Transcript Drug and Alcohol Program Management

Drug and Alcohol
Program Management
Presented May 9, 2007
By Diana Byrnes; CUTR
Today’s training topics:
49 CFR Parts 655 and 40-Regulations governing
mass transit’s drug and alcohol testing
Substance Abuse Policy Requirements
Pre-employment Administrative Duties
and Testing
Training Requirements for Safety Sensitive
Employees and Supervisors
Clean, Sober and Safe video
Operating a Compliant Random Testing Program
Conducting Post Accident Testing within FTA
Thresholds
Reasonable Suspicion Testing
Record Maintenance and Retention
Commonly Used Acronyms
• MRO = Medical Review Officer
• TPA = Third Party Administrator
• DER = Designated Employer
Representative
• DAPM Drug and Alcohol Program
Manager
• BAT = Breath Alcohol Technician
• SAP = Substance Abuse Professional
Regulations
Regulations
• 49 CFR Part 655 (enclosed in workbook)
– Prevention of Alcohol Misuse and Prohibited
Drug Use in Transit Operations
– Final rule published on December 19, 2000
Compliance required by August 1, 2001
• 49 CFR Part 655 (enclosed in workbook)
– Procedures for Workplace Drug and Alcohol
Testing
– Final rule published December 19, 2000
Compliance required by August 1, 2001
Regulations apply to:
• Direct and indirect recipients of section 5307,
5309, 5311 funding (including any contractors)
• The regulation conditions financial assistance
on the implementation of a comprehensive and
compliant program.
• Failure of an employer to develop and
implement a program in compliance with this
regulation may result in the suspension of
Federal transit funding.
Substance Abuse
Policy Requirements
Substance Abuse Policy
Requirements
• Identity of Designated Employer Representative along with the
contact information to reach this individual
• Date of Adoption by Local Governing Board
• List of all job positions covered by the FTA regulation and the
policy
• The prohibited substances
• The regulatory requirements concerning each of the six test types
• Periods of coverage, when employees are subject to testing and
the requirement to comply as a condition of employment
• The testing methods used (may reference 49 CFR Part 40)
• The 13 actions that would constitute a refusal to test
• Consequences of a positive test or a refusal to test
Pre-employment
Administrative
Duties
Pre-employment Administrative
Duties
• Previous DOT Employer Background Checks
– Must ask employee if they have ever tested positive on
a DOT required pre-employment drug or alcohol test
for which they did not obtain the position (not required to
be in writing, but suggested)
– Must obtain employee consent for release of
information
– Must make a good faith effort to obtain the background
check information
– Must document good faith efforts
– Must maintain records for a minimum of three years
Pre-employment Administrative
Duties Continued
• Newly hired employees must be provided
a copy of your agency’s substance abuse
policy
• Documentation of the employee’s receipt
of the policy must be maintained on file
for at least two years
• A negative pre-employment drug test
result must be on file prior to the
performance safety-sensitive duties
Additional Administrative Duties
• Agency must display and distribute
informational materials on drug and alcohol
awareness
– Posters, Handouts, Pamphlets, etc.
– Refer to: Resources for Drug and Alcohol Display
and Distribution Information (enclosed in workbook)
• Agency must comply with training requirements
for all safety sensitive employees and
supervisors
Training
Requirements
Training Requirements for all
Safety Sensitive Employees
– A minimum of 60 minutes of drug awareness
training that includes:
• The effects and consequences of prohibited drug
use on personal health, safety, and the work
environment
• Manifestation and behavioral cues of drug use
• Alcohol education is NOT required, but
encouraged, if included it must be in addition to
the 60 minutes minimum requirement
• Use of FDOT video, Clean Sober and Safe and
its accompanying handbook will aid in meeting
the 60 minutes of training
Training Requirements for
Supervisors
• Include all supervisors or other company
officials authorized to make reasonable
suspicion determinations
• Provide 60 minutes of training on the physical,
behavioral, and performance indicators of
probable drug use
• Provide 60 minutes of training on the physical,
behavioral, and performance indicators of
probable alcohol misuse
Supervisor Training Requirements
Continued
• Only required once in the supervisor’s
tenure of employment
• Additional periodic refresher training
recommended annually
• Training must be documented prior to
supervisor making a reasonable
suspicion determination
Training Best Practices:
• Provide a three to four hour initial training
course
• Conduct refresher training annually at a
minimum
• Brief employees on major regulatory or policy
changes as they occur (incorporate into safety meetings
as necessary)
• Include the drug and alcohol training in the new
employee orientation
• Make the training for supervisors interactive
with case studies and role-playing
• Educate, inform; supply information through a
variety of media
Clean, Sober
and Safe
An Employee Drug Training
Awareness Video
Operating a
Compliant Random
Testing Program
Random Testing Requirements
• Must test 25% of the safety sensitive employee
pool on an annual basis for drugs*
• Must test 10% of the safety sensitive employee
pool on an annual basis for alcohol misuse
• Percentages may be met using a consortium of
FTA employers
• Testing periods can be monthly, quarterly or
even weekly- as long as percentages are met
annually
*new for 2007
Random Testing Requirements
continued
• Selections must be made using a scientifically
valid method that ensures that each covered
employee must have an equal chance of being
picked each time selections are made.
