuses on testing safety-sensitive employees and training for supervisors. FTA regulations specify that safety-sensitive employees may not use any of the 5 following prohibited substances (or their metabolites): marijuana; cocaine; opiates (e.g., heroin, morphine, codeine); amphetamines (e.g., racemic, amphetamine, extroamphetamine, and methamphetamine); or phencyclidine (PCP). Testing for any other drugs must be performed separately from the FTA test.

If an FTA-covered employee has a verified positive drug test result, the employee must be removed from their safety-sensitive position, be informed of the available educational and treatment programs, and be referred to a SAP. To return to a safety-sensitive position, the employee must complete a course of treatment prescribed by the SAP and take a return-to-duty drug test with a verified negative result.

1.5 Alcohol Testing Program Overview

Transit systems are required to establish and conduct an alcohol misuse prevention program in which employees performing safety-sensitive functions are tested for alcohol misuse. In addition, supervisors must receive specific training to recognize the signs and symptoms of possible alcohol misuse. There are four specific circumstances under which an employee is prohibited from consuming alcohol:

1. Four hours before performing a safety-sensitive function;

2. While performing a safety-sensitive function;

3. After a fatal accident, unless a post-accident test has been administered, or 8 hours have elapsed (whichever occurs first); and/or

4. After a non-fatal accident, unless the employee’s involvement can be completely discounted as a contributing factor to the accident, the employee has been tested, or 8 hours has elapsed.

An employee with an alcohol concentration of 0.02 or greater but less than 0.04 for a confirmation test must be removed from duty for at least 8 hours or until a re-test conducted by the employer shows an alcohol concentration of less than 0.02. If an employer elects to remove the employee from duty for 8 hours, the employer is not required to administer an alcohol test before the employee resumes performing a safety-sensitive function, unless the employee exhibits signs of alcohol misuse upon returning to work.

A safety-sensitive employee with an alcohol concentration of ³ 0.04 must be prohibited from performing any safety-sensitive functions, removed from his or her safety-sensitive position, and be referred to a SAP.

1.6 Drug and Alcohol MIS Data Quality and Validation

The Drug and Alcohol MIS data submitted to the FTA by transit operators and their contractors are subjected to extensive analysis and validation, both manual and automated. The process entails detailed examination of each MIS report, identification of errors or questionable entries, and the resolution of these problems in conjunction with the reporting agencies.

Despite extensive efforts, it should be noted that data validation primarily encompasses a review of the consistency and reasonableness of the reported data. Errors of significant magnitude have been detected and corrected, but some statistically minor errors may remain.

1.7 Availability of Drug and Alcohol MIS Documentation

Copies of reporting guidance and MIS reporting forms and diskettes are available from the Drug and Alcohol MIS Project Office at (617) 494-6336. The FTA Safety and Security Clearinghouse can be reached at (617) 494-2108 for additional copies of this report, as well as previously published annual reports. Other technical assistance materials including the Implementation Guidelines for Drug and Alcohol Regulations in Mass Transit, may be acquired from the FTA’s Office of Safety & Security at (202) 366-2896. Further information can also be found on the Office of Safety and Security’s Web site at the following address: http://transit-safety.volpe.dot.gov/damis .

1.8 Organization of this Report

This report contains five chapters and two appendices. Chapter 2 provides general information on the reporting process, including how many employers reported testing results to the FTA. Chapters 3 and 4 present drug and alcohol testing results, respectively. Chapter 5 presents a trend analysis of testing results from 1996 through 2000. A glossary of terms used throughout this report comprises Appendix A, and Appendix B provides a list of FTA regions.

Last year, an additional size category (rural) was introduced and another size category (small) was, therefore, redefined. “Large” systems are located in urbanized areas of 200,000 or more in population. “Small” systems are located in urbanized areas of less than 200,000, but greater than or equal to 50,000. “Rural” systems are located in areas of less than 50,000 in population.


