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x. Fails to undergo a medical examination or evaluation, as directed by DART as
part of the insufficient breath procedures;
xi. Fails to cooperate with any part of the testing process (e.g., refuse to empty
pockets when directed by the collector, behave in a confrontational way that
disrupts the collection process, fails to wash hands after being directed to do so
by the collector);
xii. For an observed collection, fails to follow the observer’s instructions to raise
his/her clothing above the waist, lower clothing and underpants, and to turn
around to permit the observer to determine if you have any type of prosthetic or
other device that could be used to interfere with the collection process;
xiii. Possesses or wears a prosthetic or other device that could be used to interfere
with the collection process;
xiv. Admits to the collector or MRO that he/she adulterated or substituted the
specimen;
xv. If the MRO reports that the employee has a verified adulterated or substituted
test result, the employee has refused to take a drug test.
3. Disciplinary Action.
Under DART authority, employees whose alcohol concentration is 0.02 or greater or
who test positive for drugs, or who refuse to submit to testing, will be subject to
disciplinary action as outlined in Section 10.6.
B. FTA Prohibitions Regarding Alcohol Use. (See Appendix 1 for a definition of alcohol and
alcohol use.)
1. Alcohol concentration
Employees may not report for duty or remain on duty requiring the performance of
safety-sensitive functions while having an alcohol concentration of 0.04 or greater. (An
alcohol concentration of 0.04 or greater is a positive test.) If DART has actual
knowledge that an employee has an alcohol concentration of 0.04 or greater, that
employee will be prohibited from performing or continuing to perform safety- sensitive
functions.
2. On-duty use
Employees are prohibited from using alcohol while performing safety-sensitive
functions. No employer having actual knowledge that a covered employee is using
alcohol while performing safety-sensitive functions shall permit the employee to
perform or continue to perform safety-sensitive functions.
Safety-sensitive employees are prohibited from reporting for duty or remaining on duty
requiring the performance of safety-sensitive functions while having an alcohol
concentration of 0.04 or greater. An alcohol concentration of 0.04 or greater is a positive
test.
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3. Pre-duty use.
Safety-sensitive employees are prohibited from using alcohol within four hours prior to
performing safety-sensitive functions. DART having actual knowledge that a covered
employee has used alcohol within four hours of performing a safety-sensitive function
shall not permit the employee to perform or continue to perform safety-sensitive
functions.
4. On-call employees
Safety-sensitive employees are prohibited from using alcohol for specified on-call hours.
(Such employees have the opportunity to acknowledge use of alcohol at the time called
to report to duty and the inability to perform the safety-sensitive function. An employee
who acknowledges alcohol use but claims ability to perform the safety-sensitive function
must take an alcohol test before being allowed to perform.)
5. Following an accident
If required to take a post-accident alcohol test as outlined in this section, safety-sensitive
employees are prohibited from alcohol use for eight hours following the accident, or
until undergoing a post-accident alcohol test, whichever occurs first.
6. Refusal to submit
Employees who refuse to submit to post-accident, random, reasonable suspicion, or
follow-up alcohol testing will not be permitted to perform or continue to perform safety-
sensitive functions.
C. FTA Prohibited Drugs.
The FTA requires testing of safety-sensitive employees for the following five drugs or
classes of drugs:
1. Marijuana metabolites
2. Cocaine metabolites
3. Opiate metabolites
4. Phencyclidine (PCP)
5. Amphetamines
Consumption of these products is prohibited at all times.
D. Alcohol and Drug Testing Circumstances.
The FTA requires testing of safety sensitive employees in six situations: (1) Pre-
employment (including transfer to a safety-sensitive position within the organization); (2)
Reasonable suspicion; (3) random; (4) post-accident; (5) return-to-duty and (6) follow-up.
Drug testing is required in all six situations. Alcohol testing is required for all situations
except for pre-employment.
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1. Pre-employment Testing.
a. The FTA requires that all applicants for employment in safety-sensitive positions or
employees being transferred into safety-sensitive positions must be given pre-
employment tests for prohibited drug use.
b. If the test is canceled for any reason the test must be rescheduled. Applicants will not
be placed on the payroll and may not participate in training classes before a negative
test result is received. Employees will not be transferred from a non-safety-sensitive
function to a safety-sensitive function before a negative test result is received.
c. Prior to conducting test, DART will inform the applicant or employee, in writing, of
the testing requirements. Under DART authority, all applicants are subject to this
pre-employment regulation.
d. The FTA requires DART to, after obtaining an applicant's written consent, check on
the drug and alcohol testing record of employees it is intending to use to perform
safety-sensitive duties for the first time. If the applicant refuses to provide this
written consent, DART will not permit the applicant to perform safety-sensitive
functions. The request for information from DOT regulated employers who have
employed the applicant during any period during the two years before the date of the
employee’s application or transfer will include (1) Alcohol tests with a result of 0.04
or higher alcohol concentration; (2) Verified positive drug tests; (3) Refusals to be
tested; (4) Other violations of DOT agency drug and alcohol testing regulations; and
(5) Document of the applicant’s successful completion of DOT return-to-duty
requirements if an applicant violated a DOT drug and alcohol regulation. If the
previous employer does not have information about the return-to-duty process,
DART will seek to obtain this information from the applicant.
e. If feasible, DART must obtain and review this information before the applicant first
performs safety-sensitive functions. If it is not feasible, the information will be
obtained and reviewed as soon as possible. An employee will not be permitted to
perform safety-sensitive functions after 30 days from the date on which the
employee first performs safety-sensitive functions, unless DART has obtained or
made and documented a good faith effort to obtain this information.
f. The DOT requires DART, if it is the employer from whom information is requested,
to review the applicant/employee’s specific, written consent, and immediately
release the requested information to the employer making the inquiry. When DART
requests information from other DOT employers, it will maintain a written,
confidential record of the information obtained or of the good faith efforts made to
obtain the information. The information will be retained for three years from the
date of the employee’s first performance of safety-sensitive duties.
g. The FTA also requires DART to ask the applicant whether he or she has tested
positive, or refused to test, on any pre-employment drug or alcohol test administered
by an employer to which the applicant applied for, but did not obtain, safety-
sensitive transportation work, covered by DOT agency drug and alcohol testing
rules, during the past two years. If the applicant admits that he or she had a positive
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test or a refusal to test, DART will not use the applicant to perform safety sensitive
functions, until and unless the applicant documents successful completion of the
return-to-duty process.
h. When a covered employee or applicant has not performed a safety-sensitive function
for 90 consecutive calendar days regardless of the reason, and the employee has not
been in the employer’s random selection pool during that time, the FTA requires the
employee to take a pre-employment drug test with a verified negative result.
2. Random Testing.
a. The number of safety-sensitive employees randomly selected for alcohol and drug
testing during the calendar year will equal to an annual rate not less than the
minimum annual percentage rate set each year by the DOT. The current year testing
rates can be viewed online at http://www.dot.gov/ost/dapc/rates.html and shown in
Appendix 6.
b. The selection of employees for random drug and alcohol testing at DART is made by
a scientifically valid computer-based random number generator that is matched with
employees’ social security numbers, payroll identification numbers, or other
comparable identifying numbers. Random tests are unannounced and unpredictable,
and the dates for administering random tests are spread reasonably throughout the
calendar year. Random testing must be conducted at all times of day when safety-
sensitive functions are performed.
c. Employee information is updated before the generation of each random list, thereby
insuring that all safety-sensitive employees have an equal chance of being tested
each time selections are made. There is no discretion on the part of management or
operations in the selection of individuals for testing.
d. The supervisor must maintain the confidentiality of selected employees until they
are advised to proceed for testing. Upon notification, employees must cease
performing safety-sensitive functions and report to the test site immediately. The
supervisor must make certain they arrive at the testing site as soon as practical.
e. If testing for a specific day cannot be accomplished for a valid reason (sick leave,
administrative leave, training, short-term disability, worker’s compensation,
vacation, military leave, FMLA, jury duty, leave of absence, out of service, regular
day off), testing will be attempted for the remainder of the selection period. Tests
will not be held over beyond the end of the selection period.
f. For alcohol testing, employees must only be randomly tested while performing
safety-sensitive functions, just before performing safety-sensitive functions, or just
after ceasing performing such functions. For drug testing, employees may be
randomly tested anytime while on duty.
g. For alcohol testing, if the employee's alcohol concentration is 0.02 or greater, the
employee may not return to the safety-sensitive function until the alcohol
concentration measures less than 0.02, or the start of next regular duty period, but not
less than eight (8) hours following administration of the test.
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h. Under DART authority, employees whose alcohol concentration is 0.02 or greater or
who test positive for drugs, or who refuse to submit to testing, will be subject to
disciplinary action as outlined in Section 10.6.
3. Reasonable Suspicion Testing.
a. Employees must submit to an alcohol and a drug test when a supervisor(s) or other
DART official(s) who is trained in detecting the signs and symptoms of alcohol
misuse and prohibited drug use has reasonable suspicion to believe that the employee
has used a prohibited drug and/or engaged in alcohol misuse. The determination that
reasonable suspicion exists must be based on specific, contemporaneous, articulable
observations concerning the appearance, behavior, speech, or body odors of the
employee.
b. For alcohol testing:
1) The observations must be made during, just preceding, or just after the period of
the workday an employee is required to be in compliance with this policy. A
supervisor who makes a reasonable suspicion determination may not also
conduct the breath alcohol test.
2) Alcohol testing must be conducted while the employee is performing safety-
sensitive functions, just before performing safety-sensitive functions, or just after
ceasing performing such functions.
3) If the alcohol test is not administered within two (2) hours following the
determination to test, the supervisor must prepare and maintain a record of the
reason the test was not promptly administered.
4) If the alcohol test is not administered within eight (8) hours, the supervisor must
cease attempts to administer test and must record the reason for not administering
the test.
5) Under DART’s authority, even if not tested, the employee may not report to duty
or remain on duty for a safety-sensitive function while under the influence of or
impaired by alcohol, as shown by the behavioral, speech, performance indicators
or body odors.
6) If the employee's alcohol concentration is 0.02 or greater, the employee may not
return to the safety-sensitive function until the alcohol concentration measures
less than 0.02, or the start of next regular duty period, but not less than eight (8)
hours following determination of reasonable suspicion.
c. Under DART authority, employees whose alcohol concentration is 0.02 or greater or
who test positive for prohibited drugs, or who refuse to submit to testing, will be
subject to disciplinary action as outlined in Section 10.6.
4. Post-Accident Testing
In this section, accident means 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
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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; 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. See Appendix 1 for a definition of disabling damage.
a. Fatal (loss of human life).
Each surviving safety-sensitive employee operating the mass transit vehicle at the
time of the accident must be tested. Any other safety-sensitive employee whose
performance could have contributed to the accident (as determined by DART
using the best information available at the time of the decision) must also be
tested.
b. Nonfatal (no loss of human life).
Each safety-sensitive employee operating the vehicle at the time of the accident
must be tested, unless DART determines, using the best information available at
the time of the decision, that the employee's performance can be completely
discounted as a contributing factor to the accident. If a decision not to administer a
drug and/or alcohol test is made (as determined by DART using the best
information available at the time of the decision) it must be documented in detail,
including the decision-making process used to reach the decision not to test.
c. Any other safety-sensitive employee whose performance could have contributed to
the accident (as determined by DART using the best information available at the
time of the decision) must also be tested.
d. Employees subject to post-accident testing who fail to remain readily available for
such testing will be deemed to have refused to submit to testing.
e. Accident testing may be delayed while employees assist in resolution of the accident
or receive medical attention. Nothing in this section shall be construed to require the
delay of necessary medical attention.
f. For alcohol testing:
1) A post-accident alcohol test must be performed as soon as practicable and within
two to eight hours of the accident.
2) If the alcohol test is not administered within two hours, DART must prepare and
maintain a record stating the reasons the test was not done promptly. (This does
not mean there is a two-hour window. The operative phrase is "as soon as
practicable.")
3) If the test is not administered within eight hours, the attempt to administer the
test must cease.