• If selection lists are generated by a TPA or
other service agency; the lists must be
transmitted to the DER in a secure and
confidential manner
• Updates to the TPA’s database of safety
sensitive employees must be made prior to
each testing period. (Add new employees; remove
employees no longer with agency)
Random Testing Requirements
continued
• Random testing must be spread sporadically
throughout the testing period and throughout
all hours of operation
• No predictable pattern of testing can occur
• Employees may be tested randomly for
prohibited drug use at any time while on duty
or while on call for duty
• Employees may be tested randomly for the
misuse of alcohol just prior to or while
performing or just after performance of safety
sensitive duties
Random Testing Requirements
Concluded
• Employees selected for random testing must
proceed immediately to the testing facility
(collection site) upon being notified of the
required test
• Use of a testing notification form will aid in
determining if employees have reported
promptly for testing
• The most important element in a compliant
random testing program is unpredictable
testing that covers all hours of the day and all
days of the week that safety sensitive functions
are performed
FTA Post
Accident Testing
Criteria
Post Accident Testing
• Most common error made is to conduct post
accident testing when FTA testing thresholds
are not met
• Use of an FTA Approved Post Accident
Decision and Documentation form (enclosed in
workbook) will assist in determining if an accident
meets the criteria to test
• Documentation of the decision process should
remain on file with the testing forms and the
subsequent results of the required tests
Post Accident Testing Criteria
» An accident (§655.4) is defined as an occurrence
associated with the operation of a revenue service
vehicle in which:
• An individual dies;
• An individual suffers a bodily injury and
immediately receives medical treatment away
from the scene of an accident***
• 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***
***Unless employee’s actions can be completely discounted as
contributing to the accident
Post Accident Testing Criteria
• What is “Disabling Damage”?
– Damage that precludes the departure of any
vehicle from the scene in its usual manner is
considered “Disabling Damage”
– “Disabling Damage” does not include
damage that could be remedied at the scene
with simple repairs, i.e.: tire disablement,
headlight or tail light replacement
– NOTE: Taking a vehicle “Out of Service”
does not always meet the definition of
disabling damage
Post Accident Testing Criteria
• What does “Completely Discounted” mean?
A decision must be made using the best
information available at the time of the decision.
The term “completely discounted” does not
address preventability, chargeability, or accident
fault, but rather assesses if the employee in any
way contributed to the accident.
Post Accident Testing Decisions
• At the scene, medical care and law
enforcement activities take first priority
• Supervisors should immediately inform
employee(s) that post accident testing
may be required
• Employees must remain under
supervision while awaiting testing
• All covered employees who could have
contributed to the accident should be
considered in the decision process
Post Accident Testing Timetable
• Post Accident Alcohol Testing
– Every effort should be made to conduct
alcohol testing within 2 hours of the
accident.
– Reasons for delays must be documented
(i.e.: medical care required)
– Cease attempts to conduct alcohol testing
after 8 hours
Post Accident Testing Timetable
• Post Accident Drug Testing
– Every effort should be made to conduct drug
testing within the first 8 hours following an
accident
– Reasons for delays in testing must be
documented (i.e.: medical care required)
– Cease attempts after 32 hours
Post Accident Testing Concluded
• Both drug and alcohol tests must always occur
• The lack of collection site and/or breath alcohol
technicians is not a valid excuse for not
conducting required testing
• Drug and alcohol tests conducted by law
enforcement may be used in some
circumstances, but is not intended to be
substituted for DOT testing when DOT testing
COULD and should have occurred
Reasonable
Suspicion Testing
• In addition to the initial training;
supervisors should receive annual
refresher training that includes role play
exercises
• Agency needs to create an atmosphere of
respect for a supervisor’s authority in this
area
• Supervisors need to know that
management will “backed them up” if they
make the call to test
Reasonable Suspicion Testing
• Only one trained supervisor is required to make
the call
• Two trained supervisors are the ideal
• Approach employee in a discreet and respectful
manner
• Document all signs and symptoms (form enclosed
in workbook)
• Document employee reaction, any dispute or
refusal
• Conduct testing as quickly and efficiently as
possible
• Keep employee supervised until testing takes
place
Reasonable Suspicion Testing
Continued
• Remove employee from safety sensitive duty
until receipt of a negative drug test result
• Breath alcohol testing with a result between
0.02 and 0.039; requires removal from safety
sensitive duty for a minimum of 8 hours
• All positive results require referral to a DOT
Certified SAP
• Follow policy beyond referral
Record
Maintenance and
Retention
Record Maintenance
• All FTA drug or alcohol test records must be
kept in a secure location with controlled access
[§655.71(a)].
• Locked file cabinet separate from personnel
records and medical records to ensure that no
unauthorized persons have access to test
results.
• Access to test results must be limited to the
DER and alternate
Record Release
• Records must be made available when
requested by:
– Federal Transit Administration
– A state oversight agency or grantee required to
certify compliance to FTA on your behalf.
– Any DOT agency with regulatory authority over
the agency or any of its employees
– A consultant or specialist appointed by an
authorized authority
– National Transportation Safety Board (NTSB)
Record Retention
Keep for One Year:
 Negative urine drug and breath alcohol results
Keep for Two Years:
 Records related to the collection process
 Education and Training records
Keep for Three Years:
 Information obtained via previous DOT employer background
checks
Keep for Five Years:
 Positive urine drug and breath alcohol results
 Employee refusals/disputes/referrals for reasonable suspicion
 EBT device calibration documentation
 Annual MIS reports
Best Practice = keep all records for at least five years
Q&A