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Michael Redington U.S. DOT / Volpe Center
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MIS = Management Information System DOT & Agency (FTA) Annual Reporting Requirement FTA – 655.71 FTA - 655.72 FTA - Appendices A & B (MIS Form) DOT – 40.26 DOT – Appendix H (MIS Form)
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REGULATIONS
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655.72 Annually “prepare and maintain” summary of testing program Covered by 655 Submit to FTA when requested Each Recipient Recipient = FTA Funding (5307, 5309, 5311) March 15 th Ignore 655.72(d), (e), (f), (g), Appendices A & B Defines data to be collected and submitted Displays MIS Form Superseded by Part 40, Appendix H IGNORE
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40.26 – Must use form in Appendix H of Part 40 Must use instructions supplied by DOT Must report according to rule requirements of DOT agency under which you are regulated
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Usernames & Passwords – Change every calendar year…per federal regulations Notification Letters – Go only to direct recipients FTA Grantees, State DOTS, etc. You can Revise your MIS Report – Up until database is closed (Sept/Oct) If Revise - must ‘Sign & Submit’ Again Grantee Must ‘Accept’ (contractors/subs) to be submitted Self, Contractors, Subrecipients We do record date of original submission You cannot access/print previous years MIS reports https://DAMIS.DOT.GOV - (preferred method) https://DAMIS.DOT.GOV DO NOT DOUBLE-REPORT
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Prefills EMPLOYER INFORMATION – Previous CY Does the Math for you Totals Columns, sums rows E-Mail confirms submittal Grantee Subrecipients/Contractors Tells you obvious errors Allows you to print/save a pdf Informs you if contractor/subrecipient Submitted Revised
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WHO MUST SUBMIT?
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Recipients of FTA Funding (Grantees) All Subrecipients and Covered Contractors 655.72 – “Each recipient shall be responsible for ensuring the accuracy and timeliness of each report submitted by an employer, contractor, consortium or joint enterprise or by a third party service provider acting on the recipient’s or employer's behalf. “ Any employer covered by FTA Drug & Alcohol Testing regulations during the CY
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Part 655 - Preamble “FTA believes sampling will reduce the paperwork” “required to submit an MIS form when requested by FTA“ FTA = 100% Sample Notify by letter or e-mail Expect requirement to submit will continue
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Required to submit Even if Partial Year Even if no testing done Contract for any part of CY Submit data only for this individual contract/agreement Receive username/password from Grantee Not from FTA Grantee must review and accept
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Grantees Will be Notified (letter) Grantees must notify subrecipient/contractor Notification Letter – (Dec/Jan) Instructions – what to do & how to do it Required to Submit Annual Testing Results Username & Password – Access to DAMIS http://DAMIS.DOT.GOV Due Date = March 15 th Instructions for Updating Subrecipient/Contractor List Where to get Help
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Grantee –username & password Letter will not have contractor/subrecipient usernames/passwords Login – DAMIS ( https://DAMIS.DOT.GOV ) https://DAMIS.DOT.GOV Status Page Review Contractor/Subrecipient List Get Contractor/Subrecipient Usernames/Passwords Allows – Accept / Reject Submittals – Contractor/Subrecipient Review Status View Data – Contractor/Subrecipient Revise your own data Print out MIS PDF – Grantee/Contractor/Subrecipient
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Grantee – Login – DAMIS ( https://DAMIS.DOT.GOV ) https://DAMIS.DOT.GOV Review Contractor/Subrecipient List) Based on previous CY MIS Submissions Call or E-mail FTA Drug & Alcohol Project Office 617-494-6336 FTADAMIS@DOT.GOV (preferred) FTADAMIS@DOT.GOV Name of Grantee Deactivate/Delete: Name of Employer(s) (as it appears in MIS) Add/New: Name of Employers, Subrecipient or Contractor
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Paper MIS – Page Two (2)
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HOW TO SUBMIT?
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Submit to FTA…or ‘designated agent’ (US DOT/Volpe Center) Paper Reports Internet – https://DAMIS.DOT.GOV – username/password https://DAMIS.DOT.GOV Employer Information Covered Employees Drug Testing Data Alcohol Testing Data Wrap Up Must complete all 5 employee categories
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EMPLOYER INFORMATION
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Pre-filled with previous CY information Certifying Official – Any company official – who can certify data as complete & accurate Should be an employee of that company Not the TPA, other DAPM, etc. Do not enter a job title NEW - E-Mail = Required Field C/TPA = Consortium / Third Party Administrator Performs administrative services Random Selections, Administer Random Pool Phone Number – Don’t include “( )”
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COVERED EMPLOYEES employees performing FTA regulated safety-sensitive duties
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Example: (FTA random pool size at time of random selection): (800/4) = 200 is the “Number of Safety-Sensitive Employees”
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Only FTA Covered Employees – Safety-Sensitive (1) Operating a revenue service vehicle, including when not in revenue service; (2) Operating a nonrevenue service vehicle, when required to be operated by a holder of a Commercial Driver’s License; (3) Controlling dispatch or movement of a revenue service vehicle; (4) Maintaining (including repairs, overhaul and rebuilding) a revenue service vehicle Not School Bus Drivers, FMCSA-covered employees, other non-transit employees, etc.