4) If the test could have been completed within eight hours, DART must record
information regarding the employee’s name, address, etc.
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g. For drug testing:
1) A post-accident drug test must be performed as soon as practicable and within 32
hours of the accident. (This does not mean there is a 32-hour window. The
operative phrase is "as soon as practicable.")
h. Under DART authority, employees whose alcohol concentration is 0.02 or greater or
who test positive for prohibited drugs, or who refuse to submit to testing, will be
subject to disciplinary action as outlined in Section 10.6.
i. The results of a blood, urine or breath test for the use of prohibited drug or alcohol
misuse, conducted by Federal, State, or local officials having independent authority
for the test (i.e., law enforcement agency), shall be considered to meet the
requirements of this section provided such test conforms to the applicable testing
requirements, and the test results are obtained by DART. Such test results may be
used only when DART is unable to perform a post-accident test within the required
period mandated by the FTA.
5. Return to Duty Testing.
a. The FTA regulations do not allow an employee to return to duty to perform a safety-
sensitive function following a verified positive drug test or a violation of the
prohibitions regarding alcohol use, or refusal to submit to a test unless that employee
has been evaluated by a substance abuse professional to determine if the employee
has followed the substance abuse professional's recommendations.
b. DART, under its own authority, does not permit employees to return to work if they
tested positive in the testing circumstances of reasonable suspicion, post-accident, or
refusal to take a test; therefore, the return-to-duty testing required by the FTA is not
applicable to those employees. (See Section 10.4, Referral and Evaluation.)
c. Employees who tested positive in the testing circumstances of random, employee
pre-employment, or transfer from a non-safety-sensitive position to a safety-sensitive
position are eligible for evaluation services. Such employees may not return to work
unless they are evaluated as required by 5.a. above, and pass a return to duty test for
drugs and/or alcohol (test type determined by the Substance Abuse Professional.
6. Follow-up.
a. Once allowed to return to duty after a required evaluation or rehabilitation, a safety-
sensitive employee who has been determined to be in need of assistance in resolving
problems associated with the substance associated with the original violation must be
subject to unannounced follow-up testing for that substance, as directed by a
substance abuse professional in accordance with Section 10.4.
b. The FTA mandates that follow-up tests cannot be substituted with any other tests
(e.g., those carried out under the random testing program) conducted on the
employee.
c. The requirements of the Substance Abuse Professional’s follow-up testing plan
follow an employee to subsequent employers or through breaks in safety-sensitive
service.
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7. Retesting Requirements.
An employee may be permitted to resume performance of safety-sensitive functions
within eight hours following an alcohol test indicating an alcohol concentration of 0.02
or greater but less than 0.04 only after a second test results in an alcohol concentration of
less than 0.02.
Appendix 4 (alcohol) and Appendix 5 (drugs) provide information on testing procedures.
10.4. Referral and Evaluation.
A. The FTA requires that safety-sensitive employees who violate the prohibitions regarding
alcohol use or prohibited drug use outlined in Section 10.3 receive the following assistance.
1. Be advised of the resources available in evaluating and resolving problems associated
with the misuse of alcohol and prohibited drug use, including names, addresses, and
telephone numbers of substance abuse professionals (SAPs) and counseling and
treatment programs.
2. Be evaluated by a substance abuse professional (SAP), who will recommend a course of
education and/or treatment with which the employee must demonstrate successful
compliance prior to returning to a safety-sensitive position.
a. Under DART authority, an employee who tests positive (an alcohol concentration of
0.04 or greater or a verified positive drug result) under the testing circumstances of
reasonable suspicion, post-accident, return to duty and follow-up after rehabilitation,
refusal to take a test, or a second violation under any circumstances, will be subject
to discharge. Such employees will not be eligible for referral and evaluation, but
will be advised of the resources available in evaluating and resolving problems
associated with alcohol and drug use, including names, addresses, and telephone
numbers of substance abuse professionals.
b. The SAP must be licensed physician (medical doctor or doctor of osteopathy) or
licensed or certified psychologist, social worker, EAP professional, or addiction
counselor (certified by NAADAC - National Association of Alcoholism and Drug
Abuse Counselors Certification Commission or the ICRC), and must have
knowledge of and clinical experience in diagnosis and treatment of drug and alcohol
related disorders, knowledgeable about SAP function as it relates to employer
interests in safety-sensitive duties, knowledgeable about DOT regulations and SAP
Guidelines and current on any changes to these materials. The identity and
credentials of DART's current SAP is shown in Appendix 2.
c. If DART's SAP determines that the employee is in need of assistance, the SAP is
prohibited from referring the employee to his or her private practice or to a person or
organization in which the SAP has a financial interest.
d. Upon the making of a recommendation for assistance, the SAP will serve as a
referral source to assist the employee’s entry into an education and/or treatment
program.
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B. Required Tests
1. Employees who are eligible for referral and evaluation must undergo the following tests:
a. Take and pass a return to duty drug and/or alcohol test prior to performing safety-
sensitive functions.
b. Be subject to unannounced follow-up testing following the employee's return to duty,
as directed by the SAP, consisting of at least six tests in the first 12 months following
the return to duty. Be subject to further follow-up testing not to exceed 60 months
from the date of the employee's return to duty, as recommended by the SAP.
10.5. Education and Training
The FTA mandates the training outlined below for safety-sensitive employees. DART requires
the training outlined in A. and B. below for all employees.
A. Drug Training.
Employees must attend at least a one-hour training session on the effects and consequences
of prohibited drug use on personal health, safety, and the work environment, and on the
signs and symptoms that may indicate prohibited drug use. New employees will receive this
same briefing during their orientation session. DART has established education and training
classes that include information such as:
1. Behavior that might indicate prohibited drug use.
2. “Street slang” terminology used to refer to each substance.
3. The five prohibited drugs prohibited by FTA.
4. The supervisor’s role in making reasonable suspicion referrals.
The education component includes display and distribution of informational material and a
community service hot-line telephone number for employee assistance.
B. Alcohol Training
Employees must also be trained on the consequences of alcohol misuse and its effects on the
employee’s personal life, health, safety, and work environment. New employees will receive
this same briefing during their orientation session. The training sessions on alcohol will
include such information as:
1. When consumed primarily for its physical and mood-altering effects, alcohol is a
substance of abuse. It slows down physical responses and progressively impairs mental
functions.
2. The signs and symptoms of misuse include dulled mental processes, sleepiness, slowed
reaction rate, and lack of coordination.
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3. The chronic consumption of alcohol over time may result in such health hazards as
dependency, fatal liver diseases, increased cancers, kidney disease, ulcers, and birth
defects.
4. Alcohol misuse can have an extremely adverse effect on employees in their family,
social, and workplace lives.
C. Training for Supervisors.
The FTA requires that each supervisor of safety-sensitive employees who may make
reasonable suspicion drug and alcohol testing decisions must receive:
1. One hour of training on the physical, behavioral, and performance indicators of probable
drug use; and
2. One hour of training on the physical, behavioral, and performance indicators of probable
alcohol misuse.
3. Under DART authority, all employees who supervise other employees are required to
receive such training to enable them to make reasonable suspicion drug/alcohol testing
decisions.
10.6. Additional Requirements not Mandated by the FTA.
A. Controlled Substance Prohibitions.
All employees are strictly prohibited from the non-prescriptive use, sale, possession,
distribution, dispensation, manufacture, or transfer of controlled substances or alcohol on
DART property or other work sites, on or off duty. Controlled substances include, but are
not limited to, marijuana, cocaine, (including "crack" and other cocaine derivatives), opiates,
amphetamines, and phencyclidine. The term does not include controlled substances used in
accordance with a valid prescription. Employees who violate this policy may be discharged.
B. The Drug-Free Workplace Act of 1988.
This regulation requires employees to notify management, in writing, within five working
days of any criminal drug statute conviction for a violation occurring in the workplace, or of
a plea of guilty or nolo contendere to such charges. DART requires the same notification for
such violations that occur outside the workplace. Employees who violate this policy in or
outside the workplace may be discharged.
C. Off-Duty Employees.
The prohibitions described in this manual apply to off-duty employees, when such activity
affects the reputation of DART, impairs the employee's ability to perform his/her job as
shown by a positive drug or alcohol test, or threatens DART's integrity. Employees who
violate this policy may be discharged.
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D. Reasonable Suspicion Testing - Negative Results
Employees who test negative for alcohol or drugs in a reasonable suspicion test will be
evaluated by a physician selected by DART to determine whether the employee is fit for
duty. Employees will be on administrative leave pending this evaluation.
E. Disciplinary Actions
1. Alcohol Concentration of 0.02 or greater but less than 0.04
Employees who have an alcohol concentration of at least 0.02 but less than 0.04 will:
a. Be provided transportation by their manager or designee to a destination of their
choice (other than DART property). Failure to accept the transportation will be
considered insubordination and the employee may be discharged.
b. Be on administrative leave until the alcohol concentration measures less than 0.02.
c. Be given a documentation of counseling for the first alcohol test within this range.
d. Be given a final written warning for a second such test.
e. Be subject to discharge on the third such test.
2. Positive Tests and Refusal to Submit to Testing
An employee who tests positive (verified positive drug result or alcohol concentration of
0.04 or greater) will be subject to the following:
a. If the test was random, employee pre-employment, or transferring from a non-safety-
sensitive position to a safety-sensitive position, the employee may be given a one-
time opportunity for rehabilitation in lieu of discharge.
b. If the test was reasonable suspicion, post-accident, return to duty, follow-up, or a
second positive test in any circumstances, the employee will be subject to discharge.
An employee who refuses to submit to testing, regardless of the circumstances, will be
subject to discharge.
3. Administrative Leave.
Employees who have been tested for prohibited drug use or alcohol misuse under a
reasonable suspicion, employee pre-employment, return-to-duty or post-accident test
will be on administrative leave pending the test results.
4. On-Call Employees.
On-call employees not able to perform their safety-sensitive function because of drug or
alcohol consumption will be considered absent without good cause and subject to
disciplinary action up to and including discharge. An on-call employee, for the purpose
of this provision, is any employee who would have been paid overtime for taking the on-
call assignment.
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5. Recap of Disciplinary Actions.
DART imposes the following consequences for any employee who has an alcohol
concentration of 0.04 or greater or a verified positive drug test result.
Circumstances of Test Consequences
Reasonable suspicion, post-accident, return-to- Discharge.
duty, follow-up, refusal to take a test, or a second
violation under any circumstances.
Random, employee pre-employment, or Rehabilitation opportunity in
transferring from non-safety-sensitive position to lieu of discharge for first
a safety-sensitive position. violation.
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Appendix 2
DEFINITIONS
Accident. An occurrence associated with the operation of a vehicle, if as a result an individual dies;
an individual suffers a bodily injury and immediately receives medical treatment away from the
scene of the accident; with respect to an occurrence in which the mass transit vehicle involved is a
bus, electric bus, van, or automobile, one or more vehicles (including non-FTA funded vehicles)
incurs disabling damage as the result of the occurrence and such vehicle or vehicles are transported
away from the scene by a tow truck or other vehicle; 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 operation.
Administrator. The Administrator of the Federal Transit Administration or the Administrator’s
designee.
Adulterated Specimen. A specimen that has been altered, as evidenced by test results showing
either a substance that is not a normal constituent for that type of specimen or showing an abnormal
concentration of an endogenous substance.
Affiliate. Persons are affiliates of one another if, directly or indirectly, one controls or has the
power to control the other, or a third party controls or has the power to control both. Indicators of
control include, but are not limited to: interlocking management or ownership; shared facilities or
equipment; or common use of employees. Following the issuance of a public interest exclusion, an
organization having the same or similar management, ownership, or principal employees as the
service agent concerning whom a public interest exclusion is in effect is regarded as an affiliate.
This definition is used in connection with the public interest exclusion procedures of Subpart R of
49 CFR Part 40.
Air Blank. In evidential breath testing devices (EBTs) using gas chromatography technology, a
reading of the device’s internal standard. In all other EBTs, a reading of ambient air containing no
alcohol.
