REPORT DOCUMENTATION PAGE Form Approved

OMB No. 0704-0188

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0188), Washington, DC 20503.

1. AGENCY USE ONLY (Leave blank) 2. REPORT DATE

 December 1998

3. REPORT TYPE AND DATES COVERED

Final Report

January 1997–December 1997

4. TITLE AND SUBTITLE

Drug and Alcohol Testing Results 1997 Annual Report

6. AUTHOR(S)

Dorothy F. Nicholas (617) 494-3459, Richard Anderson,* Michael

Redington,* Eve Rutyna,* and Anne Tallon*

5. FUNDING NUMBERS

TM959/U9015

7. PERFORMING ORGANIZATION NAME(S) AND ADDRESS(ES)

U.S. Department of Transportation

Research & Special Programs Administration

John A. Volpe National Transportation Systems Center

55 Broadway

Cambridge, MA 02142-1093

8. PERFORMING ORGANIZATION

 REPORT NUMBER

DOT-VNTSC-FTA-98-7

9. SPONSORING/MONITORING AGENCY NAME(S) AND ADDRESS(ES)

U.S. Department of Transportation

Federal Transit Administration

Office of Safety and Security

Washington, DC 20590

10. SPONSORING/MONITORING

 AGENCY REPORT NUMBER

FTA-MA-26-5001-98-1

11. SUPPLEMENTARY NOTES

* EG&G Services, Inc.

 55 Broadway

 Cambridge, MA 02142-1093

12a. DISTRIBUTION/AVAILABILITY STATEMENT

This document is available to the public through the National

Technical Information Service, Springfield, VA 22161

12b. DISTRIBUTION CODE

13. ABSTRACT (Maximum 200 words)

The Drug and Alcohol Testing Results 1997 Annual Report is a compilation and analysis

of mass transit drug and alcohol testing reported by transit systems in the United

States during 1997. The report covers testing results for the following drug types:

marijuana (THC), cocaine, phencyclidine (PCP), opiates, and amphetamines. The test

types covered are: pre-employment, random, post-accident, reasonable suspicion,

return-to-duty, and follow-up. The report also covers testing results for alcohol for

the following test types: random, post-accident, reasonable suspicion, return-to-duty,

and follow-up.

15. NUMBER OF PAGES

84

14. SUBJECT TERMS

safety-sensitive, random testing, alcohol testing, drug testing,

FTA-covered employees

16. PRICE CODE

17. SECURITY

CLASSIFICATION OF 

REPORT

Unclassified

18. SECURITY

CLASSIFICATION OF THIS 

PAGE

Unclassified

19. SECURITY

CLASSIFICATION OF THIS

ABSTRACT

Unclassified

20. LIMITATION OF 

ABSTRACT

NSN 7540-01-280-5500 Standard Form 298 (Rev. 2-89)

Prescribed by ANSI Std. 239-18

298-102

1997 Annual Report ES-1

EXECUTIVE SUMMARY

INTRODUCTION

This report presents the results of mandatory drug and alcohol testing conducted by transit

systems and their contractors receiving 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 1997 Annual Report is the third annual report which summarizes 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 reporting forms for calendar year 1997 from 2,317

individual employers representing 1,613 transit systems (304 large operators and 1,309 small

operators) and 704 contractors. Approximately 71 percent of all employers reported no positive

drug test results, and 96 percent of employers reported no alcohol test results greater than or

equal to 0.04 percent. Contractors submitted a greater percentage of forms with at least one

positive drug test result than did transit systems, and contractors submitted a greater percentage

of forms with at least one alcohol test result greater than 0.04 percent than did transit systems.

The largest number of employees performing safety-sensitive functions are engaged in revenue

vehicle operation, followed by revenue vehicle and equipment maintenance. Revenue vehicle

control/dispatch, CDL/non-revenue vehicle, and armed security personnel together make up less

than 12 percent of the overall labor force (transit systems and contractors). For large operators,

contractors comprise a relatively small percent of the total number of FTA-covered employees at

13.24 percent. For small operators, contractors comprise a higher percent of the total number of

FTA-covered employees at 32.16 percent.

DRUG TEST RESULTS

All employers must establish an anti-drug program that encompasses testing and training for

employees and supervisors performing safety-sensitive functions. Supervisors receive specific

training to recognize the signs and symptoms of prohibited drug use. The FTA’s rule specifies

that safety-sensitive employees may not use any of five prohibited substances (or their
1997 Annual Report ES-2

metabolites): marijuana, cocaine, phencyclidine (PCP), opiates (e.g., heroin, morphine,

codeine), or amphetamines (e.g., racemic, amphetamine, dextroamphetamine, and

methamphetamine).

If an FTA-covered employee has a verified positive result from a drug test, the employee must

be removed from the safety-sensitive position, be informed of available educational and

treatment programs, and be referred to a substance abuse professional to determine whether the

employee has a drug problem. If the employer’s policy allows for a “second chance,” the

regulations state that the employee must complete a course of treatment prescribed by the

Substance Abuse Professional (SAP) and take a return-to-duty drug test with a verified negative

result prior to returning to a safety-sensitive position.

The 1997 drug-testing program performed by large and small transit employers revealed the

following major findings:

A total of 107,047 specimens were collected for random drug testing. Of that figure, 1,295

specimens tested positive for one or more of the five prohibited drugs. Random drug testing

accounted for 38.32 percent of the positive specimens (of 3,379 total positive specimens).

The overall positive random test rate was 1.21 percent industry-wide, as shown in Exhibit ES-1.

The positive random test results were 1.06 percent for transit systems and 1.92 percent for

contractors. The 1996 positive test result for random testing was 1.50 percent.

Table ES-1. 1997 Random Drug Test Results

Employers

Number of

Specimens

Number

Positive

Percent

Positive

Transit

Systems

88,799 945 1.06

Contractors 18,248 350 1.92

Totals 107,047 1,295 1.21

There was little disparity in the percent of random drug positives between large and small

operators (1.17% and 1.34%, respectively).

In 1997, the FTA’s regulation required that the number of random drug tests conducted must

equal at least 50 percent of the total number of safety-sensitive employees. Transit systems had

a higher rate of compliance with the 50 percent drug testing requirement then did contractors.

Approximately 52.01 percent of the transit systems randomly tested a number equal to at least 50

percent of their covered employees for drugs. In comparison, approximately 52.05 percent of the

contractors met the testing requirement. Large operators met the requirement more often than

did small operators (58.73% and 49.65%, respectively). A number of employers joined consortia

to increase the efficiency of the testing process. As members of a consortium, their employees

were included in a larger pool of employees; thus, each employer may not have achieved the

required levels of testing individually.
1997 Annual Report ES-3

Of the six drug test types (pre-employment, random, post-accident, reasonable suspicion, returnto-duty, and follow-up), the highest percent of positive specimens was for reasonable suspicion

testing (8.08%). Contractors reported positive results using reasonable suspicion testing at a

higher rate than did transit systems (15.20% vs. 6.70%).

Random drug testing returned the lowest overall percent of positive results (1.21%).

There was some variation in the percent of positive random tests across employee categories.

The lowest rate was 0.16 percent for armed security personnel, and the highest was 1.56%

percent for CDL/non-revenue vehicle operators.

Marijuana and cocaine were detected most frequently in the specimens that tested positive for

drugs. Of the 3,379 positive specimens, 59.90 percent tested positive for marijuana and 36.55

percent tested positive for cocaine.

There were 249 reportable accidents that resulted in a positive post-accident drug test (166 from

transit systems and 83 from contractors). There were five fatalities reported as resulting from

these accidents.

ALCOHOL TEST RESULTS

Transit systems 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-toduty, 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.

Alcohol screening tests may be conducted with a saliva testing device, an Evidential BreathTesting (EBT) device, or a non-EBT device. A confirmation test must be conducted using an

EBT device if the result of a screening test is an alcohol concentration of 0.02 percent or greater.

The alcohol concentration level is the alcohol in a volume of breath expressed in terms of grams

of alcohol per 210 liters of breath. An employer may only take disciplinary action based on the

results of a confirmation test.

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 re-test 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. To return to a safety-sensitive position, the employee must
1997 Annual Report ES-4

properly complete a course of treatment prescribed by the SAP and pass a return-to-duty alcohol

test.

The 1997 alcohol testing program performed by large and small transit employers revealed the

following findings:

• A total of 62,161 random alcohol screening tests were conducted. Of that figure, 85

confirmation tests results of ≥ 0.04 were detected (0.14%).

• The FTA alcohol-testing rule includes a definition for the violation rate. The definition

describes the violation rate as the number of random tests results ≥ 0.04 plus the number of

employees who refused a random test, divided by the total number of random tests

administered plus the number of employees who refused a random test. The violation rate

for 1997 for all employers (transit systems and contractors) is 0.19 percent.

• The percent of random test results ≥ 0.04 was 0.14 percent industry-wide, as shown in Table

ES-2. The rate for transit systems was 0.15 percent. For contractors, the rate was 0.09

percent. In 1996, the random rate was 0.16 percent.

Table ES-2. 1997 Random Alcohol Test Results

Employer Number

Screens

Number

Positive

Percent

> 0.04

Transit

Systems 52,260 76 0.15

Contractors 9,901 9 0.09

Totals 62,161 85 0.14

• For 1997, the FTA’s regulation required that the number of random alcohol tests conducted

be equal to at least 25 percent of the total number of safety-sensitive employees. Transit

systems and contractors had a rate of compliance with this requirement of 56.03 percent and

51.05 percent, respectively. Large operators met the requirement at 60.07 percent and small

operators met the requirement at 52.53 percent.

• Of the five required alcohol test types, the highest percent of test results ≥ 0.04 was for

reasonable suspicion testing at 9.09 percent. Contractors returned alcohol concentrations at

≥ 0.04 during reasonable suspicion testing more often than transit systems (17.14% vs.

7.65%).

• Overall, the percent of random alcohol tests ≥ 0.04 for each employee category was at or

below 0.22 percent. The lowest percent was 0.00 percent for armed security personnel, and

the highest was 0.22 percent for revenue vehicle and equipment maintenance employees.

• There were 17 accidents reported that resulted in a post-accident alcohol test result of 0.04 or

greater. There were no fatalities resulting from these accidents.
1997 Annual Report ES-5

COMPARISON OF DRUG AND ALCOHOL RESULTS

A comparison of the 1997 drug and alcohol testing performed by large transit employers

revealed the following findings:

• Random testing revealed a higher percent of drug tests with positive results than alcohol tests

with results of ≥ 0.04 (1.21% vs. 0.14%). Results of random drug testing in transit systems

show a positive rate of 1.06 percent, while the rate for alcohol tests with results ≥ 0.04 was

0.15 percent. The positive drug testing result rate for contractors was 1.92 percent, whereas

the rate for random alcohol testing results ≥ 0.04 was 0.09 percent.

• CDL/non-revenue vehicle operators, revenue vehicle operators, and revenue vehicle and

equipment maintenance employees had the highest percent of random positive drug test

results with 1.56 percent, 1.30 percent, and 1.12 percent, respectively. Revenue vehicle and

equipment maintenance employees had the highest random alcohol test results ≥ 0.04

(0.22%), followed by revenue vehicle control/dispatch at 0.13 percent and revenue vehicle

operators with 0.12 percent.

• A total of 7 employers reported that they had a total of 10 employees who tested positive for

drugs and alcohol at the same time.

COMPARISON OF LARGE AND SMALL OPERATORS

Almost two-thirds (65.85%) of safety-sensitive employees who worked for large operators were

revenue vehicle operators, whereas more than three-quarters (78.08%) of safety-sensitive

employees who worked for small operators were revenue vehicle operators.

Across all employee categories, large operators showed test results ≥ 0.04 for random alcohol

tests at a rate of 0.14 percent. Small operators tested ≥ 0.04 at a rate of 0.10 percent. However,

small operators had a higher percentage of positive random drug tests than did large operators

(1.34% vs. 1.17%).

The reported data show that large operators met the random testing requirements for drugs more

often than small operators (58.73% vs. 49.65%). Additionally, the data show that large operators

also met the testing requirement for alcohol more often than small operators (60.07% vs.

52.23%). Federal regulations allow employers to use a consortium to perform drug and alcohol

testing. Because the consortium is performing random testing on its entire pool, individual

employers may not achieve the required minimum testing rates.

COMPARISON OF 1996 AND 1997 RESULTS

The percent of positive random drug test results and the percent of alcohol test results greater

than or equal to 0.04 decreased from 1996 to 1997. In 1996, random alcohol testing detected
1997 Annual Report ES-6

results ≥ 0.04 at a rate of 0.16 percent; in 1997, that figure was 0.14 percent. In 1996, random

drug testing detected positive results 1.50 percent of the time. In 1997, random drug testing

detected positive results 1.21 percent of the time.

Most employee categories saw a reduction in the percent of random positive test results for

drugs and alcohol test results ≥ 0.04. Only one employee category did show an increase; revenue

vehicle control/dispatch jumped from 0.08 percent in 1996 to 0.13 percent in 1997.

Most employee categories saw an increase in the number of specimens collected (drugs) and

screening test conducted (alcohol) in 1997. Only the CDL/non-revenue employee category had a

decrease in both. Specimen collections decreased by 48.22 percent and screening tests decreased

by 43.65 percent from 1996. These considerable reductions are the result of a more stringent

application of the FTA’s definition of CDL/non-revenue vehicle employee; only those

employees holding CDLs in transit-specific environments are included.

Every region except Region 7 showed decreases in the rate of positive random drug test results.

Regions 2, 4, 5, 6, and 10 showed decreases in the rate of random alcohol test results ≥ 0.04.
1997 Annual Report v

TABLE OF CONTENTS

Section Page

1. INTRODUCTION

1.1 Who Must Report ..............................................................................................................1-1

1.2 Which Employees Must be Tested......................................................................................1-2

1.3 Types of Tests....................................................................................................................1-3

1.4 Drug Testing Program Overview........................................................................................1-4

1.5 Alcohol Testing Program Overview....................................................................................1-4

1.6 Drug and Alcohol MIS Data Quality and Validation...........................................................1-5

1.7 Organization of this Report ................................................................................................1-5

1.8 Availability of Drug and Alcohol MIS Documentation........................................................1-5

2. GENERAL INFORMATION−DRUG AND ALCOHOL TEST RESULTS

2.1 Distribution of Transit Systems and Contractors.................................................................2-1

2.2 U.S. Coast Guard-Covered Employees...............................................................................2-5

2.3 Random Testing Percent Requirements ..............................................................................2-6

2.4 FTA-Required Training......................................................................................................2-7

2.5 Federal Funds.....................................................................................................................2-7

3. DRUG TEST RESULTS

3.1 Introduction.......................................................................................................................3-1

3.2 Results of Drug Tests Presented by Test Types..................................................................3-2

3.2.1 Pre-Employment Drug Test Results ........................................................................3-2

3.2.2 Random Drug Test Results .....................................................................................3-5

3.2.3 Post-Accident Drug Test Results ............................................................................3-5

3.2.4 Reasonable Suspicion Drug Test Results.................................................................3-5

3.2.5 Return-to-Duty Drug Test Results ..........................................................................3-5

3.2.6 Follow-Up Drug Test Results .................................................................................3-6

3.3 Results of Drug Tests Presented by Employee Category.....................................................3-6

3.3.1 Drug Test Results for Revenue Vehicle Operation Category....................................3-9

3.3.2 Drug Test Results for Revenue Vehicle and Equipment Maintenance Category .......3-9

3.3.3 Drug Test Results for Revenue Vehicle Control/Dispatch Category.........................3-9

3.3.4 Drug Test Results for CDL/Non-Revenue Vehicle Category ...................................3-10

3.3.5 Drug Test Results for Armed Security Personnel Category......................................3-10

3.4 Distribution of Positive Drug Test Results..........................................................................3-10

3.4.1 Distribution of Positive Drug Test Results for One or More Drugs..........................3-10

3.4.2 Distribution of Positive Drug Test Results by Type of Drug ....................................3-11

3.5 Drug Test Results by FTA Region......................................................................................3-13

3.6 Drug Test Refusals.............................................................................................................3-14

3.7 Return-to-Duty Positive Rate .............................................................................................3-14

3.8 Pre-Employment Drug Test Results ...................................................................................3-15
1997 Annual Report vi

TABLE OF CONTENTS (cont.)