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What if an employee works in multiple employee categories (i.e. revenue vehicle operator & dispatcher) Include in employee category in which they worked the most (Section II (B) & (C)) Must enter a number in each category Total Number of Employees is Calculated and Auto filled
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DRUG TESTING DATA & ALCOHOL TESTING DATA
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Must Complete All 5 Employee Categories Column 1 and Total Row – Autofill - Greyed No Math Required Cancelled Tests = MRO Cancelled Tests A Positive – Can be Positive For More than One Drug Type
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Must Complete All 5 Employee Categories Column 1 and Total Row – Autofill - Greyed No Math Required Cancelled Tests = MRO Cancelled Tests All boxes require a number ‘Set Blanks to Zero’ button May be prefilled with all zeroes
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Wrap Up
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Validation Checks – Status Tells you if ready to “Sign and Submit” Asks if you wish to receive confirmation e-mail Do you want a printed or saved copy? Asks for DAPM contact info – optional
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Validation & Data Checks
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Employees Subject to Testing Message Posted There is drug testing data (III. Drug Testing Data) for an employee category for which there are 0 covered employees (II. Employees Subject to Testing) reported. Data Check There is alcohol testing data (IV. Alcohol Testing Data) for an employee category for which there are 0 covered employees (II. Employees Subject to Testing) reported. Data Check “There may be a problem with the data entered. Please review and ensure the data entered is correct.” Alcohol Test Data Number of Confirmation Test Results (Column 4) > Screening Tests With Results 0.02 or Greater (Column 3) Data Check Confirmation Tests With Results 0.02 Through 0.039 (Column 5) > Screening Tests With Results 0.02 or Greater (Column 3) Data Check Confirmation Tests With Results 0.04 or Greater (Column 6) > Screening Tests With Results 0.02 or Greater (Column 3) Data Check
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Drug Test Data # of Positives for Marijuana (Column 4) > Verified Positive Results For One or More Drugs (Column 3) Error # of Positives for Cocaine (Column 5) > Verified Positive Results For One or More Drugs (Column 3) Error # of Positives for PCP (Column 6) > Verified Positive Results For One or More Drugs (Column 3) Error # of Positives for Opiates (Column 7) > Verified Positive Results For One or More Drugs (Column 3) Error # of Positives for Amphetamines (Column 8) > Verified Positive Results For One or More Drugs (Column 3) Error Alcohol Test Data (Confirmation Tests With Results 0.02 Through 0.039 (Column 5) + Confirmation Tests With Results 0.04 or Greater (Column 6)) > Number of Confirmation Test Results (Column 4) Error
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Random Test Rates (FTA) (III. Drug Testing Data) Total Number of Test Results (Columns 2,3, 9, 10, 11& 12) / Total Number of Employees for All Employee Categories (II. Employees Subject to Testing) is substantially different from the required minimum random drug testing rate (25%). Warning if result is greater than 55% or less than 10% (more than 30 employees) (IV. Alcohol Testing Data) Total Number of Screening Test Results (Columns 2, 3, 7 & 8) / Total Number of Employees for All Employee Categories (II. Employees Subject to Testing) is substantially different from the required minimum random alcohol testing rate (10%). Warning if result is greater than 55% or less than 5% (more than 30 employees)
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RECORDS
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655.71(b) – Period of Retention (1) Five Years ……..”annual MIS reports submitted to FTA” .PDF, paper, scanned image FTA does not maintain a copy for you (Audit, Triennial)
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Q: What if an employee works multiple safety- sensitive jobs (i.e. operator & dispatcher) A: Include in employee category in which they worked the most (Section II (B) & (C)) Does not mean all test results will be in that employee category.
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A: Each individual submission is for the ‘Employer’ listed, only. (Employer Name) A2: You do not submit combined testing results on a single MIS for…. -the consortium -the random pool (includes FMCSA) - other employers (contractor/subrecipient/grantee) Each employer submits an individual MIS
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Q: What if I have no safety-sensitive employees? Grantee or Subrecipient A:If you pass-through FTA funds – submit a “zeroed-out” report. Make sure your contractor/subrecipient does submit results. Q: What if we switched contractors mid-year? A: Submit an MIS for each contractor Report ‘calendar year’ results (all results) Request another account (for new contractor), if necessary
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Upon review – we find we made errors in testing during the calendar year. Revise CCFs/ATFs..if possible Report test results as they stand. EXAMPLES: Incorrect Agency checked (FMCSA) Incorrect Test Type checked Return-to-Duty instead of Pre-Employment Non-DOT Alcohol pre-employment DOT Alcohol – not in policy DOT/FTA Post-Accident – not meet thresholds (determined later) NOTE: There is no place to provide a ‘Comment’ or indicate ‘time period’ or ‘partial year’
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Don’t provide C/TPA information Someone does random selections Maintains random pool Recipient does not submit all employers – especially contractors Recipient does not ‘Accept’ or ‘Reject’ contractor/subrecipient Combine multiple employer data on a single report Include FMCSA results in the FTA MIS Include Contractors in Grantee report Submit a ‘Consortium’ Report
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(Veolia, First Transit, MV, Cummins, W.W. Williams, Goodyear….and more) National Contractors must NOT send in a ‘Company- Wide’ report Testing Results (MIS Report) - each FTA-Covered Employer (Contract)
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Contractor - multiple contracts (w/multiple grantees) Each contract uses different employees (contracts completely separate – no crossover) Must submit two separate MIS reports One for each contractor NO DOUBLE-COUNTING
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Contractor - uses the same safety-sensitive employees on multiple contracts with multiple FTA-Grantees: Split - as best as possible Can designate one contract as primary and one as secondary and just submit one MIS. Contact FTA D&A Hotline
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What if our contracted employer/employees service more than one FTA Grantee? Both Grantees ensure contractor submits MIS. Q: Who reports the results? A: Random results to the employer for whom the employee performs the greater % of service. Other results (PA, R-T-D, FU & RS) dependent on for who service was being performed at the time of the event.