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 under 49 CFR Part 40.
Alcohol Confirmation Test. A subsequent test using an EBT, following a screening test with a
result of 0.02 or greater, that provides quantitative data about the alcohol concentration.
Alcohol Screening Device (ASD). A breath or saliva device, other than an EBT, that is approved
by the National Highway Traffic Safety Administration (NHTSA) and placed on a conforming
products list (CPL) for such devices.
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Appendix 2
Alcohol screening test. An analytic procedure to determine whether an employee may have a
prohibited concentration of alcohol in a breath or saliva specimen.
Alcohol testing site. A place selected by the employer where employees present themselves for the
purpose of providing breath or saliva for an alcohol test.
Alcohol Use. The drinking or swallowing of any beverage, liquid mixture, or preparation,
including any medication, containing alcohol.
Aliquot. A fractional part of a specimen used for testing. It is taken as a sample representing the
whole specimen.
Anti-Drug Program. A program to detect and deter the use of prohibited drugs as required by 49
CFR Part 655.
Blind Specimen or blind performance test specimen. A specimen submitted to an HHS certified
laboratory for quality control testing purposes, with a fictitious identifier, so that the laboratory
cannot distinguish it from an employee specimen.
Breath Alcohol Technician (BAT). A person who instructs and assists employees in the alcohol
testing process and operates an evidential breath testing device.
Cancelled Test. The result reported by the MRO to the employer when a specimen has been
reported to the MRO as an invalid result (and the donor has no legitimate explanation) or rejected
for testing, when a split specimen fails to reconfirm, or when the MRO determines that a fatal flaw
or unrecovered correctable error exists in the forensic records.
Certification. A recipient’s written statement, authorized by the organization's governing board or
other authorizing official that the recipient has complied with the provisions of 49 CFR Parts 655.82
and 655.83.
Certifying Scientist (CS). The individual responsible for verifying the chain of custody and
scientific reliability of any test result reported by an HHS-certified laboratory.
Certifying Technician (CT). The individual responsible for verifying the chain of custody and
scientific reliability of negative, negative/dilute, and rejected for testing results reported by a
laboratory.
Chain of custody. The procedures used to document the handling of the urine specimen from the
time the employee gives the specimen to the collector until the specimen is destroyed. This
procedure uses the Federal Drug Testing Custody and Control Form (CCF).
Collection container. A container into which the employee urinates to provide the urine specimen
for a drug test.
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Collection site. A place selected by the employer where employees present themselves for the
purpose of providing a urine specimen for a drug test.
Collector. A person who instructs and assists employees at a collection site, who receives and
makes an initial inspection of the specimen provided by those employees, and who initiates and
completes the CCF.
Confirmatory drug test. A second analytical procedure performed on a different aliquot of the
original specimen to identify and quantify the presence of a specific drug or metabolite.
Confirmatory validity test. A second test performed on a different aliquot of the original urine
specimen to further support a validity test result.
Confirmed drug test. A confirmation test result received by an MRO from a laboratory.
Consortium/Third Party Administrator (C/TPA). A service agent that provides or coordinates
the provision of a variety of drug and alcohol testing service to employers. C/TPAs typically
perform administrative tasks concerning the operation of the employer’s drug and alcohol testing
programs. This term includes, but is not limited to, groups of employers who join together to
administer, as a single entity, the DOT drug and alcohol testing programs of its members. C/TPAs
are not “employers” for the purpose of 49 CFR Part 40.
Continuing Education. Training for Medical Review Officers (MROs) and Substance Abuse
Professionals (SAPs) who have completed qualification training and are performing MRO or SAP
functions, designed to keep MROs and SAPs current on changes and developments in the DOT
drug and alcohol testing program.
Contractor. A person or organization that provides a safety-sensitive service for a recipient, sub
recipient, 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 or transferee, who performs a safety-sensitive
function for an entity subject to 49 CFR Part 655. A volunteer is a covered employee if he/she (1)
is required to hold a commercial driver’s license to operate the vehicle; or (2) performs safety-
sensitive function for an entity subject to 49 CFR Part 655 and receives remuneration in excess of
his or her actual expenses incurred while engaged in the volunteer activity.
Designated employer representative (DER). An employee authorized by an employer to take
immediate action(s) to remove employees from safety-sensitive duties, or cause employees to be
removed from these covered duties, and to make required decisions in the testing and evaluation
processes. The DER also receives test results and other communications for the employer,
consistent with the requirements of 49 CFR Part 40. Service agents cannot act as DERs.
Dilute Specimen. A specimen with creatinine and specific gravity values that are lower than
expected for human urine.
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Disabling damage. Damage which precludes departure of a motor vehicle from the scene of the
accident in its usual manner in daylight after simple repairs. Inclusion: Damage to motor vehicles
where the vehicle could have been driven, but would have been further damaged if so driven.
Exclusions: (i) Damage that can be remedied temporarily at the scene of the accident without
special tools or parts. (ii) Tire disablement without other damage even if no spare tire is available.
(iii) Head lamp or taillight damage. (iv) Damage to turn signals, horn, or windshield wipers which
makes them inoperable.
DOT. The United States Department of Transportation.
DOT, The Department, DOT agency. These terms encompass all DOT agencies, including, but
not limited to, the United States Coast Guard (USCG), the Federal Aviation Administration (FAA),
the Federal Railroad Administration (FRA), the Federal Motor Carrier Safety Administration
(FMCSA), the Federal Transit Administration (FTA), the Pipeline and Hazardous Materials Safety
Administration (PHMSA), the National Highway Traffic Safety Administration (NHTSA) and the
Office of the Secretary (OST). These terms include any designee of a DOT agency.
Drugs. The drugs for which tests are required under 49 CFR Part 40 and DOT agency regulations
are marijuana, cocaine, amphetamines, phencyclidine (PCP), and opiates.
Employee. Any person who is designated in a DOT agency regulation as subject to drug testing
and/or alcohol testing. The term includes individuals currently performing safety-sensitive functions
designated in DOT agency regulations and applicants for employment subject to pre-employment
testing. For purposes of drug testing under 49 CFR Part 40, the term “employee” has the same
meaning as the term “donor” as found on CCF and related guidance materials produced by the
Department of Health and Human Services.
Employer. A person or entity employing one or more employees (including an individual who is
self-employed) subject to DOT agency regulations requiring compliance with 49 CFR Part 40. The
term includes an employer’s officers, representatives, and management personnel. Service agents
are not employers for the purposes of 49 CFR Part 40. Under 49 CFR Part 655, an employer means
a recipient or other entity that provides mass transportation service or which performs a safety-
sensitive function for such recipient or other entity. This term includes sub-recipients, operators,
and contractors.
Error correction training. Training provided to BATs, collectors, and screening test technicians
(STTs) following an error that resulted in the cancellation of a drug or alcohol test. Error correction
training must be provided in person or by a means that provides real-time observation and
interaction between the instructor and trainee.
Evidential Breath Testing Device (EBT). A device approved by NHTSA for the evidential testing
of breath at the .02 and .04 alcohol concentrations, placed on NHTSA’s Conforming Products List
(CPL) for “Evidential Breath Measurement Devices” and identified on the CPL as conforming with
the model specifications available NHTSA’s Traffic Safety Program.
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FTA. The Federal Transit Administration, an agency of the U.S. Department of Transportation.
HHS. The Department of Health and Human Services or any designee of the Secretary,
Department of Health and Human Services.
Initial drug test (also known as a “Screening drug test”). The test used to differentiate a
negative specimen from one that requires further testing for drugs or drug metabolites.
Invalid drug test. The result reported by an HHS-certified laboratory in accordance with the
criteria established in HHS Mandatory Guidelines when a positive, negative, adulterated, or
substituted result cannot be established for a specific drug or specimen validity test.
Laboratory. Any U. S. laboratory certified by HHS under the National Laboratory Certification
Program as meeting the minimum standards of Subpart C of the HHS Mandatory Guidelines for
Federal Workplace Drug Testing Programs; or, in the case of foreign laboratories, a laboratory
approved for participation by DOT under 49 CFR Part 40.
Limit of Detection (LOD). The lowest concentration at which a measurand can be identified, but
(for quantitative assays) the concentration cannot be accurately calculated.
Limit of Quantitation. For quantitative assays, the lowest concentration at which the identity and
concentration of the measurand can be accurately established.
Medical Review Officer (MRO). A person who is a licensed physician and who is responsible for
receiving and reviewing laboratory results generated by an employer's drug testing program and
evaluating medical explanations for certain drug test results.
Negative result. The result reported by an HHS-certified laboratory to an MRO when a specimen
contains no drug or the concentration of the drug is less than the cutoff concentration for the drug or
drug class and the specimen is a valid specimen.
Non-negative specimen. A urine specimen that is reported as adulterated, substituted, positive for
drug(s) or drug metabolite(s), and/or invalid.
Office of Drug and Alcohol Policy and Compliance (ODAPC). The office in the Office of the
Secretary, DOT, that is responsible for coordinating drug and alcohol testing program matters
within the Department and providing information concerning the implementation of 49 CFR Part
40.
Oxidizing adulterant. A substance that acts alone or in combination with other substances to
oxidize drugs or drug metabolites to prevent the detection of the drug or drug metabolites, or affects
the reagents in either the initial or confirmatory drug test.
Performing (A Safety-Sensitive Function). Means a covered employee is considered to be
performing a safety-sensitive function and includes any period in which he or she is actually
performing, ready to perform, or immediately available to perform such functions.
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Positive rate for random drug testing. The number of verified positive results for random drug
tests conducted under 49 CFR Part 655 plus the number of refusals of random drug tests conducted
under 49 CFR Part 655 divided by the total number of random drug test results (i.e., positive,
negative, and refusals) under 49 CFR Part 655.
Positive result. The result reported by an HHS-certified laboratory when a specimen contains a
drug or drug metabolite equal to or greater than the cutoff concentrations.
Primary Specimen. In drug testing, the urine specimen bottle that is opened and tested by a first
laboratory to determine whether the employee has a drug or drug metabolite in his or her system;
and for the purpose of validity testing. The primary specimen is distinguished from the split
specimen.
Qualification Training. The training required in order for a collector, BAT, MRO, SAP, or STT to
be qualified to perform their functions in the DOT drug and alcohol testing program. Qualification
training may be provided by an appropriate means (e.g., classroom instruction, internet application,
CD-ROM, video).
Railroad. All forms of non-highway ground transportation that run on rails or electromagnetic
guideways, including (1) commuter or other short-haul rail passenger service in a metropolitan or
suburban area, as well as any commuter rail service which was operated by the Consolidated Rail
Corporation as of January 1, 1979, and (2) high speed ground transportation systems that connect
metropolitan areas, without regard to whether they use new technologies not associated with
traditional railroads. Such term does not include rapid transit operations within an urban area that
are not connected to the general railroad system of transportation.
Recipient. An entity receiving Federal financial assistance under 49 U.S.C 5307, 5309, or 5311; or
under 23 U.S.C. 103(e)(4).
Reconfirmed. The result reported for a split specimen when the second laboratory is able to
corroborate the original result reported for the primary specimen.
Refresher Training. The training required periodically for qualified collectors, BATs and STTs to
review basic requirements and provide instruction concerning changes in technology (e.g., new
testing methods that may be authorized) and amendments, interpretations, guidance, and issues
concerning 49 CFR Part 40 and DOT agency drug and alcohol testing regulations. Refresher
training can be provided by any appropriate means (e.g., classroom instruction, internet application,
CD-ROM, video).
Refuse to Submit. Any circumstance outlined in 49 CFR Part 40.191 and 40.261. Refer to the
definition listed in Section 10.3 of this manual.
Rejected for testing. The result reported by an HHS-certified laboratory when no tests are
performed on a specimen because of a fatal flaw or a correctable flaw that is not corrected.
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Responsible Person (RP). The person who assumes professional, organizational, educational and
administrative responsibility for the day-to-day management of the HHS-certified laboratory.
Safety-Sensitive Function. Refer to the definitions listed in Section 10.3 of this manual.