Section Page

3.9 Post-Accident Drug Test Results........................................................................................3-15

3.10 Comparison of Transit System and Contractor Positive Random Drug Test Results..........3-15

3.11 Comparison of Large Operator and Small Operator Positive Random Drug Test Results..3-16

4. ALCOHOL TEST RESULTS

4.1 Introduction.......................................................................................................................4-1

4.2 Results of Alcohol Testing Presented by Test Type ............................................................4-3

4.2.1 Pre-Employment Alcohol Test Results....................................................................4-6

4.2.2 Random Alcohol Test Results.................................................................................4-6

4.2.3 Post-Accident Alcohol Test Results ........................................................................4-6

4.2.4 Reasonable Suspicion Alcohol Test Results.............................................................4-6

4.2.5 Return-to-Duty Alcohol Test Results......................................................................4-7

4.2.6 Follow-Up Alcohol Test Results .............................................................................4-7

4.3 Results of Alcohol Testing Presented by Employee Category .............................................4-7

4.3.1 Alcohol Test Results for Revenue Vehicle Operation Category ...............................4-10

4.3.2 Alcohol Test Results for Revenue Vehicle and Equipment Maintenance Category ...4-10

4.3.3 Alcohol Test Results for Revenue Vehicle Control/Dispatch Category ....................4-10

4.3.4 Alcohol Test Results for CDL/Non-Revenue Vehicle Category ...............................4-11

4.3.5 Alcohol Test Results for Armed Security Personnel Category .................................4-11

4.4 Alcohol Test Results by FTA Region .................................................................................4-11

4.5 Employees Who Refused Alcohol Testing ..........................................................................4-12

4.6 Employees Returned to Duty..............................................................................................4-12

4.7 Post-Accident Alcohol Test Results ...................................................................................4-12

4.8 Violation Rate....................................................................................................................4-12

4.9 Comparison of Transit System and Contractor Random Alcohol Test Results ≥ 0.04..........4-13

4.10 Comparison of Large Operator and Small Operator Random Alcohol Test

 Results ≥ 0.04..................................................................................................................4-14

5. COMPARISON OF DRUG AND ALCOHOL TEST RESULTS

5.1 Random Drug and Alcohol Test Results.............................................................................5-1

5.2 Results of Random Drug and Alcohol Tests by Employee Category ...................................5-1

5.3 Results of Random Drug and Alcohol Tests by Operator Size ............................................5-3

5.4 Accidents That Resulted in a Positive Post-Accident Drug Test or an

Alcohol Test Result ≥ 0.04 ................................................................................................5-4

5.5 Pre-Employment Positions Denied .....................................................................................5-4

5.6 Employees Who Tested Positive for Drugs and Had an Alcohol Test

Result ≥ 0.04 .....................................................................................................................5-5
1997 Annual Report vii

TABLE OF CONTENTS (cont.)

Section Page

6. COMPARISON OF RESULTS FROM 1996 TO 1997

6.1 Random Drug and Alcohol Test Results (1996 - 1997).......................................................6-1

6.2 Random Drug Test Results by Employee Category (1996 - 1997) ......................................6-1

6.3 Random Alcohol Test Results by Employee Category (1996 - 1997)..................................6-2

6.4 Accidents that Resulted in a Positive Post-Accident Drug and/or Alcohol Test Result

≥ 0.04 (1996 - 1997)..........................................................................................................6-3

6.5 Changes in the Rate of Positive Random Test Results by FTA Region

(1996 - 1997) ....................................................................................................................6-3

Appendix A...................................................................................................................................A-1

Appendix B...................................................................................................................................B-1
1997 Annual Report viii
1997 Annual Report 1-1

1. INTRODUCTION

This annual report presents the results of mandatory drug and alcohol testing conducted by transit

systems receiving 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. 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 is the third annual report summarizing the results of

drug and alcohol tests administered under the FTA regulations. This annual report covers the

testing results from calendar year 1997.

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 that 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. The drug and

alcohol testing results for both large and small operators for calendar year 1997 are included in

this annual report.

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.

1

 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 approved by the

Office of Management and Budget (OMB). Recipients of 5310 (Section 16) 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.

 

1

 The section numbers for the funding sources listed in Figure 1-1 are different than those listed on the FTA’s

MIS Data Collection forms. Section 5307 corresponds to Section 9, Section 5309 corresponds to Section 3, and

Section 5311 corresponds to Section 18.

Section 5307. Block Grants

Section 5309. Discretionary Grants and Loans

Section 5311. Financial Assistance for Other Than

Urbanized Areas

Figure 1-1. FTA Federal Funding Sources (1997)
1997 Annual Report 1-2

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 authorities 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 Which Employees 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:

• Operating revenue service vehicles, including when the vehicle is not in revenue service;

• Maintaining revenue service vehicles or equipment used in revenue service, unless the

recipient receives Section 5311 funding and contracts out such services;

• Controlling the dispatch or movement of revenue service vehicles;

• Operating a non-revenue service vehicle (e.g., snowplow or wrecker in support of transit

operations) and performing a function requiring a Commercial Driver’s License (CDL); and/or

• Providing security and carrying a firearm.

Maintenance contractors (except for 5311 recipients’ contractors) that perform routine, ongoing

repair, or maintenance work for FTA recipients and subrecipients must comply 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 in the

testing requirements.
1997 Annual Report 1-3

1.3 Types of Tests

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

(1) pre-employment (drug only); (2) random; (3) post-accident; (4) reasonable suspicion;

(5) return-to-duty; and (6) follow-up.

Pre-employment testing for drugs is performed on each prospective employee, including

individuals who are being transferred into safety-sensitive positions. Employees may not be hired

unless they have a verified negative drug test result. The FTA suspended required preemployment testing for alcohol on May 10, 1995, as a result of a U.S. Court of Appeals decision.

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, must be included in the

selection pool, and must remain in the pool after being tested. For 1997, the number of random

tests conducted must equal at least 50 percent (for drugs) and 25 percent (for alcohol) of the total

number of employees performing safety-sensitive functions. Transit systems have the option of

joining a consortium, which is 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 consortium. As a result, some transit

operators may not meet the testing requirement individually.

Post-accident testing is required for accidents where there is loss of human life. For other nonfatal 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 on 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 for drugs.

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 safetysensitive employee.

Return-to-duty testing occurs when an employer’s policy statement permits an employee who

violated the regulations (e.g., tested positive for drugs, had an alcohol result of ≥ 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.
1997 Annual Report 1-4

Follow-up testing occurs after an employee has been returned to duty after 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 5 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 the safety-sensitive position, be informed of the available educational and treatment

programs, and be referred to an 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. Employers may not allow safety-sensitive employees to consume alcohol while on duty.

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 have elapsed.

Alcohol screening tests may be conducted with a saliva testing device, an Evidential Breath

Testing (EBT) device, or a non-EBT device. If the result of a screening test is an alcohol

concentration of 0.02 or greater, a confirmation test must be performed. The confirmation test

must be conducted using an EBT device, which is listed on the Conforming Product List (CPL)
1997 Annual Report 1-5

of the National Highway Traffic Safety Administration (NHTSA). The confirmation test must be

conducted at least 15 minutes, but not more than 30 minutes, after the completion of the

screening test. If the initial screening test and confirmation test results are not identical, the

confirmation test result is deemed the final result. An employer can only take action based on the

confirmation test results.

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 ≥ 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 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.

In general, the quality of the database improves each year as the FTA simplifies and clarifies

definitions of data items and reporting procedures, and designs more sophisticated validation

checks. Despite extensive efforts, it should be noted that data validation encompasses primarily 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 Organization of this Report

This report contains six chapters and two appendices. Chapter 2 provides general information

from 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

comparison of drug and alcohol testing results. Chapter 6 provides a comparison of 1996 and

1997 testing results for all employers. To clarify the terms used throughout this report, Appendix

A presents the Glossary of Terms. Appendix B provides a list of FTA regions.

1.8 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
1997 Annual Report 1-6

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.
1997 Annual Report 2-1

2. GENERAL INFORMATION−DRUG AND ALCOHOL TEST RESULTS

This chapter presents the drug and alcohol information provided by transit systems and

contractors submitting FTA Drug & Alcohol MIS forms to the FTA for 1997. The

discussion presents data on the number of forms received and the distribution of workers

by employee category, as well as the number of employees covered by the United States

Coast Guard (USCG). This section also includes the compliance levels of transit systems

and contractors with the requirements for drug and prohibited alcohol random testing

(percent of safety-sensitive employees tested), their commitment to training employees

and supervisors, and sources of FTA funds.

2.1 Distribution of Transit Systems and Contractors

For calendar year 1997, the FTA received drug and alcohol forms from 2,317 individual

operators representing 1,613 transit systems (304 large transit systems and 1,309 small

transit systems) and 704 contractors. Table 2-1 identifies the number of drug and alcohol

forms received and shows the percentage of drug forms reporting a positive test result for

at least one drug and the percentage of alcohol forms reporting an alcohol concentration

of ≥ 0.04.

Table 2-1. Number of Drug and Alcohol Forms Received for 1997

Percent With a Positive Test Result

Operator Number of MIS Data Collection

Forms Received

Percent With A Positive Test Result

Drug Forms Alcohol Forms Drug Forms Alcohol Forms

Transit Systems 1,613 1,613 23.56 3.66

Contractors 704 704 40.91 4.26

Totals 2,317 2,317 28.83 3.84

Approximately 76 percent of transit systems and 59 percent of contractors reported no

positive drug test results in any of the testing categories. Approximately 96 percent of

forms received by both transit systems and their contractors reported no alcohol test

results of ≥ 0.04 in any of the testing categories.

Almost 77 percent of the FTA-covered employees worked in large systems in 1997.

Figure 2-1 shows the number of transit system and contractor employees who worked in

both large and small systems. Contractors serviced a larger percentage of small operators

than large operators (32.16% vs. 13.24%).
1997 Annual Report 2-2

 

21,829 15,916

143,075

33,581

0

20,000

40,000

60,000

80,000

100,000

120,000

140,000

160,000

180,000

Large Small

Transit Systems

Contractors

Figure 2-1. Number of Transit System and Contractor-Covered Employees for

Large and Small Operators for 1997

The number of FTA-covered employees in each employee category for the large and

small operators is shown in Figures 2-2 and 2-3, respectively. Almost two-thirds

(65.85%) of FTA-covered employees who worked for large operators were revenue

vehicle operators, whereas over three-quarters (78.05%) of FTA-covered employees who

worked for small operators were revenue vehicle operators. In both cases, revenue

vehicle operators were the largest group of FTA-covered employees.

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

for 1997 – Large Operators

CDL/Non-Revenue 

Vehicle

1.96%

Armed Security 

Personnel

2.46%

Revenue Vehicle 

Control/Dispatch

6.93%

Vehicle and 

Equipment 

Maintenance

22.81%

Revenue Vehicle 

Operations

65.85%
1997 Annual Report 2-3

Revenue Vehicle 

Operations

Vehicle and 78.05%

Equipment 

Maintenance

9.13%

Revenue Vehicle 

Control/Dispatch

9.76%

CDL/NonRevenue Vehicle

2.69%

Armed Security 

Personnel

0.33%

Figure 2-3. Percent of FTA-Covered Employees in Each Employee Category

for 1997 – Small Operators

Table 2-2 presents the distribution of FTA-covered employees by employee category for

transit systems and contractors. The accompanying pie charts (Figures 2-4 through 2-6)

illustrate these results. Contractors comprise a relatively small percentage of the total

number of FTA-covered employees at 17.60 percent. On a category-specific percentage

basis, contractors were more often employed as revenue vehicle operators and revenue

vehicle control/dispatchers (20.10% and 17.65%, respectively) and were least often

employed as CDL/non-revenue vehicle operators (7.34%). In Figure 2-4, the largest

number of FTA-covered employees was revenue vehicle operators (68.67%), followed by

revenue vehicle and equipment maintenance employees (19.65%). Revenue vehicle

control/dispatch, CDL/non-revenue vehicle, and armed security personnel together made

up 11.68 percent of the overall reported labor force.

Table 2-2. Number of FTA-Covered Employees by Employee Category for 1997/

Percent of Labor Force that was Contracted

Number of FTA-Covered Employees

Employee Category Transit

Systems

Contractors Totals Percent of Labor

Force Contracted

Revenue Vehicle Operations 117,640 29,592 147,232 20.10

Revenue Vehicle and

Equipment Maintenance

37,787 4,342 42,129 10.31

Revenue Vehicle

Control/Dispatch

13,393 2,870 16,263 17.65

CDL/Non-Revenue Vehicle 4,232 335 4,567 7.34

Armed Security Personnel 3,604 606 4,210 14.39

Totals 176,656 37,745 214,401 17.60
1997 Annual Report 2-4

Figure 2-4. Percent of FTA-Covered Employees in Each

Employee Category for 1997

Revenue Vehicle 

Operations

66.59%

Vehicle and 

Equipment 

Maintenance

21.39%

Revenue Vehicle 

Control/Dispatch

7.58%

CDL/NonRevenue Vehicle

2.40%

Armed Security 

Personnel

2.04%

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

for 1997 - Transit System Employees

Revenue Vehicle 

Operations

68.67%

Vehicle and 

Equipment 

Maintenance

19.65%

Revenue Vehicle 

Control/Dispatch

7.59%

CDL/NonRevenue Vehicle

2.13%

Armed Security 

Personnel

1.96%
1997 Annual Report 2-5

Armed Security 

Personnel

1.61%

CDL/NonRevenue Vehicle

0.89% Revenue

 Vehicle 

Control/Dispatch

7.69%

Vehicle and 

Equipment 

Maintenance

11.50%

Revenue Vehicle 

Operations

78.40%

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

for 1997 - Contractor Employees

2.2 U.S. Coast Guard-Covered Employees

Many USCG-covered employees performed safety-sensitive functions for transit

providers who received FTA funds; therefore the FTA requires the number of USCGcovered employees to be reported on the Drug MIS Form.

