State DOT’s that administer the Section 5311 and Section 5307 programs are required under 49CFR Parts 653.83 and 654.83 to certify compliance with the FTA drug and alcohol testing regulations on behalf of those subrecipients.

     In light of the new level of scrutiny that the compliance audits have brought to the drug and alcohol testing program, many states have concluded that they need to take a more proactive role to provide their subrecipients with the necessary tools, training, and oversight to effectively implement and maintain the program.

     Two of the most proactive state substance abuse oversight programs are being developed by the Arkansas State Highway & Transportation Department and the Virginia Department of Rail and Public Transit. Jim Gilbert, Administrator of the Public Transit Section of the Arkansas State Highway & Transportation Department, points out that Arkansas takes this program very seriously and believes that if all the parties including FTA, the states, subrecipients, and testing vendors work together, the program can be a success. Mr. Gilbert points out that the threat of FTA sanction is minor compared to the liability an organization could incur for failure to carefully adhere to mandated requirements in the event of litigation possibilities.

     The Arkansas program is being developed to support the transit systems within Arkansas, but can serve as a model for other states. Mr. Gilbert advocates that the states must redefine their role in the process and take an active stance on program compliance and safety. The Arkansas model includes the creation of a new Safety and Security Program Manager position in the Public Transportation Section; that manager’s responsibilities will include subrecipient program oversight, monitoring and provision of technical assistance. The State has already conducted mock audits of subrecipient programs and sponsored the Substance Abuse Program Management Workshop provided by the Transportation Safety Institute. Future efforts will include the development of a recordkeeping template and sample forms, creation of a State Management Continuity Book, and development of a Post Accident Checklist and Kit. Special emphasis will be placed on collection site compliance including training, oversight and development of a Compliance Guide. The State will also distribute a “Best Practice” Substance Abuse Policy. Once the support materials are developed, they will be included in a “kit” and shared with other states.

     The Virginia Department of Rail and Public Transportation (VDRPT) shares this same commitment to quality. Like many others, VDRPT refocused attention on the drug and alcohol testing programs in the Commonwealth after coming to the realization that many of their subrecipients had not successfully implemented or maintained compliant programs. In response, VDRPT assigned a staff person to manage the Drug and Alcohol Program, whose duties include the conducting of on-site drug and alcohol testing reviews of all Section 5311 grantees. The purpose of the reviews is to assess conformity to the FTA regulations and to help each transit system develop and maintain a compliant program that meets the unique needs of each system. This staff member also provides guidance on technical issues, reviews policies and evaluates collection sites.