Screening Drug Test (or Initial Drug Test). See Initial drug test definition above.
Screening Test Technician (STT). A person who instructs and assists employees in the alcohol
testing process and operates an ASD.
Secretary. The Secretary of Transportation or the Secretary’s designee.
Service Agent. Any person or entity, other than an employee of the employer, who provides
services specified under 49 CFR Part 40 to employers and/or employees in connection with DOT
drug and alcohol testing requirements. This includes but is not limited to, collectors, BATs and
STTs, laboratories, MROs, substance abuse professionals, and C/TPAs. To act as service agents,
persons or organizations must meet the qualification set forth in applicable sections of 49 CFR Part
40. Service agents are not employers for purposes of 49 CFR Part 40.
Shipping Container. A container that is used for transporting and protecting urine specimen
bottles and associated documents from the collection site to the laboratory.
Specimen Bottle. The bottle that, after being sealed and labeled according to the procedures in 49
CFR Part 40, is used to hold the urine specimen during transportation to the laboratory.
Split Specimen collection. A collection in which the urine collected is divided into two separate
specimen bottles, the primary specimen (Bottle A) and the split specimen (Bottle B).
Stand-down. The practice of temporarily removing an employee from the performance of safety-
sensitive functions based only on a report from a laboratory to the MRO of a confirmed positive test
for a drug or drug metabolite, an adulterated test, or a substituted test, before the MRO has
completed verification of the test result.
Substance Abuse Professional (SAP). A person who evaluates employees who have violated a
DOT drug and alcohol regulation and makes recommendations concerning education, treatment,
follow-up testing, and aftercare.
Substituted Specimen. A urine specimen with creatinine and specific gravity values that are so
diminished or so divergent that they are not consistent with normal human urine.
Vehicle. A bus, electric bus, van, automobile, rail car, trolley car, trolley bus, or vessel. A ‘‘mass
transit vehicle’’ is a vehicle used for mass transportation or for ancillary services.
Verified Test. A drug test result or validity testing result from an HHS-certified laboratory that has
undergone review and final determination by the MRO.
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Violation rate for random alcohol testing. The number of 0.04 and above random alcohol
confirmation test results conducted under 49 CFR Part 655 plus the number of refusals of random
alcohol tests required by 49 CFR Part 655, divided by the total number of alcohol random screening
tests (including refusals) conducted under 49 CFR Part 655.
• STAFF CONTACT: QUESTIONS / INFORMATION
Employees who have questions regarding DART's drug testing or ongoing drug-free workplace
program should refer to the Safety Section of Risk Management.
Name Telephone Notes
Diane Northrop 749-3598 Manager-Substance Abuse
Program
Karen Brinkley 749-3387 Substance Abuse Specialist
Henry Hartberg 749-3150 Sr. Manager, Safety
Sue Mullaney 749-3112 AVP, Risk Management
• IDENTITY OF SERVICE AGENTS
1. Medical Review Officer (MRO)
Identity: Benjamin Gerson, M.D., University Services
Address: 10551 Decatur Road, Suite 200, Philadelphia, PA 19154
Credentials: On file in Safety section.
2. HHS-Certified Laboratory
Identity: Phamatech, Inc.
Address: 10151 Barnes Canyon Road, San Diego, CA 92121
Credentials: On file in Safety section.
3. Collection Sites
Identity: U.S. Healthworks Medical Group
Address: 1450 Empire Central, Suite 100, Dallas, TX 75247; 1837 W. Frankford Rd.,
Suite 116, Carrollton, TX 75007
Credentials: On file in Safety section.
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4. Employee Assistance Program (EAP) and Substance Abuse Professional (SAP)
Services:
Identity: Deer Oaks EAP Services
Address: 2501 Oak Lawn Avenue, Suite 201, Dallas, TX 75219
Credentials: On file in Safety section. .
5. The SAP is charged with: Making a face-to-face clinical assessment and evaluation to
determine what assistance is needed by the employee to resolve problems associated
with alcohol and/or drug use;
6. Referring the employee to an appropriate education and/or treatment program;
7. Conducting a face-to-face evaluation to determine if the employee has actively
participated in the education and/or treatment program and has demonstrated successful
compliance with the initial assessment and evaluation recommendations;
8. Providing DART’s Safety representative with a follow-up drug and/or alcohol testing
plan for the employee; and
9. Providing the employee and employer with recommendations for continuing education
and/or treatment. A SAP is not an advocate for the employer or employee. His/her
function is to protect the public interest in safety by professionally evaluating the
employee and recommending appropriate education/treatment, follow-up tests, and
aftercare.
• ADMINISTRATION OF THE PROGRAM
The Administration department head will issue any rulings regarding the interpretation of this
policy. The Safety section head or designee will be responsible for the following:
A. Meeting all applicable requirements and procedures of FTA drug and alcohol testing
regulations.
B. Actions of DART officials, representatives, and agents (including service agents) in carrying
out the requirements of the DOT agency regulations.
C. Insuring that all agreements and arrangements between DART and service agents
concerning the implementation of DOT drug and alcohol testing requirements, as a matter of
law, are in compliance with all applicable provisions of this part and DOT agency drug and
alcohol testing regulations. Compliance with these provisions is a material term of all such
agreements and arrangements.
D. Coordinate DART’s Rehabilitation Opportunity Program.
E. Serve as the contact individual for any questions regarding the administration of this policy.
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F. Serve as DART’s contact for all correspondence and reports from service agents. A service
agent is any person or entity, other than an employee of the employer, who provides services
specified under this part to employers and/or employees in connection with DOT drug and
alcohol testing requirements. This includes, but is not limited to, collectors, BATs, STTs,
laboratories, MROs, SAPs and C/TPAs. To act as a service agent, persons and
organizations must meet the qualifications set forth in application sections of the regulations.
G. Insure that each employee acknowledges receipt of the policy in writing and retain a copy of
the acknowledgment.
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• DART'S EMPLOYEE ASSISTANCE PROGRAM
The goal of DART's Employee Assistance Program (EAP) is to maintain an effective, productive
work force and to retain valued employees. DART recognizes that problems of a personal nature
can have an adverse impact on an employee's job performance, and that most personal problems can
be dealt with successfully when identified early and referred to appropriate care. The confidential
EAP services can be accessed 24 hours a day, seven days a week at (214) 559-2171 or 1-877-616-
8351.
The policy applies to all regular part-time and full-time DART employees. The program is also
available to family members (residing in the home) of regular full-time employees on a self-referral
basis. If employees or family members have personal problems that may benefit from assistance,
they are encouraged to use this program.
Sick leave for hourly employees or paid time off (PTO) for salaried employees may be granted for
treatment or rehabilitation on the same basis as for other health problems. Consideration will also be
given for the use of annual leave or leave without pay if sick leave or PTO is not available. If
necessary, employees may make arrangements for time off with their supervisor to utilize EAP
services during regularly scheduled work hours.
• DART'S REHABILITATION OPPORTUNITY
A rehabilitation opportunity may be offered to employees who test positive for the first time in the
testing circumstances of 1) random, 2) pre-employment for employees who are tested after a ninety
(90) day absence (not applicable to applicants), or (3) transferring to a position that requires
performance of safety-sensitive functions.
The intent of the rehabilitation opportunity is to allow employees to receive confidential
professional assistance to become drug and alcohol free, so they may continue their employment.
This is a one-time opportunity. An employee with a subsequent positive drug or alcohol test will be
discharged.
An employee may voluntarily participate, prior to being notified of selection for testing, upon
notification to the supervisor or by going directly to the primary Safety contact person identified in
Appendix 2. An employee who has a positive alcohol or drug test after returning to work from the
rehabilitation program will be discharged. An eligible employee will meet with the primary Safety
contact person and the employee's immediate supervisor to begin the rehabilitation opportunity.
This meeting will be arranged by the employee's immediate supervisor. All of the employee's goals
and responsibilities pertaining to this rehabilitation opportunity and the supervisor's role will be
explained at this meeting.
The FTA restricts employers and employees from seeking a second substance abuse professional
(SAP) evaluation if they disagree with the first SAP’s recommendation. If the employee, obtains a
second SAP evaluation, DART will not rely on it for any purpose under this part.
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Employees participating in the rehabilitation opportunity must accomplish the following:
1. Be evaluated by a Substance Abuse Professional (SAP) and follow his/her
recommendations.
2. Obtain a release to return to work from the SAP.
3. Test negative on a return-to-duty drug and/or alcohol test.
4. Sign a waiver regarding lawful release of information as necessary.
5. Undergo unannounced follow-up testing for up to 60 months as prescribed by the SAP
but not less than 6 tests in the first year following return to duty.
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• ALCOHOL TESTING PROCEDURES
This section provides information on the procedures that will be used to test for the presence of
alcohol, to protect the employee and the integrity of the breath testing process, to safeguard the
validity of the test results, and to ensure that the results are correctly attributed to the proper
employee.
All DOT tests must be conducted in accordance with 49 CFR Part 40, "Procedures for
Transportation Workplace Drug and Alcohol Testing Programs" and any amendments thereto. This
regulation is updated annually and a current copy is on file in the Safety section, available for any
employee who would like to refer to or make copies of the regulations.
FTA regulations require alcohol testing of safety-sensitive employees only during specific time
periods. These are just before, during, or just after the performance of a safety-sensitive function.
1. Preparation.
a. The breath specimen testing method is the chosen method for DART employees. The
breath specimen must be collected through the use of an evidential breath testing
device (EBT) that is approved by the National Highway Traffic Safety
Administration (NHTSA). The test must be performed privately by a breath alcohol
technician (BAT).
b. An EBT is used to test for and measure an employee's breath alcohol concentration.
The alcohol test must be performed by a BAT who is trained to proficiency in the
operation of the EBT being used and in the alcohol testing procedures specified in
the regulations. The BAT must have successfully completed a course of instruction
that provides training in the principles of EBT methodology, operation, and
calibration checks that is in accordance with the DOT Model BAT Course. In
addition the BAT must have completed training on the fundamentals of breath
analysis for alcohol content, the procedures required for obtaining a breath specimen,
interpreting and recording EBT results, maintaining the integrity of the testing
process, ensuring the privacy of employees being tested, and avoiding conduct or
statement that could be viewed as offensive or inappropriate. DART documents the
training and proficiency of the BAT who tests its employees.
c. If an employee does not report to the collection site at the appropriate interval
DART’s Safety section will be notified. In a situation where a C/TPA has notified
an employee to report for testing and the employee does not appear, the C/TPA will
notify the employee that he/she has refused to test.
d. The BAT must ensure that when the employee enters the testing site that the testing
process begins without undue delay. If the employee is also going to take a DOT
drug test, the BAT, to the greatest extent practicable, ensure that the alcohol test is
completed before the urine collection process begins. If the employee needs medical
attention it will not be delayed to conduct a test.
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e. Alcohol tests are conducted at a site that provides privacy to the individual being
tested. Only the BAT, the employee, or a DOT agency representative is allowed to
witness a testing procedure. Upon arrival at the alcohol collection site, the employee
must provide positive identification to the BAT. The identification can be in the form
of a DART ID card, a driver's license, or a photo ID will be taken at the site by a
collection site staff person. If the employee cannot produce positive identification,
DART’s Safety section must verify the identity of the employee.
f. After the testing procedures are explained to the employee, the employee and the
BAT must complete, date, and sign the alcohol testing form. The employee and the
BAT sign the form indicating that the employee is present and providing a breath
specimen. The employee is considered to have refused to take the alcohol test if
he/she fails to sign the certification at Step 2 of the alcohol testing form. The breath
alcohol testing form is shown in Appendix G of 49 CFR part 40, a copy of which is
available in the DART Safety section.
2. Initial Screening Test.
a. The BAT will inform the employee of the need to conduct a screening test. The BAT
must open or allow the employee to select an individually sealed, disposable
mouthpiece in view of the employee and attach it to the EBT.
b. The BAT will instruct the employee to blow steadily and forcefully into the
mouthpiece for at least six seconds or until an adequate amount of breath has been
obtained. Following the initial screening test, the BAT must show the employee the
result displayed on the EBT or the printed result.
c. If the result of the screening test is an alcohol concentration of less than 0.02, no
further testing is required and the test will be reported to DART as a negative test.