Nineteen operators reported USCG-covered employees performing safety-sensitive

functions. Table 2-3 identifies the number of USCG-covered employees by employee

category.

Table 2-3. Distribution of USCG-Covered Employees by

Employee Category for 1997

Number of USCG Employees Percent of Total USCG

Employees

Employee Category Transit

Systems

Contractors Totals Transit

Systems

Contractors

Revenue Vehicle

Operations

1,428 48 1,476 96.75 3.25

Revenue Vehicle and

Equipment Maintenance

87 28 115 75.65 24.35

Revenue Vehicle

Control/Dispatch

81 0 81 100.00 0.00

CDL/Non-Revenue

Vehicle

38 0 38 100.00 0.00

Armed Security

Personnel

0 5 5 0.00 100.00

Totals 1,634 81 1,715 95.28 4.72
1997 Annual Report 2-6

Transit systems and their contractors employed 1,715 USCG-covered employees, which

was 0.80 percent of the total reported FTA-covered employees. USCG-covered

employees were involved mainly in revenue vehicle operations at a rate of 87.39 percent.

Contractors made up a smaller overall percent of the USCG-covered employment

(4.72%) compared to the total FTA-covered workforce (17.60%).2

2.3 Random Testing Percent Requirements

One of the most important aspects of the FTA’s drug and alcohol testing program is the

requirement that each operator conduct the required level of random testing. For 1997,

the number of random drug tests conducted was required to equal at least 50 percent of

the total number of FTA-covered employees. The number of random alcohol tests

conducted was required to be at least 25 percent of the total number of FTA-covered

employees.

A slightly higher percentage of contractors met the required drug testing level than did

transit systems (52.13% to 52.01%, respectively). A higher percentage of large operators

(58.73%) met the drug testing requirements than small operators (49.65%). A majority of

both the large and small operators (59.38% and 51.82%, respectively) met the drug

testing compliance. This information is presented in Table 2-4.

Table 2-4. Percent of Operators that Met the Required

Random Testing Levels for 1997

Drug Testing Alcohol Testing

Transit

Systems

Contractors Large

Operators

Small

Operators

Transit

Systems

Contractors Large

Operators

Small

Operators

Met

Requirement

52.01 52.13 58.73 49.65 55.30 50.43 59.38 51.82

Did Not Meet

Requirement

47.99 47.87 41.17 50.35 44.70 49.57 40.62 48.18

 

2 Because the drug testing results for USCG-covered employees were co-mingled with the results for

FTA-covered employees, a separate presentation of the drug testing results for USCG-covered employees

was not possible.
1997 Annual Report 2-7

2.4 FTA-Required Training

Based on the information reported, 54,036 FTA-covered employees (25.20% of the total

number of employers reporting) received at least 60 minutes of initial training on the

consequences, manifestations, and behavioral cues of illegal drug use during 1997. In

addition, 6,879 supervisory personnel received 60 minutes of initial training on the

specific contemporaneous physical, behavioral, and performance indicators of probable

drug use and 8,181 supervisory personnel received similar training for alcohol misuse

during 1997.

2.5 Federal Funds

Transit systems are required to report the types of FTA funds they received. Specifically,

transit systems are required to identify the particular sections of the Federal Transit Act

under which they received Federal funds (i.e., Sections 5309, 5307, 53103, and 5311).

Many of the 1,613 transit systems received funding under multiple sections, as shown in

Table 2-5. 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 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 5310 refers to grants and loans

for special needs of the elderly and individuals with disabilities. Section 5311 refers to

financial assistance for non-urbanized areas.

Table 2-5. Number and Percent of Transit Systems that Received Federal Funds

in 1997 by Source of Funding

Section 5309 Section 5307 Section 5310 Section 5311

Number of

Transit Systems

398 524 331 1,128

Percent of

Transit Systems

24.67 32.49 20.52 69.93

 

3

 Recipients of Section 5310 funds are not required to comply with the FTA drug and alcohol rules, unless

they provide contract services to recipients of Section 5307, 5309, and 5311 funds. In those instances, they

must report as contractors.
1997 Annual Report 2-8
1997 Annual Report 3-1

3. DRUG TEST RESULTS

This chapter provides background information and a summary of the 1997 drug testing results.

For drug testing, a urine specimen is collected for analysis. The prohibited drugs for which each

urine specimen must be tested are marijuana, cocaine, phencyclidine (PCP), opiates, and

amphetamines.

3.1 Introduction

A total of 190,831 samples were collected for all types of drug testing in 1997. The types of

tests administered are: pre-employment; random; post-accident; reasonable suspicion; return-toduty; and follow-up. The results of the random drug testing provide an indication of the overall

level of industry-wide drug use among FTA-covered transit system and contractor employees.

As shown in Table 3-1, in 1997 a total of 107,047 specimens were collected under random drug

testing during the year. Overall, 1.21 percent of those specimens tested positive for one or more

of the five prohibited drugs. Among transit systems, 1.06 percent of all random specimens tested

positive, and among contractors 1.92 percent tested positive.

Table 3-1. 1997 Random Drug Test Results

Employer Number of

Specimens

Number

Positive

Percent

Positive

Transit

Systems 88,799 945 1.06

Contractors 18,248 350 1.92

Totals 107,047 1,295 1.21

Among large operators, 1.17 percent of all random specimens tested positive, and among small

operators 1.34 percent tested positive, as depicted in Table 3-2. The FTA drug rule provides that

if the results from industry-wide drug testing are less than 1.00 percent for 2 consecutive years,

then the FTA may lower the required random drug testing rate from the current 50 percent

requirement to 25 percent. However, in 1995, 1996, and 1997, the industry-wide random

positive rate exceeded 1.00 percent.

Table 3-2. Random Drug Test Results

by Employer Size for 1997

Operator Size Number of

Specimens

Number

Positive

Percent

Positive

Large 83,608 982 1.17

Small 23,439 313 1.34

Totals 107,047 1,295 1.21
1997 Annual Report 3-2

3.2 Results of Drug Tests Presented by Test Types

Six types of drug testing information are required of transit systems and their contractors: preemployment; random; post-accident; reasonable suspicion; return-to-duty; and follow-up. Table

3-3 presents drug test results by test type for transit systems, contractors, and their combined

totals. It shows the number of specimens collected, the number of positive results, and the

percent of positive results. The totals indicate that the positive drug test results show some

variation when viewed by test types. Over all employment categories, 8.08 percent of the

reasonable suspicion tests were positive. Return-to-duty tests were 3.37 percent positive. Preemployment, post-accident, and follow-up tests were 2.69, 1.87, and 1.76 percent, respectively.

Random tests had the lowest percentage of positive results at 1.21 percent.

The positive results were higher for contractors than for transit systems in all six testing

categories. For pre-employment testing, contractors had 3.81 percent positive versus 1.98

percent for transit systems. Random testing rates were 1.92 percent and 1.06 percent for

contractors and transit systems, respectively. For post-accident testing, contractors exceeded

transit systems with a positive rate of 2.94 percent versus 1.59 percent. Reasonable suspicion

testing yielded a testing rate of 15.20 percent for contractors and 6.30 percent for transit systems.

Contractors had 6.67 percent positive tests for return-to-duty testing versus 2.80 percent for

transit systems. For follow-up testing contractors and transit systems had positive testing rates of

4.05 percent and 1.65 percent, respectively.

3.2.1 Pre-Employment Drug Test Results

Pre-employment drug test results produced an overall positive rate of 2.69 percent. Transit

systems had 1.98 percent positive, while contractors had 3.81 percent positive.

For pre-employment testing, CDL/non-revenue vehicle personnel had the highest overall positive

result, at 3.80 percent. For transit systems, this employee category was also the highest at 4.09

percent. For contractors, revenue vehicle and equipment maintenance workers had the highest

positive result at 6.27 percent. For both transit systems and contractors, armed security

personnel had the lowest positive rate, with 0.20 percent and 0.27 percent, respectively.
1997 Annual Report 3-3

Table 3-3. Drug Test Results by Test Type and Employee Category for 1997

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 32,419 643 1.98% 20,506 781 3.81% 52,925 1,424 2.69%

Random 88,799 945 1.06% 18,248 350 1.92% 107,047 1,295 1.21%

Post-Accident 10,914 173 1.59% 2,962 87 2.94% 13,876 260 1.87%

Reasonable Suspicion 881 59 6.70% 171 26 15.20% 1,052 85 8.08%

Return-to-Duty 1,854 52 2.80% 315 21 6.67% 2,169 73 3.37%

Follow-Up 13,120 216 1.65% 642 26 4.05% 13,762 242 1.76%

TOTALS 147,987 2,088 1.41% 42,844 1,291 3.01% 190,831 3,379 1.77%

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 26,062 491 1.88% 18,278 699 3.82% 44,340 1,190 2.68%

Revenue Veh. and Equip. Maint. 4,130 114 2.76% 1,068 67 6.27% 5,198 181 3.48%

Revenue Veh. Control/Disp. 1,117 12 1.07% 720 13 1.81% 1,837 25 1.36%

CDL/Non-Revenue Vehicle 611 25 4.09% 73 1 1.37% 684 26 3.80%

Armed Security Personnel 499 1 0.20% 367 1 0.27% 866 2 0.23%

RANDOM

Revenue Vehicle Operation 59,759 667 1.12% 14,101 292 2.07% 73,860 959 1.30%

Revenue Veh. and Equip. Maint. 19,826 211 1.06% 2,197 36 1.64% 22,023 247 1.12%

Revenue Veh. Control/Disp. 5,861 35 0.60% 1,329 18 1.35% 7,190 53 0.74%

CDL/Non-Revenue Vehicle 1.910 32 1.68% 202 1 0.49% 2,112 33 1.56%

Armed Security Personnel 1,443 0 0.00% 419 3 0.72% 1,862 3 0.16%
1997 Annual Report 3-4

Table 3-3. Drug Test Results by Test Type and Employee Category for 1997 (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 9,906 162 1.64% 2,793 84 3.01% 12,699 246 1.94%

Revenue Veh. and Equip. Maint. 703 10 1.42% 112 2 1.79% 815 12 1.47%

Revenue Veh. Control/Disp. 163 0 0.00% 24 0 0.00% 187 0 0.00%

CDL/Non-Revenue Vehicle 79 1 1.27% 14 0 0.00% 93 1 1.08%

Armed Security Personnel 63 0 0.00% 19 1 5.26% 82 1 1.22%

REASONABLE SUSPICION

Revenue Vehicle Operation 729 45 6.17% 143 18 12.59% 872 63 7.22%

Revenue Veh. and Equip. Maint. 101 12 11.88% 22 7 31.82% 123 19 15.44%

Revenue Veh. Control/Disp. 36 0 0.00% 2 0 0.00% 38 0 0.00%

CDL/Non-Revenue Vehicle 15 2 13.33% 4 1 25.00% 19 3 15.79%

Armed Security Personnel 0 0 0.00% 0 0 0.00% 0 0 0.00%

RETURN-TO-DUTY

Revenue Vehicle Operation 1,336 32 2.40% 279 19 6.81% 1,615 51 3.16%

Revenue Veh. and Equip. Maint. 397 14 3.53% 27 2 7.41% 424 16 3.77%

Revenue Veh. Control/Disp. 47 5 10.64% 4 0 0.00% 51 5 9.80%

CDL/Non-Revenue Vehicle 52 1 1.92% 1 0 0.00% 53 1 1.89%

Armed Security Personnel 22 0 0.00% 4 0 0.00% 26 0 0.00%

FOLLOW-UP

Revenue Vehicle Operation 8,491 139 1.64% 558 19 3.41% 9,049 158 1.75%

Revenue Veh. and Equip. Maint. 3,599 62 1.72% 59 7 11.86% 3,658 69 1.89%

Revenue Veh. Control/Disp. 495 6 1.21% 21 0 0.00% 516 6 1.16%

CDL/Non-Revenue Vehicle 500 7 1.40% 4 0 0.00% 504 7 1.39%

Armed Security Personnel 35 2 5.71% 0 0 0.00% 35 2 5.71%
1997 Annual Report 3-5

3.2.2 Random Drug Test Results

Random testing was the most frequently conducted test industry-wide (56.10% of all tests).

Random testing also was the most frequently conducted test type by transit systems (60%).

However, random testing was not the most frequently conducted test type by contractors

(42.59%). Contractors conducted more pre-employment tests than any other test type (47.86%).

Random testing accounted for the lowest percent of positive results compared to the other testing

categories, resulting in a positive result of 1.21 percent industry-wide. Random testing had the

lowest positive rate for both transit systems (1.06%) and contractors (1.92%). Within this same

category, only revenue vehicle control and dispatch employees and armed security personnel had

overall positive rates less than 1.00 percent.

3.2.3 Post-Accident Drug Test Results

Post-accident testing was 1.59 percent positive for transit systems and 2.94 percent positive for

contractors. For contractors, there were no positive tests for CDL/non-revenue and revenue

vehicle control/dispatch for this test type. The contractor employee category reporting the

highest positive result was armed security personnel, with 5.26 percent. For transit systems, the

revenue vehicle operator category ranked highest at 1.64 percent positive.

3.2.4 Reasonable Suspicion Drug Test Results

Reasonable suspicion testing produced the highest percent of positive results for transit systems,

contractors, and industry-wide (6.30%, 15.20%, and 8.08% respectively). However, while this

testing type accounted for the highest percent of positive results, it was the least often conducted

test. Overall, it accounted for 1,052 tests or 0.55 percent of all drug tests administered.

Within the reasonable suspicion category, CDL/non-revenue vehicle personnel tested positive

most frequently with a rate of 15.79 percent. Revenue vehicle operators and equipment

maintenance employees had the next highest rate within this test type at 15.44 percent. Among

contractors, positive results were found more often for tests of revenue vehicle and equipment

maintenance, CDL/non-revenue vehicle, and revenue vehicle operator personnel than for transit

system employees in the same categories (31.82% vs. 11.88%; 25.00% vs. 13.33%; and 12.59%

vs. 6.17%).

For both transit agencies and contractors there were no positive reasonable suspicion tests for

revenue vehicle control/dispatch and armed security personnel.

3.2.5 Return-to-Duty Drug Test Results

Overall, 3.37 percent of the specimens tested in the return-to-duty category were positive.

Transit systems reported positive test results of 2.80 percent. Contractors indicated positive test

results at 6.67 percent.
1997 Annual Report 3-6

Overall, the revenue vehicle control/dispatch employee category had the highest percent of

positive results within this test type at 9.80 percent. Revenue vehicle and equipment

maintenance employees ranked second with 3.77 percent. No positive results were found for the

26 tests conducted for armed security personnel (22 tests conducted by transit systems and four

by contractors).