2. GENERAL INFORMATION ON DRUG AND ALCOHOL FORMS

This chapter graphically presents the data submitted on the 2000 FTA Drug and Alcohol MIS forms. Among the data presented are the number of paper MIS Data Collection forms versus data diskettes* received, and the number of forms received by employer size and region. Also shown are the number of FTA-covered employees by employee category, break outs for transit systems and contractors, and the percent of FTA-covered employees by employer size.

*Beginning in 1998, reporters had the option to report on either paper forms or by using the electronic reporting system and submitting results on a data disk.

2.1 Distribution of Transit Systems and Contractors

 

Figure 2-1. Number of Drug and Alcohol Forms Received

Figure 2-2. Drug and Alcohol Forms Received by Employer Size


2.2Drug and Alcohol Forms Received by Region

Figure 2-3. Number of FTA Drug and Alcohol Forms Received by Region

2.3 FTA-Covered Employees

Following are a variety of break outs for FTA-covered employees: by employee category, by transit system versus contractor, percent of employees for large, small, and rural employers, and finally by region.

Figure 2-4. Number of FTA-Covered Employees by Employee Category

 

Figure 2-5. Percent of FTA-Covered Employees in Each Employee Category-Transit System

Figure 2-6. Percent of FTA-Covered Employees in Each Employee Category-Contractors

 

Figure 2-7. Number of FTA-Covered Employees by Employee Category–Large, Small, and Rural Systems

 

Figure 2-8. Percent of All FTA-Covered Employees for Large Operators

Figure 2-9. Percent of All FTA-Covered Employees for Small Operators

Figure 2-10. Percent of All FTA-Covered Employees Reporting for Rural Operators

 

Figure 2-11. Number of FTA-Covered Employees by Employer Size


Figure 2-12. Number of FTA-Covered Employees by Region

 

Figure 2-13. FTA-Covered Employees by Region/Size


2.4 Federal Funds

As mentioned in Chapter 1, transit systems are required to report the sources of FTA funds they receive (that is, Sections 5309, 5307, 5310, and 5311). Some of the transit systems receive funding under multiple sections.

The following charts depict the percentage of FTA funding recipients who receive specific funding, and transit systems receiving FTA funds by funding source, as well as by FTA region.

 

Figure 2-14. Percentage of FTA Funding Recipients Who Receive Specific Funding

 

Figure 2-15. Number of Transit Systems that Received Federal Funds by Source of Funding and by FTA Region

3. DRUG TEST RESULTS

Chapter 3 provides background information for drug testing results and summarizes drug test results for FTA-funded transit systems and contractors throughout the Administration’s regions for 2000. The chapter explains and quantifies the results of testing safety-sensitive employees for prohibited drugs such as marijuana, cocaine, PCP, opiates, and amphetamines.

Six types of tests are administered: pre-employment, random, post-accident, reasonable suspicion, return-to-duty, and follow-up. Of the 226,679 urine specimen collected, 3,583 or 1.59 percent generated verified positive results. To better understand the employers’ testing results, the following determinants are charted and graphed for further analysis:

The results of random drug testing provide the best indication of the overall level of drug usage among FTA-covered transit employees.


3.1 Positive Drug Rates for 2000

Table 3-1 shows the positive rate results of transit systems and contractors. Table 3-2 illustrates the random drug test results of transit systems and contractors. The positive rate is 1.05%; 0.95% of all random specimens collected resulted in a verified positive result. Positive rate means the sum of the annual number of positive results for random drug tests conducted, plus the annual number of refusals to submit to a random drug test, divided by the sum of the annual number of random drug tests conducted, plus the annual number of refusals to submit to a random drug test.

Random Drug Positives + Random Refusals

____________________________________________________

Random Drug Tests + Random Refusals

Table 3-3 demonstrates a more in-depth break out of the operator size of the transit systems and contractors based upon the test results. The population that surrounds the transit organization determines the size of operation for each agency. Large, small, and rural organizations are categorized by a population of 200,000 or more, 200,000-50,000, and less than 50,000, respectively.