3. Confirmation Test.
a. If the result of the screening test is an alcohol concentration of 0.02 or greater, a
confirmation test must be performed. The confirmation test must be conducted at
least 15 minutes, starting with the completion of the screening test, but not more than
30 minutes after the completion of the initial test. This delay prevents any
accumulation of alcohol in the mouth from leading to an artificially high reading.
b. The BAT will inform the employee of the need to conduct a confirmation test. The
employee will be instructed to not eat, drink, or put any substance in the mouth. The
BAT will also instruct the employee not to belch to the extent possible while
awaiting the confirmation test. The BAT must inform the employee that the test will
be conducted at the end of the waiting period, even if the employee has disregarded
the instructions. The employee will be observed during the waiting period.
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c. Before the confirmation test is administered, the BAT shall conduct, in the presence
of the employee, an air blank on the EBT and show the reading to the employee. If
the reading is greater than 0.00, the BAT shall conduct one more airblank. If the
second airblank reading is greater than 0.00, the EBT may not be used to conduct the
test.
d. The confirmation test is conducted using the same procedures as the screening test;
however, a new mouthpiece must be used. The BAT and the employee must read the
unique test number displayed on the EBT. The employee must be shown the result
display on EBT, the result and unique test number that the EBT prints out.
e. If the initial and confirmation test results are not identical, the confirmation test
result is deemed to be the final result. If the result displayed on the EBT is not the
same as that on the printed form, the test will be canceled, and the EBT removed
from service.
f. The BAT will sign and date the form. The employee will sign and date the
certification statement, which includes a notice that the employee cannot perform
safety-sensitive functions or operate a motor vehicle if the results are 0.02 or greater.
The BAT will attach the alcohol test result printout directly onto the alcohol
collection form with tamperproof tape (unless the results are printed directly to the
form).
g. The BAT will notify DART’s Safety section of any result of 0.02 or greater by any
means to ensure the result is immediately received.
4. Shy Lung Evaluation.
If an employee is unable to provide an amount of breath sufficient to permit a valid test,
the following procedures will be followed:
a. The employee will be instructed to attempt again to provide sufficient amount of
breath and the proper way to do so. If the employee refuses to make the attempt, the
test will be discontinued and the collection site technician will notify DART's Safety
section of the employee's inability to provide an adequate amount of breath. This is a
refusal to test.
b. If the employee attempts again and fails to provide a sufficient amount of breath, the
employee may be given another opportunity to do so if the BAT believes that there is
a strong likelihood that it could result in providing a sufficient amount of breath.
When attempts have failed to produce a sufficient amount of breath, DART’s Safety
section must be notified.
c. When an employee has not provided a sufficient amount of breath, DART’ Safety
representative will direct the employee to obtain, within five days, an evaluation
from a licensed physician who is acceptable to the BAT and who has expertise in the
medical issues raised by the employee’s failure to provide a sufficient specimen.
The physician will be advised: (1) that the employee was required to take a DOT
breath alcohol test, but was unable to provide a sufficient amount of breath to
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complete the test; (2) the consequences of the appropriate DOT agency regulation for
refusing to take the required alcohol test; (3) that the physician must provide
DART’s Safety section with a signed statement of his or her conclusions.
d. The physician, in his/her reasonable medical judgment, must base those conclusions
on one of the following determinations: (1) That a medical condition has, or with a
high degree of probability, could have, precluded the employee from providing an
adequate amount of breath. In this case, the test is cancelled. (2) That there is not an
adequate basis for determining that a medical condition has, or whether with a high
degree of probability could have, precluded the employee from providing a sufficient
amount of breath. This constitutes a refusal to take a test.
5. Incomplete Test. If a screening or confirmation test cannot be completed, the BAT
must, if practicable, begin a new test using a new alcohol testing form with a new
sequential test number. If repeating the testing process is necessary, the test must begin
as soon as possible.
6. Reporting.
The BAT will transmit all results to DART in a confidential manner, in writing. If an
employee must be removed from a safety-sensitive position, the BAT will notify
DART's Safety section immediately. Prior to removal of the safety-sensitive employee
from the safety-sensitive function, a representative of the Safety section will be
responsible for verifying that the test results are attributable to the correct employee by
verifying employee ID number, date of testing, and time of testing.
7. Ensuring Conformance.
To protect the integrity of the testing process and to ensure accurate results, the
procedures for conducting an alcohol breath test are rigorous. DART will periodically
monitor these testing procedures to ensure conformance.
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• DRUG TESTING PROCEDURES
This section provides information on the procedures that will be used to test for the presence of
prohibited drugs, to protect the employee and the integrity of the drug testing process, to safeguard
the validity of the test results, and to ensure that the results are correctly attributed to the proper
employee.
All testing must be conducted in accordance with Department of Transportation (DOT) regulations
found in 49 CFR part 40, "Procedures for Transportation Workplace Drug and Alcohol Testing
Programs" and any amendments thereto. This regulation is updated annually and a current copy is
on file in the Safety section, available for any employee who would like to refer to or make copies
of the regulations.
The FTA requires laboratory testing of urine specimens for the following types of drugs.
Identification of either a drug or its metabolite in the urine indicates use of a drug in the recent past.
A metabolite is a modified form of a drug that has been chemically altered by the body's metabolic
system.
1. Authorized Drug Tests.
The FTA requires testing for the following drugs:
a. Marijuana metabolites
b. Cocaine metabolites
c. Opiates metabolites including Codeine, Morphine and 6-Acetylmorphine
d. Phencyclidine (PCP)
e. Amphetamines including amphetamines, methamphetamines, MDMA (ecstasy),
MDA and MDEA.
2. Specimen Validity Testing
Specimen validity testing will be conducted on all urine specimens. Each specimen will
be evaluated to determine if it is consistent with normal human urine. The purpose is to
determine whether certain adulterants or foreign substances were added to the urine, if
the urine was diluted, or if the specimen was substituted.
3. Authorized Laboratory.
a. The FTA requires drug testing to be completed in a laboratory certified by the
Department of Health and Human Services (HHS) in accordance with 53 FR 11970,
dated April 11, 1988 "Mandatory Guidelines for Federal Workplace Drug Testing
Programs" and any subsequent amendments thereto. These laboratories have been
rigorously inspected and tested to meet the highest standards for analytical
competence.
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b. At all times this policy is in effect, DART will contract the services of a HHS-
certified laboratory to meet all specified FTA requirements. The identity of the
current HHS laboratory or laboratories under contract with DART is shown in
Appendix 2. DART will routinely inspect and monitor these services to ensure
contractual obligations are met. The laboratory is responsible for records retention
and reporting results in accordance with 49 CFR Part 40.
c. DART requires that the laboratory maintain employee test records in confidence, as
provided in DOT agency regulations. The laboratory must report laboratory results
directly, and only, to the MRO at his or her place of business. Results will not be
reported to or through DART’s Safety section or a service agent.
d. The laboratory shall report test results to the employer's Medical Review Officer in a
timely manner, preferably the same day that review by the certifying scientist is
completed. Before any test result is reported (the results of initial tests, confirmatory
tests, or quality control data), it shall be reviewed and the test certified as an accurate
report by the certifying scientist. The report shall identify the drugs/metabolites
tested for, whether positive or negative, the specimen number assigned by the
employer, laboratory name and address, employer’s name and/or account number,
Medical Review Officer’s name, Donor’s SSN or employee I.D. number, reason for
test, if provided, collector’s name and telephone number, date of collection, date
received at the laboratory, date certifying scientist released the results, certifying
scientist’s name, correctable flaw explanation.
e. The laboratory shall report to the MRO, quantitative values for confirmed positive
drug, adulterated, and substituted test results when the MRO request it in writing.
The request may be a general request covering all results sent to the MRO or a
specific case-by-case request. Quantitative values for confirmed opiate results for
morphine or codeine at 15,000 ng/ml or above must be provided to the MRO even if
the MRO has not requested quantitative values for the test result. The laboratory
will report the results for each primary specimen tested as one or more of the
following: (1) negative, (2) negative-dilute, (3) Reject for testing, with remark(s), (4)
positive, with drug(s)metabolite(s) noted; (5) positive, with drug(s)/metabolite(s)
noted – dilute, (6) adulterated, with remark(s), (7) substituted, with remark(s), or (8)
invalid result, with remark(s).
f. The Medical Review Officer may request from the laboratory and the laboratory
shall provide quantitation of test results. The MRO shall report whether the test is
positive or negative, and may report the drug(s) for which there was a positive test,
but shall not disclose the quantitation of test results to the employer. Provided, that
the MRO may reveal the quantitation of a positive test result to the employer, the
employee, or the decision maker in a lawsuit, grievance, or other proceeding initiated
by or on behalf of the employee and arising from a verified positive drug test.
g. The laboratory may transmit results to the Medical Review Officer by various
electronic means (for example, teleprinters, facsimile, or computer) in a manner
designed to ensure confidentiality of the information. Results may not be provided
verbally by telephone. The laboratory and employer must ensure the security of the
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data transmission and limit access to any data transmission, storage, and retrieval
system.
h. The laboratory shall send only to the Medical Review Officer the original or a
certified true copy of the drug testing custody and control form (part 2), which, in the
case of a report positive for drug use, shall be signed (after the required certification
block) by the individual responsible for day-to-day management of the drug testing
laboratory or the individual responsible for attesting to the validity of the test reports,
and attached to which shall be a copy of the test report.
i. The laboratory shall provide the employer an aggregate quarterly statistical summary
of urinalysis testing of the employer's employees on a semi-annual basis.
j. Semi-Annual reports shall not contain personal identifying information or other data
from which it is reasonably likely that information about individuals' tests can be
readily inferred. If necessary, in order to prevent disclosure of such data, the
laboratory shall not send such a report until data are sufficiently aggregated to make
such an inference unlikely.
k. The laboratory shall make available copies of all analytical results for employer drug
testing programs when requested by DOT or any DOT agency with regulatory
authority over the employer. Unless otherwise instructed by the employer in writing,
all records pertaining to a given urine specimen shall be retained by the drug testing
laboratory for a minimum of 2 years. Within ten (10) days of receiving a written
request from an employee, and made through the MRO, the records relating to the
results of the employee’s drug test will be provided.
l. Drug testing laboratories shall retain a specimen in properly secured long-term
frozen storage in accordance with HHS requirements. Within this 1-year period, an
employer (or other person designated in a DOT agency regulation) may request the
laboratory to retain the specimen for an additional period of time, but if no such
request is received the laboratory may discard the specimen after the end of 1 year,
except that the laboratory shall be required to maintain any specimens known to be
under legal challenge for an indefinite period.
4. Specimen Collections Sites.
a. All urine specimens must be collected at a collection site meeting the requirements
of the DOT regulations and authorized by DART. A collection site is defined as a
place where employees present themselves for the purpose of providing a specimen
to be analyzed for the presence of drugs. The identity of our contractor for collection
services is shown in Appendix 2.
b. The collection site must be secured when not in use or, if this is not possible, the site
must be visually inspected by collection site personnel prior to specimen collection
to ensure that unauthorized persons are not present and that there are no unobserved
entrance points. The collection site must also follow steps in the regulation before
each collection to deter tampering with specimens, ensure security during the
collection procedure, and remain within the collection site in the time between when
the employee gives a specimen and when it is sealed. To assist the specimen
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collector in determining if the employee has attempted to dilute the specimen, a
bluing agent must be added to the toilet water. All other sources of water (e.g., sinks,
showers, etc.) must be turned off or taped off in such a way as to prevent use if they
are located within the private enclosure area where urination occurs.