3.2.6 Follow-Up Drug Test Results

Overall results for follow-up testing were 1.76 percent positive for follow-up drug testing.

Transit systems reported results at 1.65 percent positive. Contractors reported a higher positive

result of 4.05 percent. The majority of tests in this category were conducted by transit systems

(13,120, or 95.33%).

Overall within this test type, the armed security personnel employee category accounted for the

highest percent of positive results at 5.71 percent, and the revenue vehicle and equipment

maintenance employee category ranked second with 1.89 percent positive test results.

3.3 Results of Drug Tests Presented by Employee Category

This section presents drug test results by employee category for transit systems and contractors

and their combined totals. Table 3-4 identifies the number of specimens collected, the number of

positive results, and the percent of positive results.

The majority (74.64%) of the specimens were collected from revenue vehicle operators.

Revenue vehicle and equipment maintenance personnel had the next greatest amount of

specimens collected at 16.90 percent, with the remainder (8.47%) from employees in the other

three categories: revenue vehicle control/dispatch; CDL/non-revenue vehicle; and armed

security personnel.

CDL/non-revenue vehicle operators had the highest positive number of pre-employment drug

tests, while armed security personnel had the lowest. CDL/non-revenue operators, again, had the

highest percentage of positive random drug tests at 1.56 percent, versus armed security personnel

who had the lowest at 0.16 percent.

CDL/non-revenue vehicles had the highest percentage of reasonable suspicion testing (15.79%);

revenue vehicle control/dispatchers and armed security personnel again had none. Revenue

vehicle operators, with 1.94 percent, had the highest rate of post-accident positive drug tests,

while revenue vehicle control/dispatchers had the least, with zero.

Revenue vehicle control/dispatchers had the highest positive rate in one area, return-to-duty

testing, with 9.80 percent, while armed security personnel had the least with zero. Armed

security personnel, however, had the greatest percent of positive follow-up drug tests with 5.71

percent, while revenue vehicle control/dispatchers had the lowest number of positives with 1.16

percent.
1997 Annual Report 3-7

Table 3-4. Drug Test Results by Employee Category and Test Type for 1997

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

TOTALS BY EMPLOYEE CATEGORY, ALL TEST TYPES

Revenue Vehicle Operation 106,283 1,536 1.45% 36,152 1,131 3.13% 142,435 2,667 1.87%

Revenue Veh. and Equip. Maint. 28,756 423 1.47% 3,485 121 3.47% 32,241 544 1.69%

Revenue Veh. Control/Disp. 7,719 58 0.75% 2,100 31 1.48% 9,819 89 0.91%

CDL/Non-Revenue Vehicle 3,167 68 2.15% 298 3 1.01% 3,465 71 2.05%

Armed Security Personnel 2,062 3 0.15% 809 5 0.62% 2,871 8 0.28%

TOTALS 147,987 2,088 1.41% 42,844 1,291 3.01% 190,831 3,379 1.77%

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

REVENUE VEHICLE OPERATOR

Pre-Employment 26,062 491 1.88% 18,278 699 3.82% 44,340 1,190 2.68%

Random 59,759 667 1.12% 14,101 292 2.07% 73,860 959 1.30%

Post-Accident 9,906 162 1.64% 2,793 84 3.01% 12,699 246 1.94%

Reasonable Suspicion 729 45 6.17% 143 18 12.59% 872 63 7.22%

Return-to-Duty 1,336 32 2.40% 279 19 6.81% 1,615 51 3.16%

Follow-Up 8,491 139 1.64% 558 19 3.41% 9,049 158 1.75%

REVENUE VEHICLE AND EQUIPMENT MAINTENANCE

Pre-Employment 4,130 114 2.76% 1,068 67 6.27% 5,198 181 3.48%

Random 19,826 211 1.06% 2,197 36 1.64% 22,023 247 1.12%

Post-Accident 703 10 1.42% 112 2 1.79% 815 12 1.47%

Reasonable Suspicion 101 12 11.88% 22 7 31.82% 123 19 15.45%

Return-to-Duty 397 14 3.53% 27 2 7.41% 424 16 3.77%

Follow-Up 3,599 62 1.72% 59 7 11.86% 3,658 69 1.89%
1997 Annual Report 3-8

Table 3-4. Drug Test Results by Employee Category and Test Type for 1997 (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

REVENUE VEHICLE CONTROL/ DISPATCH

Pre-Employment 1,117 12 1.07% 720 13 1.81% 1,837 25 1.36%

Random 5,861 35 0.60% 1,329 18 1.35% 7,190 53 0.74%

Post-Accident 163 0 0.00% 24 0 0.00% 187 0 0.00%

Reasonable Suspicion 36 0 0.00% 2 0 0.00% 38 0 0.00%

Return-to-Duty 47 5 10.64% 4 0 0.00% 51 5 9.80%

Follow-Up 495 6 1.21% 21 0 0.00% 516 6 1.16%

CDL/NON-REVENUE VEHICLE

Pre-Employment 611 25 4.09% 73 1 1.37% 684 26 3.80%

Random 1,910 32 1.68% 202 1 0.49% 2,112 33 1.56%

Post-Accident 79 1 1.27% 14 0 0.00% 93 1 1.08%

Reasonable Suspicion 15 2 13.33% 4 1 25.00% 19 3 15.79%

Return-to-Duty 52 1 1.92% 1 0 0.00% 53 1 1.89%

Follow-Up 500 7 1.40% 4 0 0.00% 504 7 1.39%

ARMED SECURITY PERSONNEL

Pre-Employment 499 1 0.20% 367 1 0.27% 866 2 0.23%

Random 1,443 0 0.00% 419 3 0.72% 1,862 3 0.16%

Post-Accident 63 0 0.00% 19 1 5.26% 82 1 1.22%

Reasonable Suspicion 0 0 0.00% 0 0 0.00% 0 0 0.00%

Return-to-Duty 22 0 0.00% 4 0 0.00% 26 0 0.00%

Follow-Up 35 2 5.71% 0 0 0.00% 35 2 5.71%
1997 Annual Report 3-9

3.3.1 Drug Test Results for Revenue Vehicle Operation Category

Industry-wide, the most frequently tested employees were revenue vehicle operators (142,435 of

190,831 tests or 74.63 percent of all tests). In this employee category, 74.61 percent of the

employees tested were from transit systems, while contractors accounted for 25.38 percent of the

tests.

Random testing for this employee category industry-wide resulted in 1.30 percent of the

specimens testing positive. Transit systems recorded a positive rate of 1.12 percent, while

contractors were significantly higher at 2.07 percent. In contrast to random testing, reasonable

suspicion testing resulted in 7.22 percent of the positive tests in this employee category. Positive

result rates for reasonable suspicion testing were also higher than for random testing for both the

transit systems and contractors (6.17% and 12.59%, respectively).

3.3.2 Drug Test Results for Revenue Vehicle and Equipment Maintenance Category

Random drug testing of the revenue vehicle and equipment maintenance category produced an

overall positive rate of 1.12 percent. Transit system employees in this category had a random

positive test rate of 1.06 percent; the positive test rate for contractors was slightly higher at 1.64

percent. Within this employee category, reasonable suspicion testing accounted for the highest

percent of positive specimens for both transit systems and contractors (11.88% and 31.82%,

respectively). For transit systems and contractors, the lowest percent of positives within this

employee category was for random tests; 1.06 percent for transit systems and 1.64 percent for

contractors. Pre-employment, follow-up, and return-to-duty test results in this employee category

also had a higher percent of positives than did random testing for both contractors and transit

systems.

3.3.3 Drug Test Results for Revenue Vehicle Control/Dispatch Category

Random testing in this employee category resulted in 0.74 percent of the specimens testing

positive. Transit systems reported 0.60 percent positive, and contractors reported 1.35 percent

positive.

Within this employee category, return-to-duty tests had the highest percent of positive results

overall (9.80%). There were zero positive return-to-duty tests for contractors; however transit

systems reported a positive rate of 10.64 percent. For transit systems, pre-employment, random,

post-accident, and follow-up testing positives were 1.07 percent, 0.60 percent, 0.00 percent and

1.21 percent, respectively. For contractors, 1.81 percent of pre-employment specimens were

positive and 1.35 percent of random tests were positive.

There were no positive test results for post-accident, reasonable suspicion, return-to-duty, and

follow-up tests for contractors. For transit systems there were no positive results for reasonable

suspicion testing.
1997 Annual Report 3-10

3.3.4 Drug Test Results for CDL/Non-Revenue Vehicle Category

Overall random testing of this employee category resulted in 1.56 percent of the specimens

testing positive. Results for transit systems were 1.68 percent, and lower for contractors at 0.49

percent.

Other testing within this employee category revealed that reasonable suspicion had the highest

percent of positive test results (15.79% overall). This was true for both the transit systems, with

13.33 percent and contractors at 25.00 percent. In addition, contractors reported no positive

results for positive post-accident, return-to-duty, and follow-up testing, while transit systems

reported 1.20 percent, 1.92 percent, and 1.40 percent positive, respectively.

3.3.5 Drug Test Results for Armed Security Personnel Category

Overall positive random test results for armed security personnel were reported at 0.16 percent.

Of the eight total positive results for this employee category, three occurred in random testing.

In addition, there were no positive results reported by transit systems for random, post-accident,

reasonable suspicion and return-to-duty testing. For contractors, there were no positives for

reasonable suspicion, return-to-duty, and follow-up tests.

3.4 Distribution of Positive Drug Test Results

This section presents the distribution of positive drug test results for employees who tested

positive for one or more of the five prohibited drugs. To be recorded as a positive result, an

employee may have tested positive for one drug or a combination of drugs (e.g., marijuana and

cocaine, etc.).

3.4.1 Distribution of Positive Drug Test Results for One or More Drugs

As presented in Table 3-5, of the 190,831 specimens collected for drug testing overall, 77.54

percent (147,987) were collected by transit systems, and 22.45 percent (42,844) were collected

by contractors. Of the 190,831 total specimens collected, 3,379 tested positive for one or more

drugs (1.88%). Transit systems reported 2,088 total positive results, and contractors reported

1,291.
1997 Annual Report 3-11

Table 3-5. Number of Specimens Collected in 1997/Number of Positive

Specimens and the Proportion of the Totals that Each Represents

Transit Systems Contractors Totals

Number Percent of

Total Number Percent ofTotal Number

Number of

Specimens

Collected

147,987 77.54 42,844 22.45 190,831

Number of

Positive

Specimens

2,088 61.79 1,291 38.20 3,379

3.4.2 Distribution of Positive Drug Test Results by Type of Drug

Of the five prohibited drugs, marijuana (THC) was detected most frequently (2,024 of 3,593

specimens or 56.33%), followed by cocaine (1,235 or 34.37%), as indicated in Table 3-6. The

occurrence of PCP was the lowest of the five drug types, with 21 positives (0.58%). It should be

noted that the total number of specimens containing each type of drug is higher than the total

number of positive specimens referenced elsewhere in this report. This discrepancy is due to the

reporting requirement for specimens containing multiple drugs in a single sample. For instance,

one positive sample may have contained two or more drugs.

Table 3-6. Number and Percent of all Positive Specimens for 1997 that

Contained Each Type of Drug by Employer Type

Transit Systems Contractors Totals

Number

Positive

Percent

of Total

Number

Positive

Percent

of Total

Number

Positive

Percent

of Total

Marijuana 1,195 54.02 829 60.03 2,024 56.33

Cocaine 820 37.07 415 30.05 1,235 34.37

PCP 10 0.45 11 0.80 21 0.58

Opiates 93 4.20 45 3.26 138 3.84

Amphetamines 94 4.25 81 5.87 175 4.87

As presented in Table 3-6, the overall number of positive test results for marijuana was 2,024:

1,195 for transit systems and 829 for contractors. For cocaine, the overall number of positive

test results was 1,235: 820 for transit systems and 415 for contractors. The number of positive

test results for amphetamines was 94 for transit systems and 81 for contractors. For transit

systems, the number of positive test results for opiates was 93, while for contractors the number

was 45. There were very few positive test results for PCP was 21: 10 positive for transit systems

and 11 positive for contractors. Figure 3-1 shows the number of positive specimens by drug type

for contractors and transit systems. The figures in the columns should not be totaled because this

will result in double counting those employees who tested positive for more than one drug at the

same time. For example, if an employee tested positive for both marijuana and cocaine it would

have been recorded as one positive result. However, if the numbers from Figure 3-1 are added
1997 Annual Report 3-12

together then this one positive result will be counted both as one positive marijuana test and one

positive cocaine test.

138 21

2,024

1,235

175

0

500

1,000

1,500

2,000

2,500

THC Cocaine PCP Opiates Amphet.

Type of Drug

Transit Systems

Contractors

Totals

Figure 3-1. Number of Positive Specimens by Type of Drug for 1997

Overall, 1.06 percent of all 190,831 specimens collected tested positive for marijuana; 0.81

percent for transit systems and 1.93 percent for contractors, as presented in Figure 3-2. For

cocaine, the overall positive rate was 0.65 percent. For transit systems, the rate was 0.55

percent; the rate was 0.97 percent for contractors. For contractors, the percent positive for

opiates and amphetamines was 0.10 percent and 0.19 percent, respectively. For transit systems,

the percent positive for each of those drugs was 0.06 and 0.07, respectively.

0.07% 0.09%

0.01%

0.65%

1.06%

0.00%

0.50%

1.00%

1.50%

2.00%

2.50%

THC Cocaine PCP Opiates Amphet.

Type of Drug

Transit Systems

Contractors 

Totals

Figure 3-2. Percent of Positive Specimens by Type of Drug for 1997
1997 Annual Report 3-13

3.5 Drug Test Results by FTA Region

This section reports drug test results by FTA region. As seen in Figure 3-3, of the 10 FTA

Regions, Regions 9 and 5 had the highest percent of specimens positive for one or more drugs

with 2.30 and 2.00 percent, respectively. Region 6 was third, with 1.81 percent positive.

1.54%

2.30%

1.78%

1.65%

1.81%

2.00%

1.69%

1.78%

1.24%

1.50%

0.00%

0.50%

1.00%

1.50%

2.00%

2.50%

1 2 3 4 5 6 7 8 9 10

FTA Region

Figure 3-3. Percent of Positive Overall Drug Specimens by FTA Region for 1997

Figure 3-4 presents the regional distribution of positive drug test results. Marijuana had the

highest percent of positive results in 9 out of the 10 regions. In Region 2, the rate of cocaine

positives was slightly higher than the rate of marijuana positives (0.62% and 0.61%,

respectively).

