Oversight Weaknesses Limit FRA’s Review, Approval, and Enforcement of Railroads’ Drug and Alcohol Testing Programs

The objectives for this Federal Railroad Administration (FRA) self-initiated audit were to assess FRA’s (1) review and approval of railroads’ random alcohol and drug testing program plans, and (2) controls for enforcing compliance with the plans and minimum annual random alcohol and drug testing rates. It was found that FRA has not adequately reviewed and approved railroads’ drug and alcohol testing plans as required or documented its review and approval process. The review found that FRA reviewed and approved incomplete plans that do not fully adhere to FRA regulations. Specifically, 102 drug and alcohol testing plans from applicable railroads were reviewed and it was determined that approximately 51 percent of the reviewed and approved plans were incomplete and did not contain key elements required by FRA regulations. In addition, FRA’s ability to verify and enforce railroads’ compliance with drug and alcohol testing requirements is limited by internal control weaknesses. For example, FRA’s program guidance for overseeing drug and alcohol testing compliance is outdated and does not reflect current regulations or provide for supervisor review. FRA has also not established a process for following up on action items issued to railroads during compliance audits to verify they undertake recommended actions. Furthermore, FRA procedures do not fully meet its drug and alcohol testing compliance audit goals. FRA concurred with all four of recommendations to improve its guidance and oversight of the drug and alcohol testing program and proposed appropriate actions and completion dates.


  • English

Media Info

  • Media Type: Digital/other
  • Features: Appendices; Figures; Tables;
  • Pagination: 24p

Subject/Index Terms

Filing Info

  • Accession Number: 01739567
  • Record Type: Publication
  • Report/Paper Numbers: ST2020030
  • Files: TRIS, ATRI, USDOT
  • Created Date: May 12 2020 9:52AM