5. Collection Site Personnel.
a. The collection site personnel are responsible for the integrity of the specimen
collection and urine transfer process and for ensuring the dignity and privacy of the
donor. The collector should avoid any remarks that may be construed as accusatory
or otherwise offensive or inappropriate. All collection site personnel are trained to
prepare the collection site, collect specimens, examine specimens for tampering or
sample adulteration, observe collections, split specimens, fatal flaws, correctable
flaws, and how to correct problems in collections. Collection site personnel must
remain available or on the site to facilitate the conclusion of the test.
b. Collection site personnel must comply with the FTA's records retention requirements
as set forth in the regulations. Under the authority of DART, no records shall be
destroyed without the express written consent of DART.
c. DART will ensure that the complete collection process meets all applicable DOT and
FTA regulations.
6. Initial and Confirmation Drug Testing.
a. The initial drug test for safety-sensitive employees is conducted in a manner that
provides the employee with the privacy to the greatest extent possible and to protect
the integrity of the drug testing process. The initial test is performed using the
immunoassay test. All positive drug tests results must be confirmed by using the Gas
Chromatogrphy / Mass Spectrometry (GC/MS) drug test. The CG/MS drug test is the
only confirmation test permitted by the DOT.
b. Effective October 1, 2010, the following drug test cutoff levels have been established
by the HHS and approved by the DOT for use in the initial and confirmation drug
testing process. These levels shall be used when screening specimens to determine
whether they are negative for the prohibited drugs. These cutoff levels are subject to
change by the HHS as advances in technology or other considerations warrant
identification of these substances at other concentrations.
Initial test analyte Initial Test Cut- Confirmatory Test Confirmatory Test
Off Analyte Cut-Off
Marijuana Concentration Concentration
Metabolites THCA (Delta-9-
50 ng/mL tetrahydrocannabino 15 ng/mL
Cocaine l-9-carboxylic acid)
Metabolites
150 ng/mL Benzoylecgonine 100 ng/mL
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Opiate Metabolites 2,000 ng/mL Codeine 2,000 ng/mL
10 ng/mL Morphine 2,000 ng/mL
Codeine/Morphine
6-Acetylmorphine 10 ng/mL
6-
Acetylmorphine
Phencyclidine 25 ng/mL Phencyclidine (PCP) 25 ng/mL
(PCP)
Amphetamines
Amphetamine/ 500 ng/mL Amphetamine 250 ng/mL
Methamphetamine 500 ng/mL Methamphetamine 250 ng/mL
(1)
MDMA 250 ng/mL
(Ecstasy) MDMA (2) 250 ng/mL
MDA (3)
250 ng/mL
MDEA (4)
(1) To be reported positive for methamphetamine, a specimen must also contain amphetamine at
a concentration equal to or greater than 100 ng/mL.
(2) Methylenedioxymethamphetamine (MDMA).
(3) Methylenedioxyamphetamine (MDA).
(4) Methylenedioxyethylamphetamine (MDEA).
7. Collection Process.
Specimen collection is the most critical aspect of the drug testing program. The strict
maintenance of chain-of-custody of the specimen and the training of collection personnel
minimizes the opportunities for human error, the compromising of employee privacy and
dignity in the collection process, cancellations resulting from flawed specimen
collections, and many other problems. DART will ensure that the collection site
personnel rigorously follow the guidelines for specimen collection.
Prior to actually beginning a collection, the collector must:
a. Notify the Safety section that the employee has not reported for testing by the
allotted time.
b. Ensure that the testing process begins without undue delay when the employee enters
the collection site. If medical attention is needed it should not be delayed to collect a
specimen. Urine from either conscious or unconscious employee, by catheterization
or other means, to conduct a drug test is not permitted. If an employee normally
voids through self-catheterization the employee is required to provide a specimen in
that manner. If the employee declines to do so, this constitutes a refusal to test.
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c. Require the employee to provide positive identification. A photo ID issue by DART
or a Federal, state, or local government is acceptable. Positive identification by
DART’s Safety section is also acceptable. If positive identification is not provided,
the collector must contact DART’s Safety section.
d. Explain the basic collection procedure to the employee, including showing the
employee the instructions on the back of the CCF.
e. Direct the employee to remove outer clothing that could be used to conceal items or
substances that could be used to tamper with a specimen. Also direct the employee
to leave the garments and any briefcase, purse, or other personal belonging with
him/her or a mutually agreeable location. Advise the employee that failure to
comply with directions constitutes a refusal to test. The collector must provide a
receipt for belongings if it is requested; allow the employee to keep his/her wallet;
must not request other clothing or all clothing be removed or a change into a hospital
or examination gown (unless the urine collection is being accomplished
simultaneously with a DOT authorized medical examination). Direct the employee
to empty his/her pockets and display the items in them to ensure that no items are
present which could be used to adulterate the specimen. If there is nothing that can
be used to adulterate a specimen, items can be placed back in his/her pockets. An
employee must allow the collector to make this observation.
f. Instruct the employee not to list medications that he or she is currently taking on the
CCF. Notes of medications may be made on the back of the employee copy of the
form for his or her own convenience but the notes must not be transmitted to anyone
else.
g. Prior to the employee providing a urine specimen, the collector must:
1) Ensure that DOT urine custody and control forms are used and that they are used
for safety-sensitive employees only. The Custody and Control Form (CCF) must
be a five-part carbonless manifold form. Other forms will be used when testing
non-safety-sensitive employees and when performing tests not required by FTA.
2) Ensure that employees rinse their hands with water and dry them at this time.
Instruct the employee not to wash his/her hands again until after delivering the
specimen to the collector. Restrict the access to water or other materials that
could be used to adulterate or dilute a specimen.
3) Select or allow the employee to select an individually wrapped or sealed
collection container from collection kit material. The specimen bottle must not
be unwrapped or unsealed at this time. The collector or the employee, with both
present, must unwrap or break the seal of the collection container. The collector
must unwrap the collection cup or specimen bottle in front of the employee and
direct the employee to the privacy enclosure. The employee is not allowed to
take anything from the collection kit into the room used for urination except the
collection container. The initial specimen collection must not be observed. The
employee must be notified that at least 45 milliliters (about 1.5 ounces) of urine
is required; the toilet should not be flushed; and that the specimen must be
returned to the collector as soon as the void has been completed. The collector
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must pay careful attention during the entire collection process to note any
conduct that clearly indicates an attempt to tamper with a specimen. If he/she
detects such conduct, he/she must require that a collection take place
immediately under direct observation and note the conduct and the fact that the
collection was observed in the “remarks” line on the CCF. DART’s Safety
section and collection site supervisor must be notified of the situation as soon as
possible.
h. When the employee gives the collection container to the collector, the collector must:
1) Ensure the sufficiency of the specimen. Check to ensure that the specimen
contains at least 45 ml. of urine. If it does not, the “shy bladder” procedures
must be followed. When the “shy bladder” procedures are followed, the
collector must discard the original specimen, unless another problem also exists.
2) Check the temperature of the specimen no later than four (4) minutes after the
employee has given him/her the specimen. The acceptable temperature range is
32-38C/90-100 F. The temperature of the specimen is determined by reading the
temperature strip attached to the collection container. The status of the
temperature should be documented on the CCF, Step 2. If the specimen is
outside the acceptable range, the collector must immediately conduct a new
collection using direct observation procedures. If a specimen is collected under
direct observation, both the original specimen and the specimen collected using
direct observation must be sent to the laboratory. This is true when the original
specimen has insufficient volume but the temperature is out of range. DART’s
Safety section and the collection site supervisor will be notified that a collection
took place under direct observation and the reason for doing so, as soon as
possible. If an employee refuses to provide another specimen or refuses to
provide another specimen under direct observation, DART’s Safety section will
be notified. The collector will discard any specimen the employee has provided
previously during the collection procedure.
3) The collection site technician must also visually examine the specimen for any
unusual color, presence of foreign objects or materials, or other signs of
tampering. If it is apparent that the employee has tampered with the specimen
(e.g. blue dye in the specimen, excessive foaming when shaken, smell of bleach),
a new collection under direct observation will be conducted immediately. If the
new collection shows any signs of tampering, both the original specimen and the
specimen collected under direct observation will be sent to the laboratory. This
also applies when the original specimen has insufficient volume but show signs
of tampering. DART’s Safety section and the collection site supervisor will be
notified of the direct observation and the reason for doing so as soon as possible.
If an employee refuses to provide a specimen under direction observation, any
specimen the employee provided previously during the collection process will be
discarded. DART’s Safety section will be notified as soon as possible.
4) All collections under DOT agency drug regulations must be split specimen
collections. In the presence of the employee, the collector will check the box on
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the CCF (step 2) indicating the split specimen collection, pour the urine into two
specimen bottles (30 ml will be poured into one bottle to be used as the primary
specimen and at least 15 ml shall be poured into the other bottle to be used as the
split specimen), and place and secure the lids/caps on the bottles.
5) The bottles must be sealed with the tamper-evident bottle seals placed over the
bottle caps and down the sides of the bottles; the date must be written on the
tamper-evident bottle seals, and the donor must initial the tamper-evident bottle
seals. If the employee fails or refuses to do so, the collector must note this in the
“remarks” line of the CCF (step 2) and complete the collection process. The
collector must discard any urine left over in the collection container after both
specimen bottles have been appropriate filled and sealed. One exception to this
requires is that excess urine can be used to conduct clinical tests (e.g., protein,
glucose) if the collection is conducted in conjunction with a physical examination
required by a DOT agency regulation. No further testing may be conducted on
the excess urine and employees have no legal right to demand that the excess
urine be turned over to them.
6) To complete the collection process, the "intact" custody and control form must be
completed. The collection site technician and the donor must sign the
appropriate certification statements on copy 2 (Step 5) on the form regarding
authenticity of the specimen and information provided and the integrity of the
collection process. If an employee refuses to sign the CCF or provide their date
of birth, printed name, or telephone numbers, it must be noted in the “remarks”
line (Step 2) of the CCF. After the chain of custody on the CCF has been
completed, a copy will be given to the employee and supervisor.
7) Both the primary specimen and the split specimen shall be sealed in a single
shipping container, together with the appropriate pages of the custody and
control form. The tape seal on the container shall bear the initials of the
collecting person and date of closure for shipment.
8) The specimen should be placed in secure storage in accordance with FTA
regulations until dispatched to the contracted laboratory. Each specimen should
be shipped to a laboratory as quickly as possible, but in any case within 24 hours
or during the next business day.
8. Split Specimen Testing.
a. The urine specimen must be split and poured into two specimen bottles. This
provides the employee with the option of having an analysis of the split specimen
performed at a separate HHS laboratory if the primary specimen test is verified
positive.
b. The MRO must notify the employee of his or her right to have the split specimen
tested and notify the employee of the procedures for requesting a test of the split
specimen.
c. The employee has 72 hours after being informed by the MRO of a verified positive
test request a test of the split specimen. The request may be verbal or in writing. If
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a employee does not request a test of the split specimen within 72 hours, the
employee may present to the MRO information documenting serious injury, illness,
lack of actual notice of the verbal test result, inability to contact the MRO, or other
circumstances unavoidably prevented him/her from making a timely request. If the
MRO concludes from the employee’s information that there was a legitimate reason
for the employee’s failure to contact him/her within 72 hours, the MRO must direct
that the test of the split specimen take place, just as he/she would when there is a
timely request. When the employee makes a timely request for a test of the split
specimen as described above. The MRO will immediately provide written notice to
the laboratory that tested the primary specimen to forward the split specimen to a
second HHS-certified laboratory. The date and time of the employee’s request must
be documented.
d. DART is responsible for making sure that the MRO, first laboratory, and second
laboratory perform the functions noted 49 CFR Part 40.175 - 40.185 in a timely
manner, once the employee has made a timely request for a test of the split specimen.
Compliance will not be conditioned on the employee’s direct payment to the MRO
or laboratory or the employee’s agreement to reimburse DART for the cost of
testing. DART will pay for the cost a test of split specimen for it’s employees.
e. The laboratory must check to see whether the split specimen is available for testing.
The laboratory is not authorized to open the split specimen under any circumstances.