Region 5 had the highest percent of positive marijuana specimens with 1.26 percent. Regions 9

and 4 were second and third (1.25% and 1.18%, respectively). Region 2 had the lowest percent

of specimens positive for marijuana with 0.61 percent. For cocaine, Region 3 had the highest

percent of positive specimens with 0.78 percent. The region with the lowest percent of

specimens positive for cocaine was Region 10 with 0.25 percent. Across all FTA Regions, the

percent positive for PCP was at or below 0.02 percent. In fact, four regions had zero positives

for this category (Regions 1, 4, 8, and 10). The results for opiate testing did not exceed 0.12

percent. For amphetamines, Region 9 had the highest positive rate with 0.43 percent. Two

regions, Regions 1 and 2 had zero positives for amphetamines.
1997 Annual Report 3-14

Figure 3-4. Percent of Specimens Testing Positive for Each of the Drug Types by FTA

Region for 1997

3.6 Drug Test Refusals

When directed to provide specimens for drug testing, some employees refused to be tested. In

1997, there were 69 reported cases of a covered employee refusing a random drug test and 33

cases of a covered employee refusing a non-random drug test. This is a total of 102 refusals.

These refusals reflect 0.05 percent of the total number of drug tests attempted.

3.7 Return-to-Duty Positive Rate

The number of employees who returned to duty after a positive drug test or who refused a drug

test was 744. Because the consequences for refusing a drug test and for testing positive on a

return-to-duty test are the same, the MIS form used to collect information from employers

combines these figures.

0.00%

0.20%

0.40%

0.60%

0.80%

1.00%

1.20%

1.40%

1 2 3 4 5 6 7 8 9 10

FTA Region

Marijuana

Cocaine

PCP

Opiates

Amphetamines
1997 Annual Report 3-15

3.8 Pre-Employment Drug Test Results

There were 1,424 positive specimens among the 52,925 pre-employment drug tests administered

in 1997. The number of persons denied a FTA-covered position as a result of a positive test was

1,390, 2.62 percent of the total number of pre-employment drug tests and 97.61 percent of the

prospective employees who tested positive in the pre-employment drug tests.

3.9 Post-Accident Drug Test Results

The reported number of accidents that resulted in a positive post-accident drug test was 260. Of

these reported accidents, 173 were reported by transit systems and 87 were reported by

contractors. The positive post-accident drug test result rate was 2.94 percent for contractors and

1.59 percent for transit systems. As a result of these accidents, there were five fatalities.

3.10 Comparison of Transit System and Contractor Positive Random Drug Test Results

In four out of the five employee categories, contractors had a higher percent of positive random

drug test results than did transit systems (see Table 3-7). The exception was the CDL/nonrevenue vehicle category, in which the transit systems random positive rate was 1.68 percent and

the contractor random positive rate was 0.49 percent.

Contractors conducted a total of 18,248 random drug tests, 17.05 percent of all random drug tests

conducted. From these tests, contractors had a total of 350 positive results or 27.03 percent of

the total number of positive random drug tests (1,295 positive tests). The CDL/non-revenue

personnel had a positive testing rate of 1.56 percent. The employee category with the lowest

percent of positive random test results is armed security personnel with 0.16 percent. The three

remaining employee categories had overall positive rates between 0.74 and 1.30 percent.

Table 3-7. Comparison of Positive Random Drug Test Results for 1997

by Employer Type and Employee Category

Transit System Contractors Totals

Number of

Specimens

Number

Positive

Percent

Positive

Number of

Specimens

Number

Positive

Percent

Positive

Number of

Specimens

Number

Positive

Percent

Positive

Revenue Vehicle

Operation 59,759 667 1.12 14,101 292 2.07 73,860 954 1.30

Vehicle and Equipment

Maintenance 19,826 211 1.06 2,197 36 1.64 22,023 247 1.12

Revenue Vehicle

Control/Dispatch 5,861 35 0.60 1,329 18 1.35 7,190 53 0.74

CDL/Non-Revenue

Vehicle 1,910 32 1.68 202 1 0.49 2,112 33 1.51

Armed Security

Personnel 1,443 0 0 419 3 0.72 1,862 3 0.16

Totals 88,799 945 1.06 18,248 350 1.92 107,047 1,295 1.21
1997 Annual Report 3-16

3.11 Comparison of Large Operator and Small Operator Positive Random Drug Test

Results

In three of the five employee categories, small operators (those operating in areas with

populations of less than 200,000) had a higher percent of positive random drug test results than

did large operators (those operating in areas with populations of 200,000 or more) (see

Table 3-8). In the remaining two categories (CDL/non-revenue vehicle and armed security

personnel) the small operators’ positive rate was 1.46 percent and zero, respectively, and the

large operators’ positive rate was 1.60 percent and 0.17 percent, respectively. The largest

disparity was in the vehicle and equipment maintenance category, in which the small operators

had a positive rate of 1.57 percent, compared to the large operators which had a positive rate of

1.07 percent.

Table 3-8. Comparison of Positive Random Drug Test Results for 1997

by Operator Size

Large Small

Number of

Specimens

Number

Positive

Percent

Positive

Number of

Specimens

Number

Positive

Percent

Positive

Revenue Vehicle

Operation 55,635 713 1.28 18,225 245 1.35

Vehicle and Equipment

Maintenance 19,609 209 1.07 2,414 38 1.57

Revenue Vehicle

Control/Dispatch 5,079 33 0.65 2,111 20 0.95

CDL/Non-Revenue

Vehicle 1,497 24 1.60 615 9 1.46

Armed Security

Personnel 1,788 3 0.17 74 0 0

Totals 83,608 982 1.17 23,439 313 1.34
1997 Annual Report 4-1

4. ALCOHOL TEST RESULTS

This chapter provides background information on the alcohol testing procedures and a summary

of the 1997 alcohol test results. Section 4.1 provides an introduction and explanation of the

testing procedures and the consequences of a screening test result of ≥ 0.02. This section also

examines results of random testing. Sections 4.2 and 4.3 present a detailed examination of the

findings according to test type and employee category. The other sections of the chapter include

information on results by Federal Transit Administration (FTA) region, employees who refused

testing, employees who were returned to duty, the violation rate, a comparison between transit

systems and contractors, and a comparison between large and small operators.

4.1 Introduction

FTA regulations prohibit covered

employees who perform safetysensitive functions from reporting to

duty or staying on duty while having an

alcohol concentration ≥ 0.02. In

addition, employees are prohibited from

using alcohol within four hours prior to

performing safety-sensitive functions

and from consuming alcohol while oncall. Because employees are prohibited

from using alcohol while performing

safety-sensitive functions, an employer

who has knowledge that an employee is

using alcohol must prohibit that

employee from performing these functions. (An on-call employee must be given the opportunity

to acknowledge use of alcohol at the time he or she is called to duty and must be given an

alcohol test if the employee claims to be able to perform his or her safety-sensitive function).

The FTA provides two different sets of consequences (see Figure 4-1) should an alcohol

confirmation test show that an employee’s alcohol concentration is (1) ≥ 0.02 but < 0.04, or (2) ≥

0.04. A confirmation test result that shows an alcohol concentration ≥ 0.04 results in the

employee’s removal from his or her safety-sensitive position. The alcohol concentration level is

the alcohol in a volume of breath expressed in terms of grams of alcohol per 210 liters of breath.

Alcohol tests are conducted in two parts: a screening test followed by a confirmation test for

those employees whose screening test results indicate a ≥ 0.02 alcohol concentration.

The data collected by the FTA from transit systems and contractors include information on the

number of screening tests conducted, the number of confirmation tests conducted, and the results

from these confirmation tests. In this report, the alcohol test results are derived from the number

of screening tests conducted and found to be ≥ 0.04. The number of screening tests is used to

better reflect accurate testing percentages. Because confirmation tests are only performed once a

screening test has resulted in a result ≥ 0.02, to report rates ≥ 0.04 out of confirmation tests

would result in high and misleading percentages.

An employee with a concentration of ≥ 0.02 but <

0.04 must be removed from his or her safetysensitive position for 8 hours or until a re-test

shows an alcohol concentration of < 0.02.

An employee with an alcohol concentration of ≥

0.04 must be removed from his or her safetysensitive position, be told about educational and

treatment programs available, and be referred to

a substance abuse professional.

Figure 4-1. Consequences of an Alcohol Test for

FTA-Covered Employees
1997 Annual Report 4-2

Table 4-1 shows the results of random alcohol testing for transit systems and contractors.

Random alcohol testing was the type of test conducted most frequently (62,161 out of a total of

93,410 tests conducted). Although Table 4-1 shows the number of random “positives” for

alcohol tests ≥ 0.02 but < 0.04, for reporting purposes verified positives are considered ≥ 0.04.

Table 4-1. Random Alcohol Test Results at Both Levels for Transit Systems

and Contractors for 1997

Employer Total

Screens

Number

0.02 - 0.04

Number

≥ 0.04

Percent

0.02 - 0.04

Percent

≥ 0.04

Transit Systems 52,260 51 76 0.10 0.15

Contractors 9,901 12 9 0.12 0.09

Totals 62,161 63 85 0.10 0.14

Figure 4-2 provides the random test results for transit systems and contractors and their

combined totals at both the lower level (0.02 to < 0.04) and at the higher level (≥ 0.04) alcohol

concentrations. The results differed only slightly between transit systems and contractors.

Transit systems had a slightly greater percent of random alcohol test results at the higher level, ≥

0.04. At the higher level of ≥ 0.04, transit systems had a 0.15 percent positive rate and

contractors had a 0.09 percent positive rate. At the lower level, transit systems had a 0.10

percent positive rate and contractors were slightly higher with a 0.12 percent positive rate. Since

there were a greater number of tests administered by transit systems, the number of random

alcohol tests at ≥ 0.04 percent are also greater for transit systems (76) than for contractors (9).

0.00%

0.02%

0.04%

0.06%

0.08%

0.10%

0.12%

0.14%

0.16%

Contractor Transit System Totals

% >= 0.02 & < 0.04

% >= 0.04

Figure 4-2. Percent of Random Alcohol Tests at Both Levels in 1997
1997 Annual Report 4-3

4.2 Results of Alcohol Testing Presented by Test Type

Alcohol test information was required from transit systems and their contractors for five test

types: random; post-accident; reasonable suspicion; return-to-duty; and follow-up. The

requirement to conduct pre-employment testing was suspended by the FTA as of May 10, 1995.

However, some employers continued to submit data for pre-employment testing in 1997. In an

effort to be comprehensive, the FTA is reporting these data as submitted.

Table 4-2 presents the alcohol test results by test type and by employee category, for transit

systems and contractors and identifies the combined totals. This table also presents the number

of screening tests administered, the number of test results ≥ 0.04, and the percent of test results ≥

0.04.

The totals indicate that alcohol test results ranged from 0.07 percent for pre-employment to 9.09

percent for reasonable suspicion. However, discounting reasonable suspicion, all of the other

test types had test results ≥ 0.04 that were below 0.30 percent.
1997 Annual Report 4-

4

Table 4-2. Alcohol Test Results by Test Type and Employee Category for 1997

Transit Systems Contractors Totals

Test Type

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

TOTALS BY TEST TYPE, ALL EMPLOYEE CATEGORIES

Pre-Employment 3,985 2 0.05% 2,691 3 0.11% 6,676 5 0.07%

Random 52,260 76 0.15% 9,901 9 0.09% 62,161 85 0.14%

Post-Accident 10,860 12 0.11% 2,622 6 0.23% 13,482 18 0.13%

Reasonable Suspicion 784 60 7.65% 140 24 17.14% 924 84 9.09%

Return-to-Duty 1,402 3 0.21% 144 0 0.00% 1,546 3 0.19%

Follow-Up 8,273 23 0.28% 348 2 0.57% 8,621 25 0.29%

TOTALS 77,564 176 0.23% 15,846 44 0.28% 93,410 220 0.24%

Transit Systems Contractors Totals

Employee Category

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

PRE-EMPLOYMENT

Revenue Vehicle Operations 3,182 1 0.03% 2,357 3 0.13% 5,539 4 0.07%

Vehicle and Equipment Maintenance 481 1 0.21% 162 0 0.00% 643 1 0.16%

Revenue Vehicle Control/Dispatch 113 0 0.00% 67 0 0.00% 180 0 0.00%

CDL/Non-Revenue Vehicle 97 0 0.00% 8 0 0.00% 105 0 0.00%

Armed Security Personnel 112 0 0.00% 97 0 0.00% 209 0 0.00%

RANDOM

Revenue Vehicle Operations 35,161 44 0.13% 7,570 6 0.08% 42,731 50 0.12%

Vehicle and Equipment Maintenance 11,767 28 0.24% 1,199 1 0.08% 12,966 29 0.22%

Revenue Vehicle Control/Dispatch 3,210 3 0.09% 711 2 0.28% 3,921 5 0.13%

CDL/Non-Revenue Vehicle 1,128 1 0.09% 110 0 0.00% 1,238 1 0.08%

Armed Security Personnel 994 0 0.00% 311 0 0.00% 1,305 0 0.00%
1997 Annual Report 4-5

Table 4-2. Alcohol Test Results by Test Type and Employee Category for 1997 (continued)

Transit Systems Contractors Totals

Employee Category

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

POST-ACCIDENT

Revenue Vehicle Operations 9,799 10 0.10% 2,471 5 0.20% 12,270 15 0.12%

Vehicle and Equipment Maintenance 751 0 0.00% 99 0 0.00% 850 0 0.00%

Revenue Vehicle Control/Dispatch 162 1 0.62% 21 0 0.00% 183 1 0.55%

CDL/Non-Revenue Vehicle 84 1 1.19% 13 0 0.00% 97 1 1.03%

Armed Security Personnel 64 0 0.00% 18 1 5.55% 82 1 1.22%

REASONABLE SUSPICION

Revenue Vehicle Operations 638 39 6.11% 126 20 15.87% 764 59 7.72%

Vehicle and Equipment Maintenance 98 12 12.24% 12 3 25.00% 110 15 13.64%

Revenue Vehicle Control/Dispatch 34 6 17.65% 0 0 0.00% 34 6 17.65%

CDL/Non-Revenue Vehicle 14 3 21.42% 2 1 50.00% 16 4 25.00%

Armed Security Personnel 0 0 0.00% 0 0 0.00% 0 0 0.00%

RETURN-TO-DUTY

Revenue Vehicle Operations 992 0 0.00% 124 0 0.00% 1,116 0 0.00%

Vehicle and Equipment Maintenance 322 2 0.62% 12 0 0.00% 334 2 0.60%

Revenue Vehicle Control/Dispatch 34 1 2.94% 3 0 0.00% 37 1 2.70%

CDL/Non-Revenue Vehicle 33 0 0.00% 1 0 0.00% 34 0 0.00%

Armed Security Personnel 21 0 0.00% 4 0 0.00% 25 0 0.00%

FOLLOW-UP

Revenue Vehicle Operations 5,290 10 0.19% 263 0 0.00% 5,553 10 0.18%

Vehicle and Equipment Maintenance 2,275 9 0.40% 77 2 2.60% 2,352 11 0.47%

Revenue Vehicle Control/Dispatch 311 1 0.32% 5 0 0.00% 316 1 0.32%

CDL/Non-Revenue Vehicle 363 3 0.83% 3 0 0.00% 366 3 0.82%

Armed Security Personnel 34 0 0.00% 0 0 0.00% 34 0 0.00%
1997 Annual Report 4-6

4.2.1 Pre-Employment Alcohol Test Results

The FTA suspended the requirement for pre-employment alcohol testing as of May 10, 1995.