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Examples: Negative dilute – policy to retest Positive – request split specimen MRO Cancels (Invalid) – requires retest R-T-D – not done as observed – employee returned Insufficient Specimen Temperature out-of-range Result requiring most stringent consequence is the test of record 1 Positive or Negative or Refusal or Cancelled for each testing event Only report “Result”
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FTA funded vessels (Ferryboats) Subject to FTA Random Alcohol Test requirements Must Submit MIS to FTA Only Random Alcohol Test Results Employee Category = Ferryboat Must Inform FTA of Ferryboat Service Contact FTA D&A Project Office Will provide ability to enter ferryboat alcohol results
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Semi-Annual Lab Report (40.111) – Not Usually! Does not include ‘MRO verified’ results Includes ‘Lab’ positives May include cancellations that don’t get reported on MIS May include results of all employer DOT tests Employer may use multiple Labs Not sent if less than 5 DOT test results. Lab Report – Appendix B (next slide)
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Consortium Report, TPA Report, CCFs Review to make sure they are only your results – single employer (you), FTA test results
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FAA 17.0 minutes FMCSA 19.6 minutes FTA 19.6 minutes FRA 40.9 minutes PHMSA 2.7 minutes USCG 19.3 minutes
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Trend Analysis – FTA & DOT DAMIS = All DOT Modes (FTA, FRA, FAA, FMCSA, PHMSA & USCG) Required Minimum Random Testing Rates FTA Random Drug Rate Lowered 50% 25% (2007) Analysis of Federal, State Regulatory Revisions Audit Scheduling Ensure Program Compliance * Do Employers meet minimum random testing requirements – not the primary use
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DRUGS - FAA - 2012 Refusals STATEPositivesTHCCocainePCPOpiatesAmphetAdulteratedSubstitutedShy BladderOther AK3210000000 AL151240000001 AR12730020002 AZ5033603100001 CA915913021911111 CO453190140205 CT2920100110001 DE1010000000 FL9253380440012 GA6338150660003 GU0000000000 HI3110010000 IA2200000000 ID3200010002 IL484050030113 IN181240110001
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Percent of Verified Positives by Drug Type (2015)
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2014-2015 ALCOHOL PRE-EMPLOYMENT TEST RESULTS Pre-employment alcohol tests are optional Pre-Employment Screening Confirmation Test Results >= 0.04Refusals Pre-Employment Violation Rate 2014 16,781820.060% 2015 18,3801630.103%
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Which State had the MOST Number of FTA/DOT THC Positives in 2015 ? Maryland New York California #1 #2 #3
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Which State had the Highest Rate of THC positives per Drug Test ? (2015) Colorado 1.92% Virgin Islands 2.00% Maryland 2.94% #1 #2 #3 #4 Illinois 1.99%
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Which State had the MOST Number of FTA/DOT Cocaine Positives in 2015 ? Maryland California New York #1 #2 #3
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Which State had the HIGHEST Rate of Cocaine Positives per Drug Test in 2015 ? South Carolina Maryland Indiana #1 #2 #3 #4 Illinois
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Which State had the HIGHEST drug positive rate (all test types)? (2015) Arizona 3.76% Maryland 4.34% Guam 8.00% #1 #2 #3 #4 #5 Illinois 3.07% Colorado 2.66%
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Which State had the HIGHEST drug positive rate (random testing)? (2015) Kansas 2.53% Virgin Island 2.78% Guam 6.25% #1 #2 #3 #4 #5 Colorado 1.90% Wisconsin 1.77%
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Which State had the HIGHEST alcohol violation rate (random testing)? Oregon Connecticut Arkansas #1 #2 #3 #4 Alabama
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Which FTA Region had the HIGHEST drug positive rate (random testing)?
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Which FTA Region had the HIGHEST drug positive rate (all test types)?
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Which FTA Region had the HIGHEST alcohol violation rate (random testing)?
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Which FTA Region had the HIGHEST alcohol violation rate (all test types)?
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