When the laboratory received written notice instructing them to send the split
specimen to another HHS-certified laboratory, it must send: (1) The split specimen in
its original specimen bottle, with the seal intact; (2) A copy of the MRO’s written
request; and (3) A copy of Copy 1 of the CCF which identifies the
drug(s)/metabolite(s) or the validity criteria to be tested for to the second laboratory.
f. The specimen will be tested by the second laboratory for the drug(s)/drug
metabolites(s) detected in the primary specimen without regard to the cutoff
concentrations. If the test fails to reconfirm the presence of the drug(s)/drug
metabolite(s) that were reported positive in the primary specimen, a validity test will
be conducted in the in an attempt to determine the reason for being unable to
reconfirm the presence of the drug(s)/metabolite(s). The same validity tests will be
conducted on both a primary and secondary specimen. If the test fails to reconfirm
the presence of the drugs/drugs metabolites or validity criteria that were reported in
the primary specimen, the specimen or an aliquot of it will be transmitted to another
HHS-certified laboratory that will conduct another reconfirmation test.
9. Shy Bladder Evaluation.
This section prescribes procedures for situations in which an employee does not provide
a sufficient amount of urine to permit a drug test.
a. The collector must:
1) Discard the insufficient specimen, except where the insufficient specimen was
out of temperature range or showed evidence of adulteration or tampering. Urge
the employee to drink up to 40 ounces of fluid, distributed reasonably through a
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period of up to three hours, or until the individual has provided a sufficient urine
specimen, whichever occurs first. It is not a refusal to test if the employee
declines to drink.
2) If the employee refuses to make the attempt to provide a new urine specimen or
leaves the collection site before the collection process is complete, the collector
must discontinue the collection, note the fact on the “remarks” line of the CCF,
and immediately notify DART’s Safety section. This is a refusal to test.
3) If the employee has not provided a sufficient specimen within three hours of the
first unsuccessful attempt to provide the specimen, the collector must discontinue
the collection, note the face on the remarks line of the CCF and immediately
notify DART’s Safety section.
4) Copies of the CCF must be sent to the MRO and DART’s Safety section within
24 hours or the next business day.
b. DART’s Safety section, when the collector informs it that the employee has not
provided a sufficient amount of urine must, after consulting with the MRO, direct the
employee to obtain, within five days, an evaluation from a licensed physician,
acceptable to the MRO, who has expertise in the medical issues raised by the
employee’s failure to provide a sufficient specimen.
1) If another physician performs the evaluation, the MRO must provide the other
physician with the following information and instructions:
i. That the employee was required to take a DOT drug test, but was unable to
provide a sufficient amount of urine to complete the test;
ii. The consequences of the appropriate DOT agency regulation for refusing to
take the required drug test;
iii. That the referral physician must agree to follow the requirements of
paragraphs (d) through (g) of this section.
c. The referral physician conducting the evaluation must recommend that the MRO
make one of the following determinations:
1) A medical condition has, or with a high degree of probability could have,
precluded the employee from providing a sufficient amount of urine. If the MRO
accepts this recommendation, he/she must:
i. Check “test cancelled” on the CCF; and
ii. Sign and date the CCF.
2) There is not an adequate basis for determining that a medical condition has, or
with a high degree of probability could have, precluded the employee from
providing a sufficient amount of urine. If the MRO accepts this
recommendation, he/she must:
i. Check “refusal to test because” on the CCF and enter reason in the remarks
line; and
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ii. Sign and date the CCF.
d. The referral physician after completing his/her evaluation, must provide a written
statement of his/her recommendations and the basis for them for them to the MRO.
e. In the case of a pre-employment test, the referral physician must determine that the
employee’s medical condition is a serious and permanent or long-term disability that
is highly likely to prevent the employee from providing a sufficient amount of urine
for a very long or indefinite period of time, he/she must set forth their determination
and the reasons for it in their written statement to the MRO. The MRO, upon
receiving such a report, must follow the requirements of Part 40.195, where
applicable.
f. The MRO must seriously consider and assess the referral physician’s
recommendations in making their determination about whether the employee has a
medical condition that has, or with a high degree of probability could have,
precluded the employee from providing a sufficient amount of urine. The MRO
must report his/her determination to DART’s Safety section in writing as soon as
he/she makes it.
g. When DART’s Safety section receives a report from the MRO indicating that a test
is cancelled as provided in paragraph (d)(1) of this section, it will take no further
action with respect to the employee. The employee remains in the random testing
pool.
10. Shy Bladder for Pre-employment or Return-to-Duty test because of a Permanent or
Long-term Medical Condition.
This section concerns a situation in which an employee has a medical condition that
precludes him or her from providing sufficient specimen for a pre-employment, follow-
up, or return to duty and the condition involves a permanent or long-term disability.
a. The MRO must determine if there is clinical evidence that the individual is an illicit
drug user. The determination must be made by personally conducting, or causing to
be conducted, a medical evaluation and through consultation with the employee’s
physician and/or the physician who conducted the evaluation under 49 CFR Part
40.193(d).
b. If the MRO does not personally conduct the medical evaluation, he/she must ensure
that one is conducted by a licensed physician acceptable to him/her.
c. For purposes of this section, the MRO or the physician conducting the evaluation
may conduct an alternative test (e.g., blood) as part of the medically appropriate
procedures in determining clinical evidence of drug use.
d. If the medical evaluation reveals no clinical evidence of drug use, the MRO will
report the result to DART’s Safety section as a negative test with written notations
regarding results of both the evaluation and Part 40.193. This report will state the
basis for determining that a permanent or long-term medical condition exists, making
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Appendix 5
provision of a sufficient urine specimen impossible, and for the determination that no
signs and symptoms of drug use exist.
e. If the medical evaluation reveals clinical evidence of drug use, the MRO will report
the result to DART’s Safety section as a cancelled test with written notations
regarding results of both the evaluation and other medical examination. This report
will state the basis for determining that a permanent or long-term medical condition
exists, making provision of a sufficient urine specimen impossible, and state the
reason for the determination that signs and symptoms of drug use exist. Because this
is a cancelled test, it does not serve the purposes of a negative test.
11. Directly Observed Collections.
a. Procedures for collecting urine specimens will allow individual privacy (e.g., initial
testing will be unobserved) except under the following circumstances, in which case
an immediate collection under direct observation with no advance notice to the
employee must be conducted:
1) The laboratory reported to the MRO that a specimen is invalid, and the MRO
reported to DART that there was not an adequate medical explanation for the
result;
2) The MRO reported to DART that the original positive, adulterated, or substituted
test result had to be cancelled because the test of the split specimen could not be
performed;
3) The laboratory reported to the MRO that the specimen was negative-dilute with a
creatinine concentration greater than or equal to 2 mg/dL but less than or equal to
5 mg/dL, and the MRO reported the specimen to DART as negative-dilute and
that a second collection must take place under direct observation;
4) DART may direct a collection under direct observation if the drug test is a
return-to-duty test or a follow-up test;
5) The collector observed materials brought to the collection site or the employee’s
conduct clearly indicates an attempt to tamper with a specimen;
6) The temperature on the original specimen was out of range or the original
specimen appeared to have been tampered with.
b. The collector must ensure that the observer is the same gender as the employee. The
observer can be a different person from the collector and need not be a qualified
collector. The observer must request the employee to raise his/her shirt, blouse, or
dress/skirt, as appropriate, above the waist; and lower clothing and underpants to
show the observer, by turning around, that they do not have a prosthetic device. After
the observer has determined that the employee does not have such a device, the
observer may permit the employee to return clothing to its proper position for
observed urination. The observer must watch the employee urinate into the collection
container. Specifically, the observer is to watch the urine go from the employee’s
body into the collection container.
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Chapter 10.0: Substance Abuse Program
Appendix 5
c. If the employee declines to allow a directly observed collection to occur, this is a
refusal to test.
12. Monitored Collection.
a. The collector must secure the collection site so that no one except the employee and
the monitor can enter it until after the collection has been completed. The monitor
will be the same gender as the employee unless he/she is a medical professional,
technologist, or technician licensed or certified to practice in the jurisdiction in
which the collection takes place. The monitor can be a different person from the
collector and need not be a qualified collector. The name of the monitor will be
noted in the “remarks” line of the CCF (Step 2).
b. The monitor will not watch the employee urinate into the collection container but if
he/she hears sounds or makes other observations indicating an attempt to tamper
with a specimen there will be an additional collection under direct observation.
c. The monitor will ensure that the employee takes the collection container directly to
the collector as soon as the employee has exited the enclosure.
d. If an employee declines to permit a collection to be monitored, it is a refusal to test.
13. Dilute Specimen.
a. If the MRO informs DART that a positive drug test was dilute, the test will be
treated as a verified positive test. An employee cannot take a second test based on
the fact that the specimen was dilute.
b. If the MRO informs DART that a negative drug test was dilute and that a second
collection must take place under direct observation, DART will direct the employee
to take another test immediately.
c. All employees will be treated the same. When directed to take another test,
employees: (1) Will be given the minimum possible advance notice that he/or she
must go to the collection site, (2) The result of the second test becomes the test of
record and (3) if the second test is also negative or dilute, the employee will not be
required to take a third test because the second test was dilute. If the employee is
directed to take another test and the employee declines to do so, the employee has
refused to test for purpose of this part and DOT agency regulations.
14. Medical Review Officer.
The MRO acts as an independent and impartial “gatekeeper” and advocate for the
accuracy and integrity of the drug testing process.
a. All drug testing laboratory results must be reviewed and validated by a qualified
Medical Review Officer (MRO). At all times this policy is in effect, DART will
contract with a fully qualified MRO. The identity and credentials of DART current
MRO is shown in Appendix 2. DART's MRO is a contracted, licensed physician
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Chapter 10.0: Substance Abuse Program
Appendix 5
certified by the Medical Association of Medical Review Officers and the Medical
Review Officer Certification Council.
b. The MRO is responsible for receiving laboratory results generated by DART's drug
testing program and verifying that test results match those of the person identified
as having taken the test. The MRO also has knowledge and clinical experience of
substance abuse disorders, including detailed knowledge of alternative medical
explanations for laboratory confirmed drug test results, issues relating to
adulterated and substituted specimens and possible medical causes of specimens
having an invalid test and has appropriate medical training to interpret and evaluate
confirmed positive test results together with medical histories and any other
relevant biomedical information. The MRO shall not consider the results of urine
specimens that are not obtained or processed by a laboratory authorized by DART.
c. In the case of split specimen testing, DART's MRO is authorized and is responsible
for validating and monitoring the certification and required services of a separate
HHS laboratory.
d. DART's MRO performs the following functions in administering the drug testing
program, in protecting the employee's privacy, and in ensuring the integrity of the
required drug testing process:
1) Provides a quality assurance review of the drug testing process for specimens
under his/her purview. This includes:
i. Conducting administrative review of the control and custody form for
purposes of determining whether there is a problem that may cause a test to
be cancelled. The MRO is not required to review laboratory internal chain of
custody documentation;
ii. Providing feedback to the employer, collection sites and laboratories
regarding performance issues;
iii. Reporting to and consulting with the ODAPC or relevant DOT agency when
assistance is needed in resolving any program issue;
iv. Determining whether there is a legitimate medical explanation for confirmed
positive, adulterated, substituted, and invalid drug tests results from the
laboratory;
v. Acting to investigate and correct problems where possible and notify
appropriate parties where assistance is needed.
vi. Ensures the timely flow of test results and other information to employers
and protecting confidentiality of the drug testing information.
vii. The MRO must notify the employee of his or her right to have the split
specimen tested and notify the employee of the procedures for requesting a
test of the split specimen.
viii. Reporting all drug test results to DART's Safety section. Reporting of a
verified positive result is not delayed pending the split specimen analysis.
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Chapter 10.0: Substance Abuse Program
Appendix 5
ix. Maintaining test results and all necessary records as required by the FTA
under 49 CFR part 40 and 49 CFR part 655. Under DART's authority, no
tests records may be destroyed without the express written consent of DART.
x. Protects the privacy of the employee and the confidentiality of the testing
program at all times.
xi. Review of negative results including the CCF, any accompanying corrective
documents, and reports sent to the employer.