The suspension of this test accounts for the low number of pre-employment tests administered

and reported. Of the 6,676 pre-employment alcohol tests, 5 (or 0.07%) were ≥ 0.04. Because

these tests were not required, and results were reported voluntarily, these reported results should

not be considered reflective of industry wide pre-employment alcohol testing.

4.2.2 Random Alcohol Test Results

Random testing was the most frequently conducted test industry-wide (62,161 of 93,410 tests or

66.55%), as shown in Table 4-2. Of the random alcohol tests conducted, 0.14 percent were ≥

0.04. For both transit systems and contractors, random testing was the most frequently

conducted test, accounting for 67.38 percent and 62.48 percent of the tests administered,

respectively. Most of the random test results ≥ 0.04 occurred in one of two employee categories

(revenue vehicle operation or revenue vehicle and equipment maintenance). These two

categories account for 92.94 percent of all random test results ≥ 0.04 (79 out of 85). The three

remaining categories (revenue vehicle control/dispatch, CDL/non-revenue vehicle and armed

security personnel) combined, account for 6 random test results ≥ 0.04.

4.2.3 Post-Accident Alcohol Test Results

Post-accident tests were performed most frequently after random tests, accounting for 14.43

percent of the overall tests (13,482 out of 93,410 tests). Post-accident test results ≥ 0.04 were

0.11 percent for transit systems and 0.23 percent for contractors. The results ≥ 0.04 were found

primarily in the revenue vehicle operation employee category (15 of 18 tests).

4.2.4 Reasonable Suspicion Alcohol Test Results

Reasonable suspicion testing produced the highest percent of test results ≥ 0.04 for all operators,

as well as for transit systems and contractors (9.09%, 7.65%, and 17.14%, respectively).

However, while this test type accounted for the highest percent of results ≥ 0.04, it was the least

often administered test. In total, this test type accounted for 924 tests or 0.99 percent of all

alcohol tests administered.

Transit systems had 7.65 percent test results ≥ 0.04, and contractors had 17.14 percent. Within

the employee categories, CDL/non-revenue vehicle had the highest percent of results ≥ 0.04

(25.00%). There were no tests conducted for armed security personnel. The actual number of

test results ≥ 0.04 were the highest for revenue vehicle operations (59) although it had the lowest

percent of test results ≥ 0.04 (7.72%) of any category other than armed security personnel.
1997 Annual Report 4-7

4.2.5 Return-to-Duty Alcohol Test Results

Return-to-duty testing resulted in 0.19 percent of tests ≥ 0.04. This test had the third highest

percent of test results ≥ 0.04. Of the 1,546 tests conducted, all but 144 were conducted by transit

systems. Only three test results ≥ 0.04 were detected, all in transit systems.

4.2.6 Follow-Up Alcohol Test Results

Follow-up testing resulted in 0.29 percent of tests ≥ 0.04. Of the 25 results ≥ 0.04, 23 (92.00%)

were for transit systems. Two employee categories accounted for most of the results ≥ 0.04:

revenue vehicle operation and revenue vehicle and equipment maintenance (21 out of 25 tests).

No test results ≥ 0.04 were reported in the armed security personnel category for transit systems

or contractors.

4.3 Results of Alcohol Testing Presented by Employee Category

Table 4-3 presents the information for alcohol testing by employee category and test type for

transit systems, contractors, and totals. This table shows the number of screening tests

administered, the number of test results ≥ 0.04, and the percent of test results ≥ 0.04. When

examining each employee category, random tests were used as a measure because random tests

were the most frequently conducted test and may be the most indicative of alcohol use by FTAcovered employees of transit systems and contractors.

There is some variation in the results of random alcohol testing ≥ 0.04 among employee

categories. The CDL/non-revenue vehicle employee category had the highest percent of results

≥ 0.04 (0.48%). The revenue vehicle operation employee category had a rate of 0.20 percent ≥

0.04. The revenue vehicle equipment maintenance employee category had the second highest

percent of results ≥ 0.04 (0.34%). Revenue vehicle control/dispatch had a rate of 0.30 percent.

Armed security personnel had one random test result ≥ 0.04 out of 1,655 tests performed.
1997 Annual Report 4-8

Table 4-3. Alcohol Test Results by Employee Category and Test Type for 1997

Transit Systems Contractors Totals

Employee Category

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

TOTALS BY EMPLOYEE CATEGORY, ALL TEST TYPES

Revenue Vehicle Operations 55,062 104 0.19% 12,911 34 0.26% 67,973 138 0.20%

Revenue Veh. and Equip. Maint. 15,694 52 0.33% 1,561 6 0.38% 17,255 58 0.34%

Revenue Veh. Control/Dispatch 3,864 12 0.31% 807 2 0.25% 4,671 14 0.30%

CDL/Non-Revenue Vehicle 1,719 8 0.47% 137 1 0.73% 1,856 9 0.48%

Armed Security Personnel 1,225 0 0.00% 430 1 0.23% 1,655 1 0.06%

TOTALS 77,564 176 0.23% 15,846 44 0.28% 93,410 220 0.24%

Transit Systems Contractors Totals

Test Type

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

REVENUE VEHICLE OPERATIONS

Pre-Employment 3,182 1 0.03% 2,357 3 0.13% 5,539 4 0.07%

Random 35,161 44 0.13% 7,570 6 0.08% 42,731 50 0.12%

Post-Accident 9,799 10 0.10% 2,471 5 0.20% 12,270 15 0.12%

Reasonable Suspicion 638 39 6.11% 126 20 15.87% 764 59 7.72%

Return-to-Duty 992 0 0.00% 124 0 0.00% 1,116 0 0.00%

Follow-Up 5,290 10 0.19% 263 0 0.00% 5,553 10 0.18%

REVENUE VEHICLE AND EQUIPMENT MAINTENANCE

Pre-Employment 481 1 0.21% 162 0 0.00% 643 1 0.16%

Random 11,767 28 0.24% 1,199 1 0.08% 12,966 29 0.22%

Post-Accident 751 0 0.00% 99 0 0.00% 850 0 0.00%

Reasonable Suspicion 98 12 12.24% 12 3 25.00% 110 15 13.64%

Return-to-Duty 322 2 0.62% 12 0 0.00% 334 2 0.60%

Follow-Up 2,275 9 0.40% 77 2 2.60% 2,352 11 0.47%
1997 Annual Report 4-

9

Table 4-3. Alcohol Test Results by Employee Category and Test Type for 1997 (continued)

Transit Systems Contractors Totals

Test Type

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

REVENUE VEHICLE CONTROL/DISPATCH

Pre-Employment 113 0 0.00% 67 0 0.00% 180 0 0.00%

Random 3,210 3 0.09% 711 2 0.28% 3,921 5 0.13%

Post-Accident 162 1 0.62% 21 0 0.00% 183 1 0.55%

Reasonable Suspicion 34 6 17.65% 0 0 0.00% 34 6 17.65%

Return-to-Duty 34 1 2.94% 3 0 0.00% 37 1 2.70%

Follow-Up 311 1 0.32% 5 0 0.00% 316 1 0.32%

CDL/NON-REVENUE VEHICLE

Pre-Employment 97 0 0.00% 8 0 0.00% 105 0 0.00%

Random 1,128 1 0.09% 110 0 0.00% 1,238 1 0.08%

Post-Accident 84 1 1.19% 13 0 0.00% 97 1 1.03%

Reasonable Suspicion 14 3 21.43% 2 1 50.00% 16 4 25.00%

Return-to-Duty 33 0 0.00% 1 0 0.00% 34 0 0.00%

Follow-Up 363 3 0.83% 3 0 0.00% 366 3 0.82%

ARMED SECURITY PERSONNEL

Pre-Employment 112 0 0.00% 97 0 0.00% 209 0 0.00%

Random 994 0 0.00% 311 0 0.00% 1,305 0 0.00%

Post-Accident 64 0 0.00% 18 1 5.56% 82 1 1.22%

Reasonable Suspicion 0 0 0.00% 0 0 0.00% 0 0 0.00%

Return-to-Duty 21 0 0.00% 4 0 0.00% 25 0 0.00%

Follow-Up 34 0 0.00% 0 0 0.00% 34 0 0.00%
1997 Annual Report 4-10

4.3.1 Alcohol Test Results for Revenue Vehicle Operation Category

As Table 4-3 demonstrates, more tests were conducted on revenue vehicle operators (67,973 of

93,410 tests or 72.77%) than any other employee category. Transit systems administered 70.99

percent of their tests on revenue vehicle operators while the number for contractors was 81.48

percent.

Within the revenue vehicle operator employee category, reasonable suspicion testing accounted

for the highest percent of test results ≥ 0.04 (7.72%). The percent of test results ≥ 0.04 for

random testing and all other testing types was below 0.20 percent. Return-to-duty testing was

the lowest with zero test results ≥ 0.04. Contractors reported no return-to-duty or follow-up test

results ≥ 0.04 in this employee category. As noted above, little variation in the percent of test

results ≥ 0.04 exists when comparing random testing results for the revenue vehicle operation

category with other employee categories.

4.3.2 Alcohol Test Results for Revenue Vehicle and Equipment Maintenance Category

The percent of random alcohol test results ≥ 0.04 for this employee category was 0.22 percent

(29 of 12,966 tests)—the highest random rate recorded for all of the employee categories. Of the

29 random test results ≥ 0.04, 28 (96.55%) were for transit system employees.

Within the revenue vehicle and equipment maintenance employee category, reasonable suspicion

testing accounted for the highest percent of test results ≥ 0.04 (13.64%). There were no postaccident test results ≥ 0.04 for either transit systems or contractors within this employee

category. The other testing types had rates ranging from 0.16 percent to 13.64 percent. In

addition to post-accident tests, contractor results show no pre-employment or return-to-duty test

results ≥ 0.04 in this employee category.

4.3.3 Alcohol Test Results for Revenue Vehicle Control/Dispatch Category

Testing for transit systems and contractors in this employee category resulted in 0.31 and 0.25

percent results ≥ 0.04, respectively. The percent of random alcohol test results ≥ 0.04 for this

employee category was 0.13 percent. Most of the tests conducted within this employee category

were random tests, which accounted for 83.94 percent of all testing. Within this employee

category, reasonable suspicion had the highest percent of test results ≥ 0.04 (17.65%). Three test

types (post-accident, return-to-duty, and follow-up) each recorded one result ≥ 0.04. There were

zero reasonable suspicion tests administered.
1997 Annual Report 4-11

4.3.4 Alcohol Test Results for CDL/Non-Revenue Vehicle Category

Industry wide random testing in this employee category resulted in 0.48 percent of the tests being

≥ 0.04. There were only 9 test results ≥ 0.04 for all test types within this employee category.

Reasonable suspicion testing had the highest percent of test results ≥ 0.04 at 25.00 percent.

However, it is important to note that reasonable suspicion testing only accounted for 16 of 1,856

tests and had 4 results ≥ 0.04. No results ≥ 0.04 were found for return-to-duty testing in this

employee category.

4.3.5 Alcohol Test Results for Armed Security Personnel Category

Random testing in this employee category resulted in no test results ≥ 0.04. There was only one

test result ≥ 0.04 out of 1,655 (0.06%). This test was a post-accident test administered by a

contractor. Armed security personnel was the employee category least tested, comprising only

1.8 percent of the total number of screening tests administered.

4.4 Alcohol Test Results by FTA Region

This section presents alcohol test results by FTA Region. A listing of states found in each FTA

Region can be found in Appendix A. Figure 4-3 shows test results ≥ 0.04 combined across all

alcohol test categories. Region 2 (at 0.34%) was slightly higher than the next closest region,

Region 1. Six of the other regions clustered between 0.19 percent and 0.25 percent.

0.00%

0.05%

0.10%

0.15%

0.20%

0.25%

0.30%

0.35%

0.40%

1 2 3 4 5 6 7 8 9 10

FTA Region

%>= 0.04

Figure 4-3. Percent of Alcohol Test Results ≥ 0.04

by FTA Region for 1997
1997 Annual Report 4-12

4.5 Employees Who Refused Alcohol Testing

The FTA regulations stipulate that no employer shall permit an employee who refuses to submit

to a required alcohol test to perform safety-sensitive functions. Table 4-4 shows that the number

of employees who refused to be tested for alcohol is small (53 employees vs. 93,410 tests

administered). Of the 53 employees who refused testing, 67.92 percent (36) refused a random

test.

Table 4-4. Number of FTA-Covered Employees Who Refused

Alcohol Testing in 1997

Alcohol Test Type Number of

Screening Tests

Number of Employees

Who Refused Testing

Random 62,161 36

Non-Random 31,249 17

Total 93,410 53

4.6 Employees Returned to Duty

For 1997, 216 employees who had previously engaged in alcohol misuse were returned to duty.

Each individual had to undergo a return-to-duty test and have a result indicating an alcohol

concentration < 0.02. However, the reported figure of 216 employees may not be a reliable

number. This figure was the total of all responses to the question on the MIS form that

instructed employers to record the number of employees who had engaged in alcohol misuse and

were returned to duty during the reporting period. In another section of the form, employers

were asked to record the total number of return-to-duty tests conducted; which were 1,546.

4.7 Post-Accident Alcohol Test Results

Employers are required to report the number of accidents that resulted in a post-accident alcohol

test indicating an alcohol concentration ≥ 0.04. Employers reported that there were 17 such

accidents recorded during the reporting period. Furthermore, employers were required to report

the results of their post-accident alcohol testing. Eighteen tests indicated alcohol levels ≥ 0.04

from the 13,482 tests conducted, as shown in Table 4-2.

4.8 Violation Rate

The FTA alcohol testing rule defines the violation rate as the number of random alcohol test

results ≥ 0.04 plus the number of FTA-covered employees who refused a random test, divided by

the total number of random tests plus the number of FTA-covered employees who refused a

random test.
1997 Annual Report 4-13

The formula below presents the violation rate for all operators (transit systems and contractors):

Random alcohol test results ‡ 0.04% + number refused random testing (85 +36) 121

_________________________________________________________ = __________ = _______ = 0.19%

Total random tests + number refused random testing (62,161 +36) 62,197

4.9 Comparison of Transit System and Contractor Random Alcohol Test Results ≥ 0.04

Table 4-5 presents a comparison of the random alcohol test results ≥ 0.04 for transit systems and

contractors. In general, there is a close correlation for each employee category between transit

systems and contractors. Of the 12,966 revenue vehicle and equipment maintenance employees

tested, 90.75 percent were transit system personnel. Of the 29 test results ≥ 0.04, 28 or 96.55%

were transit system personnel. Therefore, the ratio of transit system personnel in this category

(90.75%) corresponds closely with the number of test results ≥ 0.04 (96.55%). The group of

employees having the lowest number of tests was CDL/non-revenue vehicle personnel, with

1,238 tests administered. Contractors showed no random test results ≥ 0.04 in the CDL/nonrevenue vehicle personnel category. Revenue vehicle and equipment maintenance had the

highest percent of test results ≥ 0.04 (0.22%). In addition, transit systems administered 84.07

percent of all the random tests conducted. Of the 85 random test results ≥ 0.04 (for all employee

categories), 76 out of 85 or 89.41% were for transit system employees. For transit systems,

revenue vehicle equipment personnel had the highest percent of test results ≥ 0.04 (0.24%). For

contractors, revenue vehicle control/dispatch personnel had the highest percent of test results ≥

0.04 (0.28%).