Table 3-1. 2000 Positive Rate

<><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><>

Employer Type

Number of Specimens

Number Positive

Number of Random Refusals

Positive Rate

Transit Systems

97,185

749

73

0.85%

Contractors

24,483

402

53

1.85%

Totals

121,668

1,151

126

1.05%

Table 3-2. 2000 Random Drug Test Results

<><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><>

Employer Type

Number of Specimens

Number Positive

Percent Positive

Transit Systems

97,185

749

.77%

Contractors

24,483

402

1.64%

Totals

121,668

1,151

.95%

Table 3-3. Random Drug Test Results by Operator Size

<><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><> <><>

Operator Size

Number of Specimens

Number Positive

Percent Positive

Large

96,847

920

.95%

Small

8,963

115

1.28%

Rural

15,858

116

.73%

Totals

121,668

1,151

.95%

3.2 Drug Test Results by FTA Region

Figures 3-1 and 3-2 demonstrate the positive results for random and overall tests, respectively. As shown in Figure 3-1, of the ten FTA regions, Regions 8 and 9 had the highest percent of random specimens testing positive for one or more drugs. Figure 3-2 shows the percentage of drug positives in each category by FTA region. Regions 8 and 9 had the highest percent of drug positives overall.


Figure 3-1. Random Drug Test Results by FTA Region

Figure 3-2. Percent of Positives by FTA Region

3.3Results of Drug Tests Presented by Test Types

Table 3-4 illustrates the drug tests results by comparing transit systems and contractors. The table further categorizes the results by test type and employee category.

Table 3-5 also exhibits the results of the drug tests; however, the data compares employer size, and sorts the results by test type and employee category.


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Table 3-4. Drug Test Results by Test Type and Employee Category

Transit Systems

Contractors

Totals

Test Type

Number of Specimens Collected

Number of Positive Results

Percent Positive

Number of Specimens Collected

Number of Positive Results

Percent Positive

Number of Specimens Collected

Number of Positive Results

Percent Positive

TOTALS BY TEST TYPE, ALL EMPLOYEE CATEGORIES

Pre-Employment

44,437

777

1.75%

34,062

1,167

3.43%

78,499

1,944

2.48%

Random

97,185

749

0.77%

24,483

402

1.64%

121,668

1,151

0.95%

Post-Accident

11,772

126

1.07%

3,240

114

3.52%

15,012

240

1.60%

Reasonable Suspicion

822

29

3.53%

252

30

11.90%

1,074

59

5.50%

Return-to-Duty

910

28

3.08%

142

7

4.93%

1,052

35

3.33%

Follow-Up

8,666

127

1.47%

708

27

3.81%

9,374

154

1.64%

TOTALS

163,792

1,836

1.12%

62,887

1,747

2.78%

226,679

3,583

1.59%

Transit Systems

Contractors

Totals

Employee Category

Number of Specimens Collected

Number of Positive Results

Percent Positive

Number of Specimens Collected

Number of Positive Results

Percent Positive

Number of Specimens Collected

Number of Positive Results

Percent Positive

PRE-EMPLOYMENT

Revenue Vehicle Operation

35,781

647

1.81%

30,737

1,081

3.52%

66,518

1,728

2.60%

Revenue Veh. and Equip. Maint.

6,210

102

1.64%

1,784

58

3.25%

7,994

160

2.00%

Revenue Veh. Control/Disp.

1,579

14

0.89%

946

24

2.54%

2,525

38

1.50%

CDL/Non-Revenue Vehicle

382

9

2.36%

70

0

0.0%

452

9

1.99%

Armed Security Personnel

485

5

1.03%

525

4

0.76%

1,010

9

0.89%

RANDOM

Revenue Vehicle Operation

65,210

498

0.76%

18,877

323

1.71%

84,087

821

.98%

Revenue Veh. and Equip. Maint.