2) The MRO will verify a confirmed positive test or a refusal to test only after
interviewing the employee except as noted in 49 CFR Part 40.133. The MRO
must:
i. Tell the employee that the laboratory has determined their test result was
positive, adulterated, substituted, or invalid and the drugs for which is or her
specimen tested positive;
ii. The MRO must explain the verification interview process and inform the
employee that his/her decision will be based on information provided by the
employee;
iii. If further medical evaluation is needed for the verification process, the
employee must comply with the MRO request for the evaluation and failure
to do so is equivalent to expressly declining to discuss the test result;
iv. Must warn the employee that he/she is required to provide a third parties drug
test result information and medical information affecting the performance of
safety-sensitive duties that the employee gives in the verification process
without the employee’s consent;
v. After informing any third party about any medications the employee is using
pursuant to a legally valid prescription, the MRO must allow five (5) days for
the employee to have the prescribing physician contact him/her to determine
if the medication can be changed to one that does not make the employee
medically unqualified or does not pose a significant safety risk;
vi. Must transmit information from the prescribing physician to any third party
to whom information about safety risks of the employee’s other medication
was previously provided.
e. The MRO or C/TPA who transmits drug test results to DART must report them in a
confidential manner the same day the MRO verifies the result or the next business
day all verified positives test results, results requiring an immediate collection under
direct observation, adulterated or substituted specimen results, or other refusals to
test.
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Chapter 10.0: Substance Abuse Program
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15. Ensuring Conformance
To protect the integrity of the testing process and to ensure accurate results, the
procedures for conducting a drug test are rigorous. DART will periodically monitor
these testing procedures to ensure conformance.
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Chapter 10.0: Substance Abuse Program
Appendix 6
• RANDOM TESTING - PERCENTAGE REQUIREMENTS
Beginning in calendar year 2007 and continuing until further notice, the FTA requires transit
properties to randomly test 10% of its safety-sensitive population for alcohol misuse, and 25%
for prohibited drugs.
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Chapter 10.0: Substance Abuse Program
Acknowledgement of DART’s Drug and Alcohol Testing Policy
I, ________________________________, the undersigned, hereby acknowledge that I have
received a copy of the anti-drug and alcohol misuse program policy mandated by the U. S.
Department of Transportation, Federal Transit Administration for all covered employees who
perform a safety-sensitive function. I understand this policy is required by 49 CFR Part 655, as
amended, and has been duly adopted by DART’s governing board. Any provisions contained
herein which are not required by 49 CFR Part 655 and 49 CFR Part 40, as amended, that have been
imposed solely on the authority of the employer are designated as such in the policy document.
I further understand that receipt of this policy constitutes a legal notification of the contents, and
that it is my responsibility to become familiar with and adhere to all provisions contained herein. I
will seek and get clarifications for any questions from DART’s contact person listed in the policy. I
also understand that compliance with all provisions contained in the policy is a condition of my
employment.
I further understand that the information contained in the approved policy is subject to change, and
that any such changes, or addendum, shall be given to me in a manner consistent with the provisions
of 49 CFR Part 655, as amended.
__________________________________ ________________________ ________________
Signature of Employee Employee # Date
* This form will be placed in your training records. Please give it to your supervisor for
submission.
HEM Chapter 10, Page 52
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Revised 04-02-2010
Hourly Employment Manual Supplement
Transportation Department (TD)
1. Basis for Schedules (Rev. Effective 06/01/08)
A. In the interest of the public, operating schedules shall be adapted to meet traffic demands
and be changed as traffic conditions require. The demand for service is variable and
extends through the full 24 hours a day. Since heavy peaks of travel occur in the morning
and in the afternoon, such conditions require a heavy investment in vehicles that are used
for short periods only during the day. Such peaks of travel determine the type of a day's
work that can be provided, and all of those factors are beyond the control of the
Authority. However as far as practicable, schedules will be so constructed as to provide a
maximum of regular straight runs, with the understanding that the number of A.M. and
straight day runs as defined below shall equal at least 80% of the base blocks scheduled.
A block refers to a work assignment of a single bus or train during a service work day.
B. Whenever the Sunday schedule is in effect, all runs shall be A.M., or straight day runs,
except 3% may be split runs as defined in Section 2, provided that special schedules may
be operated on New Year's Day, Labor Day, or other days, not to exceed two consecutive
days without mark-up.
2. Regular Runs
A. A regular run is defined as any run that serves the general public on a predetermined
schedule, collects revenue through the farebox and is selected by an operator and assigned
for an extended period, when there is a regular pick of runs. The system has four types of
regular runs as follows:
(1) A.M. runs are those that begin in the morning and continue without relief.
(2) P.M. runs are those that begin in the afternoon and continue without relief.
(3) Straight day runs are those that begin in the morning before 7:30 a.m. on week days
and 9:00 a.m. when Saturday or Sunday schedules are in effect and have a relief not to
exceed two hours, and then are completed.
(4) Split runs have two parts other than runs defined above.
3. Spread Time
A. Schedules shall be so constructed that wherever practicable, the spread of runs will not
exceed 11½ hours. Where the spread exceeds 11½ hours, the excess time will be paid at
one-half the regular rate (computed at one-half the time over 11½ hours times the
employee's regular rate of pay). Where "allowed time" runs (as stated in Section 5 "Pay
for Regular Runs - Allowed Time") exceed 11½ hours spread, the spread time allowance
will be paid.
B. Employees will be paid the greater of overtime or spread time where both are applicable.
Under no circumstances will overtime be paid on spread time allowances.
HEM Transportation Department Supplement
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Hourly Employment Manual Supplement
Transportation Department (TD)
4. WorkWeek (Rev. Effective 06/01/08)
A. Except for weeks in which holiday schedules occur, the normal workweek for operators
assigned to regular runs shall consist of five days except that during an emergency and
while the emergency continues, the week's work may consist of seven days.
B. Beginning in fiscal year 2009, approximately 5-10% of the runs available will be 4-
day/10-hour packages with the following guidelines: as many as possible with three
consecutive days off; and a guarantee of at least two consecutive days off inclusive of a
weekend day.
5. Pay for Regular Runs - Allowed Time
Regular runs shall pay a minimum of eight hours including such allowances as may apply.
Where minimum time (“allowed time") is provided to make up the eight hours, such time
shall not run concurrently with other time allowance, except as stated in Section 3 under
“Spread Time.”
6. Overtime (Revised 02/25/00)
A. Overtime at the rate of time and one-half shall be paid to all operators for work performed
in excess of a regular run and for work performed in excess of eight (8) hours in a regular
run, including show-up, report, travel, and platform time, less any "allowed time" credited
to said regular run. All work performed by an operator in any one day that exceeds eight
hours shall be paid at the time and one-half rate.
B. In a case of unavoidable delay that causes a vehicle to arrive late at relief point or at
garage, then overtime will not be paid unless such time is five minutes or more.
C. On occasions operators will be required to make additional trips in case of tie-ups or
other emergency causes after they have completed their regular run.
D. Regular operators shall be paid at the rate of time and one-half when required to work on
their scheduled off days provided the employee has not incurred any unscheduled
absences during that same workweek. In the event of an unscheduled absence, RDO
overtime during that pay week will be calculated based on all hours worked in excess of
40 hours. For purposes of this provision, an unscheduled absence is defined as sick leave,
workers’ compensation leave, leave without pay, alternative duty and short-term
disability. However, in no case shall overtime payments run concurrently with other
overtime payments.
E. A regular operator who works or is on paid leave aggregating more than 40 regular hours
in a seven-day period will be paid at an overtime rate of one and one-half times the
regular rate for all hours paid in excess of 40. For purposes of computing weekly
overtime for biweekly payrolls, the first seven days shown on the payroll will constitute
one weekly period, and the last seven days shown on the payroll will constitute the
second weekly period.
HEM Transportation Department Supplement
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Transportation Department (TD)
7. Double Back (Rev. Effective 03/02/05)
No Operator shall be required to "double back" with less than eight (8) hours between the end
of one regular run and the beginning of the next regular run. Regular operators who are
forced on assignments less than eight hours between the end of one regular run and the
beginning of the next regular run will be allowed to “claim” their eight hours off, and be
guaranteed a minimum of eight hours pay for that day.
8. Trippers, Charters, and Flyers (Rev. Effective 06/01/08)
A. Trippers, charters, flyer service, and similar special work are considered extra work and
normally not part of a regular run. This work will be assigned from the station office
unless permission to have a markup is granted by the Senior Manager. A minimum of
two hours at the regular straight time base rate of pay will be paid. When such work is
performed at overtime rates, the minimum of two hours straight time will be paid or time
and one-half will be paid for all time worked, whichever is greater.
B. When mark-ups are granted for trippers, operators who sign for regular runs may sign, in
seniority order, for trippers that do not conflict with their regular runs. Part-time operators
may sign for the unsigned trippers.
C. Extra work, as defined above, will normally be performed by extra board operators. If it is
necessary to use regular operators at overtime rates, this work will be assigned by the
station office, by seniority, from employees on WRR, and then RDO, in that order.
9. Extra Board Operators (Rev. Effective 06/01/08)
A. The first responsibility of the Extra Board will be to protect regularly scheduled service.
Miscellaneous work for each day will be posted on the previous day and assigned to
operators on the Extra list. The Extra list will rotate daily from Monday through Sunday
with the next five available Operators rotating from the top of the list to the bottom of the
list each day on the"first-in - first-out" principle.
B. Extra operators who are required to show up for work and are assigned work will be paid
actual time held (guarding the Extra Board) in addition to other work time plus any
schedule allowance (except “allowed time”) paid in a regular run or charter. "Show up"
time will not include "report" time for this purpose.
C. Any time a regular operator will be off work for five consecutive days for any reason, the
open work assignment will be posted to the extra board, and offered based on seniority.
The operator who receives the assignment will hold the assignment until such time as the
absent operator returns.
10. Extra Board Operator Guarantee
A. Each properly qualified extra operator shall receive a minimum weekly guarantee,
beginning with the first Monday of the week following completion of reports at all roll
calls and fills all assignments offered. The amount of such weekly guarantee shall be 40
hours times hourly base rate of pay, and eight hours shall be deducted from the 40-hour
HEM Transportation Department Supplement
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Transportation Department (TD)
per week guarantee for each day the operator fails to report at all roll calls or fill all
assignments offered.
B. An Extra Board operator who fails to report to all roll calls and has had hours deducted,
as provided above, will be paid the remainder of the 40-hour per week guarantee, or will
be paid for the actual hours worked in the week, whichever is greater.
11. Extra Board Operators Days Off (Rev. Effective 03/02/05)
All operators on the Extra Board will sign up in order of seniority for two days off a week.
Where regular days off result in overlapping shifts that do not afford an operator a full day off
(24 hours), the operator will be paid overtime for the overlapping hours which occur on the
day off.
12. General Mark-up
A. There shall be at least one general mark-up each year at which time operators may
transfer between Divisions and select runs of their choice in accordance with their
Authority seniority standing. Complete schedules will be posted at the time a general
markup is posted.
B. The seniority of bus operators in all divisions will be merged for the general mark-up and
Authority seniority will prevail.
C. Bus operators who cannot qualify on certain lines may be restricted to those lines for
which they qualify.
13. Division Mark-up
A. There shall be at least one Division mark-up each year, at which time operators may
select runs of their choice in accordance with their seniority standing in their Divisions.
B. A Division mark-up shall be conducted whenever a major schedule change occurs (e.g., if
a run is eliminated).
C. Operators who cannot qualify on certain lines may be restricted to those lines for which
they qualify.
14. Line Markup
A. Special line mark-ups shall be conducted whenever a run is changed by 20 minutes or
more, or when a run becomes vacant.
B. A special schedule may be operated for up to two consecutive days for major schedule
changes and up to three days for vacant runs before a line mark-up is conducted.
C. The line mark-ups will be conducted from the highest seniority operator affected and/or
from the next operator in seniority below the vacant run.
HEM Transportation Department Supplement
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