Table 4-5. Comparison of Random Alcohol Test Results ≥ 0.04 by Employer Type and

Employee Category for 1997

Transit Systems Contractors Totals

Employee

Category

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent ≥

0.04

Revenue Vehicle

Operations 35,161 44 0.13 7,570 6 0.08 42,731 50 0.12

Revenue Vehicle

and Equipment

Maintenance

11,767 28 0.24 1,199 1 0.08 12,966 29 0.22

Revenue Vehicle

Control/Dispatch 3,210 3 0.09 711 2 0.28 3,921 5 0.13

CDL/NonRevenue Vehicle 1,128 1 0.09 110 0 0.00 1,238 1 0.08

Armed Security

Personnel 994 0 0.00 311 0 0.00 1,305 0 0.00

Totals 52,260 76 0.15 9,901 9 0.09 62,161 85 0.14
1997 Annual Report 4-14

4.10 Comparison of Large Operator and Small Operator Random Alcohol

 Test Results ≥ 0.04

A comparison of large operator and small operator random test results shows that large operators

had a higher percentage of alcohol test results ≥ 0.04 (0.14%) than did small operators (0.10%).

Large operators had a higher percentage of random test results ≥ 0.04 in the revenue vehicle

operation, revenue vehicle and equipment maintenance, revenue vehicle control/dispatch and

CDL/non-revenue vehicle categories. Both types of operators recorded no test results ≥ 0.04 for

armed security personnel. Table 4-6 compares the random test results ≥ 0.04 for large and small

operators by employee category.

Table 4-6. Random Alcohol Test Results ≥ 0.04 for Large and Small Operators by

Employee Category for 1997

Large Operators Small Operators

Employee

Category

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent

≥ 0.04

Number of

Screening

Tests

Number of

Results ≥

0.04

Percent

≥ 0.04

Revenue Vehicle

Operations 32,871 40 0.12 9,860 10 0.10

Revenue Vehicle

and Equipment

Maintenance

11,755 27 0.23 1,211 2 0.17

Revenue Vehicle

Control/Dispatch 2,785 4 0.14 1,136 1 0.09

CDL NonRevenue Vehicle 995 1 0.10 243 0 0.00

Armed Security

Personnel 1,262 0 0.00 43 0 0.00

Totals 49,668 72 0.14 12,493 13 0.10
1997 Annual Report 4-15

Figure 4-4 provides the random test results for large and small operators and their combined total

at both the lower level (0.02 to < 0.04) and at the higher level (≥ 0.04) alcohol concentrations.

Large operators had a higher percentage of random test results ≥ 0.04 for both levels of alcohol

concentrations.

0.00%

0.02%

0.04%

0.06%

0.08%

0.10%

0.12%

0.14%

0.16%

0.18%

0.20%

Small Operators Large Operators Totals

%>= 0.02 & < 0.04

%>= 0.04

Figure 4-4. Comparison of Percent of Random Alcohol Test Results at Both Levels in 1997

for Large and Small Operators
1997 Annual Report 4-16
1997 Annual Report 5-1

5. COMPARISON OF DRUG AND ALCOHOL TEST RESULTS

This section compares the results of drug and alcohol testing conducted by transit systems and

contractors. The comparisons provide information on the overall misuse of these substances by

employee category, operator size, selected testing category, and information about how many

individuals tested positive for drugs and had an alcohol test result ≥ 0.04 at the same time.

5.1 Random Drug and Alcohol Test Results

For both 1996 and 1997, the total number of random tests conducted must have equaled at least

50 percent for drugs and 25 percent for alcohol of the total number of employees performing

safety-sensitive functions. Figure 5-1 presents random testing results for drugs and alcohol. The

results are given separately for transit systems and contractors and as a combined total. The rate

of positive random drug tests in transit systems was 1.06 percent, while the rate of random alcohol

tests ≥ 0.04 was 0.15 percent. The percentages of random drug positives were slightly higher for

contractors (1.92%) than for transit systems, while the random alcohol test results ≥ 0.04 were

slightly lower (0.09%).

0.00%

0.50%

1.00%

1.50%

2.00%

2.50%

Transit Systems Contractors Totals

Alcohol 

Drugs

Figure 5-1. Comparison of 1997 Positive Random Drug and Alcohol

Test Results by Employer Type

5.2 Results of Random Drug and Alcohol Tests by Employee Category

The percent of random positive drug test results for each employee category was higher than the

percent of random alcohol test results ≥ 0.04, as shown in Table 5-1. Exactly 1.21 percent of all

random drug specimens collected were positive and 0.14 percent of random alcohol test results

were ≥ 0.04. CDL/non-revenue vehicle employers had the highest percentage of drug positives

(1.56%) and vehicle and equipment maintenance had the highest percentage of alcohol test results

≥ 0.04 (0.22%). In addition, armed security personnel had the lowest positive percentages for

both drug tests and for alcohol tests ≥ 0.04.
1997 Annual Report 5-2

Table 5-1. Comparison of 1997 Random Drug and Alcohol Test Results

by Employee Category

Alcohol Drugs

Employee Category Number of

Screens

Number of

Results ≥

0.04

Percent ≥

0.04

Number of

Specimens

Number

Positive

Percent

Positive

Revenue Vehicle

Operations

42,731 50 0.12 73,860 959 1.30

Vehicle and Equipment

Maintenance

12,966 29 0.22 22,023 247 1.12

Revenue Vehicle

Control/Dispatch

3,921 5 0.13 7,190 53 0.74

CDL/Non-Revenue

Vehicle

1,238 1 0.08 2,112 33 1.56

Armed Security

Personnel

1,305 0 0.00 1,862 3 0.16

Totals 62,161 85 0.14 107,047 1,295 1.21

As shown in Table 5-2, contractors had a slightly higher percentage of random drug test positives

in four of the five employee categories. The one exception was for the CDL/non-revenue vehicle

category, where the percent positive for transit system specimens was 1.68 percent; for

contractors the rate was 0.49 percent. This employee category had the highest percentage of

positives for transit systems, while the highest percentage of positive specimens for contractors

was revenue vehicle operators at 2.07 percent. The percentage of alcohol test results ≥ 0.04 was

lower for contractors and transit systems. Both had less than 0.20 percent ≥ 0.04 out of the total

number of tests. The highest percentage of alcohol test results ≥ 0.04 for transit systems was

revenue vehicle and equipment maintenance personnel at 0.24 percent. The highest percentage of

alcohol test results ≥ 0.04 for contractors was 0.28 percent for revenue vehicle control/dispatch

personnel, although there were only two test results out of 711 tests.
1997 Annual Report 5-3

Table 5-2. Comparison of 1997 Random Drug and Alcohol Test Results

by Employer Type

Alcohol

Transit Systems Contractors

Employee Category Number of

Screens

Number ≥

0.04

Percent ≥

0.04

Number of

Screens

Number ≥

0.04

Percent ≥

0.04

Revenue Vehicle

Operations

35,161 44 0.13 7,570 6 0.08

Revenue Vehicle and

Equipment Maintenance

11,767 28 0.24 1,199 1 0.08

Revenue Vehicle

Control and Dispatch

3,210 3 0.09 711 2 0.28

CDL/Non-Revenue

Vehicle

1,128 1 0.09 110 0 0.00

Armed Security

Personnel

994 0 0.00 311 0 0.00

Totals 52,260 76 0.15 9,901 9 0.09

Drugs

Transit Systems Contractors

Employee Category Number of

Specimens

Number

Positive

Percent

Positive

Number of

Specimens

Number

Positive

Percent

Positive

Revenue Vehicle

Operations

59,759 667 1.12 14,101 292 2.07

Revenue Vehicle and

Equipment Maintenance

19,826 211 1.06 2,197 36 1.64

Revenue Vehicle

Control/Dispatch

5,861 35 0.60 1,329 18 1.35

CDL/Non-Revenue

Vehicle

1,910 32 1.68 202 1 0.49

Armed Security

Personnel

1,443 0 0.00 419 3 0.72

Totals 88,799 945 1.06 18,248 350 1.92

5.3 Results of Random Drug and Alcohol Tests by Operator Size

Large and small operators combined averaged about 1.21 percent positive for all of the random

specimens collected for drugs, as presented in Table 5-3. Revenue vehicle and equipment

maintenance personnel accounted for the highest percentage of random drug positives for small

operators (1.57%), while CDL/non-revenue vehicle personnel had the highest percentage of

random positive drug tests for large operators (1.60%). The percentage of the total alcohol test

results ≥ 0.04 for large operators was only slightly higher (0.14%) than for small operators

(0.10%). Four of the five employee categories recorded alcohol test results ≥ 0.04 for large

operators and three of five for small operators. Only revenue vehicle and equipment maintenance

(0.17%), revenue vehicle operations (0.10%), and revenue vehicle control/dispatch reported

alcohol test results ≥ 0.04 for small operators. Large operators reported alcohol test results ≥

0.04 for revenue vehicle and equipment maintenance (0.23%), revenue vehicle control/dispatch

(0.14%), revenue vehicle operations (0.12%), and CDL/non-revenue vehicle (0.10%).
1997 Annual Report 5-4

Table 5-3. Comparison of 1997 Random Drug and Alcohol Test Results

by Operator Size

Alcohol

Large Operator Small Operator

Employee Category Number of

Screens

Number ≥

0.04

Percent ≥

0.04

Number of

Screens

Number ≥

0.04

Percent ≥

0.04

Revenue Vehicle Operations 32,871 40 0.12 9,860 10 0.10

Revenue Vehicle and

Equipment Maintenance

11,755 27 0.23 1,211 2 0.17

Revenue Vehicle

Control/Dispatch

2,785 4 0.14 1,136 1 0.09

CDL/Non-Revenue Vehicle 995 1 0.10 243 0 0.00

Armed Security Personnel 1,262 0 0.00 43 0 0.00

Totals 49,668 72 0.14 12,493 13 0.10

Drugs

Large Operator Small Operator

Employee Category Number of

Specimens

Number

Positive

Percent

Positive

Number of

Specimens

Number

Positive

Percent

Positive

Revenue Vehicle Operations 55,635 713 1.28 18,225 246 1.35

Revenue Vehicle and

Equipment Maintenance

19,609 209 1.07 2,414 38 1.57

Revenue Vehicle

Control/Dispatch

5,079 33 0.65 2,111 20 0.95

CDL/Non-Revenue Vehicle 1,497 24 1.60 615 9 1.46

Armed Security Personnel 1,788 3 0.17 74 0 0.00

Totals 83,608 982 1.17 23,439 313 1.34

5.4 Accidents That Resulted in a Positive Post-Accident Drug Test or an Alcohol Test

Result ≥ 0.04

Transit systems and contractors were required by the FTA to report the number of accidents that

resulted in a positive post-accident drug test and/or an alcohol test result ≥ 0.04 and data on postaccident testing of employees involved in both fatal and non-fatal accidents. There were 249

accidents reported that resulted in positive post-accident drug tests. Two of these accidents were

fatal and resulted in five fatalities. All of the 17 accidents resulting in post-accident alcohol tests

with results ≥ 0.04 were non-fatal.

5.5 Pre-Employment Positions Denied

All FTA-covered employees are required to pass a pre-employment drug test before beginning

employment. According to FTA regulations, employers were no longer required to administer
1997 Annual Report 5-5

pre-employment alcohol tests as of May 10, 1995. However, some employers continued to

conduct the tests in 1997 despite the repeal of the testing regulation. Because pre-employment

alcohol testing was not a requirement in 1997, the data that were submitted voluntarily cannot be

considered a dependable representation of the transit industry as a whole, and those results are not

reported here.

The reported pre-employment drug testing results indicate that employers consistently denied

prospective employees safety-sensitive positions when they tested positive for drugs as presented

in Figure 5-2. Prospective employees testing positive for drugs were denied a position 97.61

percent of the time.

1424 1390

0

400

800

1200

1600

Number Positive Number Denied

Figure 5-2. Applicants Denied Positions After a Positive Pre-Employment

Drug Test in 1997

5.6 Employees Who Tested Positive for Drugs and Had an Alcohol Test Result ≥ 0.04

Employers were required to provide the FTA with the number of employees who tested positive

for drugs and had an alcohol test result ≥ 0.04 at the same time. Seven employers (both transit

systems and contractors) reported that they had a total of ten employees who tested positive for

drugs and had an alcohol test result of ≥ 0.04 at the same time.
1997 Annual Report 5-6
1997 Annual Report 6-1

6. COMPARISON OF RESULTS FROM 1996 TO 1997

This chapter compares the results of drug and alcohol testing conducted by all of those

employers who reported in 1996 and 1997. In 1996 a total of 2,287 individual employers

submitted MIS forms; in 1997 the total was 2,317.

6.1 Random Drug and Alcohol Test Results (1996 - 1997)

For both 1996 and 1997, the total number of random tests conducted must have equaled at least

50 percent for drugs and 25 percent for alcohol of the total number of employees performing

safety-sensitive functions. For drug testing, the overall percent of positive random test results

was 1.50 percent in 1996, compared to 1.21 percent in 1997. This change reflects a decrease of

19 percent in the overall rate of positive random drug test results. For transit systems, the

random rate in 1996 was 1.42 percent for positive drug test results and 0.17 percent for alcohol

test results ≥ 0.04. In 1997, the random rate for transit systems was 1.06 percent for positive

drug test results and 0.15 percent for alcohol test results ≥ 0.04. This change reflects a decrease

of nearly 25 percent in the rate of positive random drug test results and a decrease of nearly 12

percent in the rate of random alcohol test results ≥ 0.04. In 1996, the random positive rate for

contractors was 1.84 percent for drug testing and 0.11 percent for alcohol testing. In 1997, the

random positive rate for contractors was 1.92 percent for drug testing and 0.09 percent for

alcohol testing. This change reflects an increase of 4 percent in the rate of positive random drug

test results, and a decrease of 18 percent in the rate of positive random alcohol test results. In

analyzing these results, it must be noted that the individual contractors who report their results

may change from year to year.