21,010

200

0.95%

3,177

46

1.45%

24,187

246

1.02%

Revenue Veh. Control/Disp.

7,205

26

0.36%

1,793

28

1.56%

8,998

54

0.60%

CDL/Non-Revenue Vehicle

2,332

24

1.03%

266

4

1.50%

2,598

28

1.08%

Armed Security Personnel

1,428

1

0.07%

370

1

0.27%

1,798

2

0.11%


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Table 3-4. Drug Test Results by Test Type and Employee Category (continued)

 

Transit Systems

Contractors

Totals

 

Test Type

Number of Specimens Collected

Number of Positive Results

Percent Positive

Number of Specimens Collected

Number of Positive Results

Percent Positive

Number of Specimens Collected

Number of Positive Results

Percent Positive

POST-ACCIDENT

 

Revenue Vehicle Operation

10,791

114

1.06%

3,101

112

3.61%

13,892

226

1.63%

 

Revenue Veh. and Equip. Maint.

672

11

1.64%

111

2

1.80%

783

13

1.66%

 

Revenue Veh. Control/Disp.

149

0

0.00%

20

0

0.00%

169

0

0.00%

 

CDL/Non-Revenue Vehicle

93

1

1.08%

7

0

0.00%

100

1

1.00%

 

Armed Security Personnel

67

0

0.00%

1

0

0.00%

68

0

0.00%

 

REASONABLE SUSPICION

 

Revenue Vehicle Operation

667

23

3.45%

225

23

10.22%

892

46

5.16%

 

Revenue Veh. and Equip. Maint.

115

5

4.35%

20

6

30.00%

135

11

8.15%

 

Revenue Veh. Control/Disp.

24

0

0.00%

6

1

16.67%

30

1

3.33%

 

CDL/Non-Revenue Vehicle

14

1

7.14%

0

0

0.00%

14

1

7.14%

 

Armed Security Personnel

2

0

0.00%

1

0

0.00%

3

0

0.00%

 

RETURN-TO-DUTY

 

Revenue Vehicle Operation

654

22

3.36%

110

5

4.55%

764

27

3.53%

 

Revenue Veh. and Equip. Maint.

202

6

2.97%

21

1

4.76%

223

7

3.14%

 

Revenue Veh. Control/Disp.

36

0

0.00%

10

1

10.00%

46

1

2.17%

 

CDL/Non-Revenue Vehicle

17

0

0.00%

1

0

0.00%

18

0

0.00%

 

Armed Security Personnel

1

0

0.00%

0

0

0.00%

1

0

0.00%

 

FOLLOW-UP

 

Revenue Vehicle Operation

5,033

84

1.67%

479

21

4.38%

5,512

105

1.90%

 

Revenue Veh. and Equip. Maint.

2,730

38

1.39%

140

4

2.86%

2,870

42

1.46%

 

Revenue Veh. Control/Disp.

320

2

0.63%

83

1

1.20%

403

3

0.74%

 

CDL/Non-Revenue Vehicle

540

2

0.37%

6

1

16.67%

546

3

0.55%

 

Armed Security Personnel

43

1

2.33%

0

0

0.00%

43

1

2.33%

 