In 1996, the overall percent of random alcohol test results ≥ 0.04 was 0.16 percent. In 1997, the

overall percent of random alcohol test results ≥ 0.04 was 0.14 percent. This change reflects a

decrease of nearly 13 percent in the overall rate of random alcohol test results ≥ 0.04. In 1996,

the violation rate was 0.21 percent. The violation rate is the number of random alcohol test

results ≥ 0.04 plus the number of employees who refused a random test divided by the total

number of random tests plus the number of employees who refused a random test. In 1997, the

violation rate dropped to 0.19 percent, nearly a 10 percent decrease from 1996.

6.2 Random Drug Test Results by Employee Category (1996 - 1997)

In 1997, the positive random drug test result rate was within 0.41 percentage points of the 1996

rate for all five employee categories. The positive random drug test result rate decreased in all

five of the employee categories. The percentage point difference (1996 vs. 1997) is greatest in the

revenue vehicle and equipment maintenance and armed security personnel categories (-0.41%)

and smallest in the revenue vehicle control/dispatch category (-0.16%), as illustrated in Table 6-1.
1997 Annual Report 6-2

Table 6-1. Comparison of Positive Random Drug Test Results

 for 1996 and 1997

Percent Positive Percent Change Employee Category

1996 1997 1996-1997

Revenue Vehicle Operations 1.52 1.30 -14.47

Revenue Vehicle and Equipment Maintenance 1.63 1.22 -25.15

Revenue Vehicle Control/Dispatch 0.90 0.74 -17.78

CDL/Non-Revenue Vehicle 1.76 1.56 -11.36

Armed Security Personnel 0.57 0.16 -71.93

6.3 Random Alcohol Test Results by Employee Category (1996 - 1997)

For random alcohol testing, the change between the 1996 and 1997 rate of random alcohol test

results ≥ 0.04 was less than 0.10 percentage points for all five employee categories. In three of

the five employee categories, the rate of random alcohol test results ≥ 0.04 decreased, and in one

category (armed security personnel) the rate of random alcohol tests ≥ 0.04 was unchanged. The

one category which reflected an increase over the 1996 random alcohol test result rate, was the

revenue vehicle control/dispatch category. This category reflected an increase of 0.05 percent.

Of the remaining employee categories the percentage point difference (1996 vs. 1997) is highest

in the CDL/non-revenue vehicle category (-0.06), as illustrated in Table 6-2.

Table 6-2. Comparison of Random Alcohol Test Results ≥ 0.04

for 1996 and 1997

Percent Positive Percent Change

Employee Category 1996 1997 1996-1997

Revenue Vehicle Operations 0.14 0.12 -14.29

Revenue Vehicle and Equipment Maintenance 0.27 0.22 -18.52

Revenue Vehicle Control/Dispatch 0.08 0.13 62.50

CDL/Non-Revenue Vehicle 0.14 0.08 -42.86

Armed Security Personnel 0.00 0.00 0.00
1997 Annual Report 6-3

6.4 Accidents that Resulted in a Positive Post-Accident Drug and/or Alcohol Test Result

≥ 0.04 (1996 - 1997)

In 1996, a total of 18 accidents were reported which resulted in a post-accident alcohol test result

≥ 0.04. Of these, 15 were reported by transit systems and 3 were reported by contractors, and

accounted for 0.14 percent of all post-accident tests administered. In 1997, a total of 17

accidents were reported that resulted in a post-accident alcohol test result ≥ 0.04. Of these, 12

were reported by transit systems and contractors reported five. The total percent of post-accident

alcohol tests with a result ≥ 0.04 in 1997 was 0.13 percent. This result indicates an overall

decrease of 0.01 percent over 1996. In 1996, 239 accidents resulted in a positive post-accident

drug test. Of those accidents, 166 were reported by transit systems, and contractors reported 73.

The total percent positive for post-accident drug testing in 1996 was 2.09 percent. In 1997, 249

accidents were reported that resulted in a positive post-accident drug test. Of those, 164 were

reported by transit systems and 83 were reported by contractors. The total percent positive for

post-accident drug testing in 1997 was 1.87 percent. This result reflects an overall decrease of

0.22 percentage points over the 1996 results for post-accident drug tests.

6.5 Changes in the Rate of Positive Random Test Results by FTA Region

(1996 -1997)

The rate of positive random drug tests decreased from 1996 to 1997 in nine of the ten FTA

regions. In Region 7, the positive random drug test result rate increased by 0.13 percentage

points. Of the nine regions to show a decrease, the greatest percentage point difference was in

Region 8, which decreased by 1.16 percentage points in 1997. The smallest percentage point

difference was in Region 9, which decreased by 0.04 percentage points in 1997. All of the

remaining regions showed decreases of between 0.17 and 0.48 percentage points, as shown in

Figure 6-1.

For random alcohol testing, four of the ten FTA regions showed an increase in the rate of test

results ≥ 0.04. Five regions (Regions 2, 4, 5, 6, and 10) showed a decrease in the rate of random

alcohol test results ≥ 0.04, and one (Region 9) showed no change. Of the five regions showing a

decrease, the greatest percentage point difference was reported in Region 10, which decreased by

0.14 percentage points and had no random test results ≥ 0.04. The smallest percentage point

difference was reported in Region 5, which decreased by 0.03 percentage points, as shown in

Figure 6-2.
1997 Annual Report 6-4

0.00%

0.50%

1.00%

1.50%

2.00%

2.50%

1 2 3 4 5 6 7 8 9 10

FTA Region

1996

1997

Figure 6-1. Comparison of Positive Random Drug Test Results

by FTA Region for 1996 and 1997

0.00%

0.05%

0.10%

0.15%

0.20%

0.25%

0.30%

1 2 3 4 5 6 7 8 9 10

FTA Region

1996

1997

Figure 6-2. Comparison of Random Alcohol Test Results ≥ 0.04

by FTA Region for 1996 and 1997
1997 Annual Report A-1

APPENDIX A

GLOSSARY OF TERMS
1997 Annual Report A-2

GLOSSARY OF TERMS

Accident: An occurrence associated with the operation of a vehicle, if as a result

(1) An individual dies;

(2) An individual suffers a bodily injury and immediately receives medical treatment away from

the scene of the accident;

(3) With respect to an occurrence in which the mass transit vehicle involved is a bus, electric

bus, van, or automobile, one or more vehicles incurs disabling damage as the result of the

occurrence and is transported away from the scene by a tow truck or other vehicle; or

(4) With respect to an occurrence in which the mass transit vehicle involved is a rail car, trolley

car, trolley bus, or vessel, the mass transit vehicle is removed from revenue service.

Alcohol: The intoxicating agent in beverage alcohol, ethyl alcohol or other low molecular

weight alcohols including methyl or isopropyl alcohol.

Alcohol Concentration: The alcohol in a volume of breath expressed in terms of grams of

alcohol per 210 liters of breath as indicated by a breath test.

Alcohol Use: The consumption of any beverage, mixture or preparation, including any

medication containing alcohol.

Anti-Drug Program: A program to detect and deter the use of prohibited drugs as required by

FTA regulations.

Armed Security Personnel: Function including any person who provides security to protect

persons or property and who carries a firearm.

Canceled or Invalid Test: In drug testing, a drug test that has been declared invalid by a

Medical Review Officer (MRO). In alcohol testing, a test that is deemed to be invalid. It is

neither a positive nor a negative test.

CDL/Non-Revenue Vehicle: Job category including any transit employee who holds a

Commercial Driver's License (CDL), performs a function requiring a CDL, and is not included

in any other job category.

Confirmation (or Confirmatory) Test: In drug testing, a second analytical procedure to

identify the presence of a specific drug or metabolite that is independent of the screening test and

that uses a different technique and chemical principle from that of the screening test in order to

ensure reliability and accuracy. In alcohol testing, a second test, following a screening test with

a result of 0.02 or greater that provides quantitative data of alcohol concentration.

Consortium: An entity, including a group or association of employers, operators, recipients,

subrecipients, or contractors, which provides drug testing services and acts on behalf of the

employer.
1997 Annual Report A-3

Contractor: A person or organization that provides a service for a recipient, subrecipient,

employer, or operator consistent with a specific understanding or arrangement. The

understanding can be a written contract or an informal arrangement that reflects an ongoing

relationship between the parties.

Covered Employee: A person, including an applicant, transferee, and certain volunteers, who

performs a safety-sensitive function for a recipient, subrecipient, employer, or operator.

DOT: The United States Department of Transportation.

DOT Agency: An agency (or "operating administration") of the United States Department of

Transportation administering regulations requiring drug testing.

Drug Metabolite: The specific substance produced when the human body metabolizes a given

prohibited drug as it passes through the body and is excreted in urine.

Drug Test: The laboratory analysis of a urine specimen collected in accordance with 49 CFR

part 40 and analyzed in a DHHS-approved laboratory.

Education: Efforts that include the display and distribution of informational materials, a

community service hotline telephone number for employee assistance, and the transit entity

policy regarding drug use and alcohol misuse in the workplace.

Employee: An individual designated in a DOT agency regulation as subject to drug testing

and/or alcohol testing. “Employee” includes an applicant for employment.

Employer: A recipient or other entity that provides mass transportation services or which

performs a safety-sensitive function for such recipient or other entity. This term includes

subrecipients, operators, and contractors.

Follow-up Test: Required of employees who returned to duty in a safety-sensitive position

following a positive drug test result or an alcohol test result of ≥ 0.04. A minimum of six tests

must be performed during the first 12 months after the employee returned to duty.

FTA: The Federal Transit Administration, an agency of the U.S. Department of Transportation.

Large Operator: A recipient or subrecipient primarily operating in an area of 200,000 or more

in population.

Medical Review Officer (MRO): A licensed physician (medical doctor or doctor of

osteopathy) responsible for receiving laboratory results generated by an employer's drug testing

program who has knowledge of substance abuse disorders and has appropriate medical training

to interpret and evaluate an individual's confirmed positive test result together with appropriate

medical history and any other relevant biomedical information.

Post-Accident Testing: Required testing for prohibited drugs and alcohol, following certain

mass transit accidents. These accidents include those in which a death occurs, medical treatment
1997 Annual Report A-4

away from the scene is required, or one or more of the vehicles involved incurs disabling

damage.

Pre-Employment Testing: Testing that is designed to identify applicants who have consumed a

prohibited drug in the recent past. Employers are prohibited from hiring an applicant for a

safety-sensitive function unless they have a verified negative drug test.

Prohibited Drugs: Include marijuana (THC), cocaine, phencyclidine (PCP), opiates, or

amphetamines.

Random Testing: Identifies employees who are using drugs or misusing alcohol by using an

unpredictable and unannounced testing pattern.

Random Testing Rate: Drug tests equal to at least 50 percent of the total number of safetysensitive employees and alcohol tests equal to at least 25 percent of the total number of safetysensitive employees must be conducted each year by this method. As of 1998 the random testing

rate for alcohol will be reduced to 10 percent.

Reasonable Suspicion Testing: Required when an employer has reasonable suspicion that an

employee has used a prohibited drug or has misused alcohol as defined in the regulations.

Reasonable suspicion testing must be based on specific, contemporaneous, articulable

observations made by a trained supervisor concerning the appearance, behavior, speech, or body

odor of a safety-sensitive employee.

Recipient: An entity receiving Federal financial assistance under Section 5307, 5309, or 5311

of the Federal Transit Act or under sections 103(e)(4) of Title 23 of the U.S. Code.

Refuse to Submit (to an alcohol test): A covered employee fails to provide adequate breath for

testing without a valid medical explanation.

Refuse to Submit (to a drug test): A covered employee fails to provide a urine sample as

required by 49 CFR Part 40, without a valid medical explanation, after the employee has

received notice of the requirement to be tested or engages in conduct that clearly obstructs the

testing process.

Return-to-Duty Testing: Required before any employee is allowed to return to duty to perform

a safety-sensitive function following a verified positive drug test, an alcohol result of 0.04 or

greater, a refusal to submit to a test, or any other activity that violates the regulation.

Revenue Vehicle Control/Dispatch: Job function including any person who controls the

dispatch or movement of revenue service vehicles. 

Revenue Vehicle Operations: Function including any person who operates or works as a

crewman on revenue service vehicles at any time.

Safety-Sensitive Function: Any of the following duties:

• Operating a revenue service vehicle, including when not in revenue service;
1997 Annual Report A-5

• Operating a non-revenue service vehicle, when required to be operated by a holder of

Commercial Driver’s License;

• Controlling dispatch or movement of a revenue service vehicle;

• Maintaining a revenue service vehicle or equipment used in revenue service, unless the

recipient receives section 5311 funding and contracts out such services; and/or

• Providing security and carrying a firearm.

Screening Test (or Initial Test): In drug testing, an immunoassay screen to eliminate

"negative" urine specimens from further analysis. In alcohol testing, an analytic procedure to

determine whether an employee may have a prohibited concentration of alcohol in a breath

specimen.

Small Operator: A recipient or subrecipient primarily operating in an area of less than 200,000

in population.

Substance Abuse Professional (SAP): A licensed physician (Medical Doctor or Doctor of

Osteopathy), or a licensed or certified psychologist, social worker, employee assistance

professional, or addiction counselor (certified by the National Association of Alcoholism and

Drug Abuse Counselors Certification Commission), with knowledge of and clinical experience

in the diagnosis and treatment of drug and alcohol-related disorders.

Transit System: The public entity that receives the Federal grant (direct grant recipient),

whether or not that recipient provides mass transit services directly.

Vehicle and Equipment Maintenance: Function including any person repairing or maintaining

revenue service vehicles or other equipment used in revenue service.

Verified Negative (drug test result): A drug test result reviewed by a medical review officer

and determined to have no evidence of prohibited drug use.

Verified Positive (drug test result): A drug test result reviewed by a medical review officer

and determined to have evidence of prohibited drug use.
1997 Annual Report A-6
1997 Annual Report B-1

APPENDIX B

FTA REGIONS
1997 Annual Report B-2

The Federal Transit Administration comprises the 10 regions identified below. The data

provided by these regions has facilitated the comparison of drug and alcohol test results and the

identification of regional trends and patterns.

U.S. States and Territories Reporting to the 10 FTA Regions

Region 1 Region 2 Region 3 Region 4 Region 5

Connecticut

Maine

Massachusetts

New Hampshire

Rhode Island

Vermont

New Jersey

New York

Puerto Rico

Virgin

Islands

Delaware

District of

 Columbia

Maryland

Pennsylvania

Virginia

West Virginia

Alabama

Florida

Georgia

Kentucky

Mississippi

North Carolina

South Carolina

Tennessee

Illinois

Indiana

Michigan

Minnesota

Ohio

Wisconsin

Region 6 Region 7 Region 8 Region 9 Region 10

Arkansas

Louisiana

New Mexico

Oklahoma

Texas

Iowa

Kansas

Missouri

Nebraska

Colorado

Montana

North Dakota

South Dakota

Utah

Wyoming

American Samoa

Arizona

California

Guam

Hawaii

Nevada

Northern Mariana

Islands

Alaska

Idaho

Oregon

Washington