Table 3-5. Drug Test Results by Test Type and Employee Category by Size

Large

Small

Rural

Test Type

Number of Specimens Collected

Number of Positive Results

Percent Positive

Number of Specimens Collected

Number of Positive Results

Percent Positive

Number of Specimens Collected

Number of Positive Results

Percent Positive

TOTALS BY TEST TYPE, ALL EMPLOYEE CATEGORIES

Pre-Employment

58,905

1,606

2.73%

6,436

143

2.22%

13,158

195

1.48%

Random

96,847

920

0.95%

8,963

115

1.28%

15,858

116

0.73%

Post-Accident

12,898

209

1.62%

1158

17

1.47%

956

14

1.46%

Reasonable Suspicion

980

48

4.90%

35

6

17.14%

59

5

8.47%

Return-to-Duty

889

24

2.70%

77

7

9.09%

86

4

4.65%

Follow-Up

9,022

133

1.47%

262

15

5.73%

90

6

6.67%

TOTALS

179,541

2,940

1.64%

16,931

303

1.79%

30,207

340

1.13%

Large

Small

Rural

Employee Category

Number of Specimens Collected

Number of Positive Results

Percent Positive

Number of Specimens Collected

Number of Positive Results

Percent Positive

Number of Specimens Collected

Number of Positive Results

Percent Positive

PRE-EMPLOYMENT

Revenue Vehicle Operation

49,181

1,436

2.92%

5,563

116

2.09%

11,774

176

1.49%

Revenue Veh. and Equip. Maint.

6,894

132

1.91%

630

21

3.33%

470

7

1.49%

Revenue Veh. Control/Disp.

1,541

22

1.43%

206

6

2.91%

778

10

1.29%

CDL/Non-Revenue Vehicle

290

7

2.41%

26

0

0.00%

136

2

1.47%

Armed Security Personnel

999

9

0.90%

11

0

0.00%

0

0

0.00%

RANDOM

Revenue Vehicle Operation

64,637

648

1.00%

6,633

84

1.27%

12,817

89

0.69%

Revenue Veh. and Equip. Maint.

21,933

210

0.96%

1,262

24

1.90%

992

12

1.21%

Revenue Veh. Control/Disp.

6,408

41

0.64%

844

6

0.71%

1,746

7

0.40%

CDL/Non-Revenue Vehicle

2,101

19

0.90%

194

1

0.52%

303

8

2.64%

Armed Security Personnel

1,768

2

0.11%

30

0

0.00%

0

0

0.00%


Table 3-5. Drug Test Results by Test Type and Employee Category by Size (continued)

Large

Small

Rural

Test Type

Number of Specimens Collected

Number of Positive Results

Percent Positive

Number of Specimens Collected

Number of Positive Results

Percent Positive

Number of Specimens Collected

Number of Positive Results

Percent Positive

POST-ACCIDENT

Revenue Vehicle Operation

11,930

198

1.66%

1,060

14

1.32%

902

14

1.55%

Revenue Veh. and Equip. Maint.

668

10

1.50%

85

3

3.53%

30

0

0.00%

Revenue Veh. Control/Disp.

144

0

0.00%

11

0

0.00%

14

0

0.00%

CDL/Non-Revenue Vehicle

88

1

1.14%

2

0

0.00%

10

0

0.00%

Armed Security Personnel

68

0

0.00%

0

0

0.00%

0

0

0.00%

REASONABLE SUSPICION

Revenue Vehicle Operation

815

39

4.79%

27

3

11.11%

50

4

8.00%

Revenue Veh. and Equip. Maint.

121

8

6.61%

7

3

42.86%

7

0

0.00%

Revenue Veh. Control/Disp.

30

1

3.33%

0

0

0.00%

0

0

0.00%

CDL/Non-Revenue Vehicle

11

0

0.00%

1

0

0.00%

2

1

50.00%

Armed Security Personnel

3

0

0.00%

0

0

0.00%

0

0

0.00%

RETURN-TO-DUTY

Revenue Vehicle Operation

638

21

3.29%

61

3

4.92%

65

3

4.62%

Revenue Veh. and Equip. Maint.

196

2

1.02%

13

4

30.77%

14

1

7.14%

Revenue Veh. Control/Disp.

37

1

2.70%

3

0

0.00%

6

0

0.00%

CDL/Non-Revenue Vehicle

17

0

0.00%

0

0

0.00%

1

0

0.00%

Armed Security Personnel

1

0

0.00%

0

0

0.00%

0

0

0.00%

FOLLOW-UP

Revenue Vehicle Operation

5,254

91

1.73%

198

11

5.56%

60

3

5.00%

Revenue Veh. and Equip. Maint.

2,794

36

1.29%

60

4