best practices in fta drug and alcohol testing program implementation presented by diana byrnes,...
TRANSCRIPT
Best Practices in FTA Drug and Alcohol Testing Program
ImplementationPresented by Diana Byrnes, C-SAPA
About the Presenter
Diana Byrnes, C-SAPA Project manager for the FDOT Substance Abuse
Management Oversight and Technical Assistance Program with CUTR
Senior Associate Staff Instructor for the Transportation Safety Institute
Specializes in the training and education of FTA covered employers and employees, in the field of substance abuse management
Today’s session will:
Describe best practices in the following program areas: Identifying covered employers and covered employees Policy Training Pre-employment Testing Random Testing Post Accident Testing Record Maintenance Vendor and Contractor Compliance Monitoring
FDOT SAM Program description
What’s on the horizon in DOT testing
Applicability of Regulations
FTA Covered Employers
Each recipient (grantee) or sub recipient (indirect grantee) receiving Section 5311, 5307, 5309 funding
Contractors- when any of the above funding sources are used to compensate contractor s , they are “covered contractors” and the same regulations that are applicable to your agency are applicable to the contractor. As the funding recipient– your agency is responsible for the contractor’s compliance NOTE: Medicaid contractors that only receive Section
5310 funding are EXEMPT (see next slide)
FTA Covered Employees
Performs or could be called upon to perform these functions: Operate a revenue service vehicle (regardless of in
or out of service) Operate a non-revenue service vehicle when a CDL
is required to operate Perform maintenance on a revenue service vehicle Control the movement of a revenue service vehicle
(as determined by the employer) Carries a firearm as part of transit securitydetail
Regulations
49 CFR Part 655-
The FTA regulations that tells us “when and why” drug and alcohol tests are required to be conduct specific to FTA covered employers.
49 CFR Part 40-
The US DOT regulations that tell us “how” drug and alcohol testing must be conducted. These regulations cover all DOT modes.
Record Maintenance and Retention
Testing conducted in accordance with
49 CFR Part 40 and Part 655
Education and Training
Policy Development and Dissemination
Policy Statement Requirements
Policy Statement Requirements
• FTA Regulation- 49 CFR Part 655.15• Policy must be approved and adopted by
governing board and must include the following:• The agency contact, aka Designated Employer
Representative (DER)• The categories of employees that are subject
to testing (job titles and positions that are deemed safety-sensitive)
• Prohibited behaviors and conduct• Circumstances (reasons) for testing• Procedures that will be used for testing (can
reference Part 40)
Policy Statement Requirements Continued
• The requirement that a covered employee must submit to testing in accordance with Part 655
• The actions and behaviors that constitute a refusal to test
• Consequences of positive results and refusals to test
Employer may not impose requirements that are inconsistent with, contrary to, or frustrate the provisions of this part
All covered employees must receive a copy of the substance abuse policy and any subsequent revisions
Documentation of employee policy receipt must be obtained and kept on file for at least 2 years.
Florida Model Policies
• FDOT issued new substance abuse policy templates in October 2011• 5311 sub-recipient agencies (and/or contractors)
are required to adopt the FDOT• Available on the FDOT SAM Website• http://sam.cutr.usf.edu
Training and Education
Requirements
Training Requirements 49 CFR Part 655.14
Display and distribute informational material including hot line telephone numbers for assistance
60 minutes of drug awareness training provided to all covered employees (alcohol awareness training not required, but is a best practice)
Supervisor Training for Reasonable Suspicion Determinations (60 minutes on signs and symptoms of alcohol misuse AND 60 minutes on signs and symptoms probable drug use) Supervisors must receive this training prior to making a referral for
testing
Training Tools
To meet the Display and Distribution requirement: FDOT’s Drug and Alcohol Testing Program Manual
for FTA Covered Employees US DOT’s What Employees Need to Know About
DOT Drug and Alcohol Testing Posters, fliers, postcards,
Restrooms Driver’s lounge Timeclock area Memo in paycheck
Training Tools Continued
To meet the Employee Drug Awareness Training Requirement (60 minutes) FDOT’s Clean, Sober and Safe video (only 23 minutes,
must supplement!) FDOT’s Clean, Sober and Safe Web-based Training (time
varies based on user) Classroom style training incorporating the videos and
other material regarding the detriments of prohibited drug use on the mind, body and the workplace dangers.
DO NOT use policy review to fill the 60 minutes If you include a segment on alcohol misuse, DO NOT
count it toward the 60 minutes
Training Tools Continued
Supervisors must meet the training requirement prior to making a referral
Training is only required once during the tenure of employment but annual refresher training is highly recommended
To meet the FTA Supervisor Training Requirement: FTA video training package available on Safety and
Security Website: http://transit-safety.volpe.dot.gov/ FDOT agencies: REACT video training package (new)
Mailed to all Florida transit systems in March
Additional Training Best Practices
FTA Post Accident Testing Determination Training
Prescription and Over the Counter Medication Awareness
Substance abuse training topics to safety meetings
DER training to keep abreast of regulatory changes
Test Types and Potential Areas of
Non-Compliance for Each
Test Types
1 Pre-employment
2 Random
3 Post Accident
4 Reasonable Suspicion
5 Return to Duty
6 Follow Up
Note: Most frequent areas of non-compliance are underlined in yellow
Pre-employment Testing
• All new safety-sensitive employees and transferees must have a negative pre-employment drug test on file PRIOR to the performance of any safety-sensitive duty.
• Employee can not take part in any behind the wheel training until negative result is obtained
• Pre-employment alcohol testing is authorized but not required• A pre-employment test must be administered to an employee
returning from an extended leave of 90 days or more, IF they have been removed from the random testing pool. ( this is NOT a return to duty test)
Drug and Alcohol Background Checks
49 CFR Part 40.25
Must obtain employee consent to inquire with all DOT employers within the previous 2 years (no consent, cannot hire) Any positive drug or alcohol tests conducted under DOT
authority? Any refusals to submit to DOT testing?
Must make a good faith effort to receive information
If response is “yes”, must ensure that RTD process has been completed
Random Testing
• Random testing must be spread throughout all hours of operation and all days of the week that safety-sensitive duties are performed
• Failure to conduct testing in this manner will be deemed a “finding” if audited- no excuses
• Alcohol test only just before, during or just after the performance of s/s duties
• Current annual minimum testing rates:• 25% of the average # of employees must be tested for
prohibited drug use annually• 10% of the average # of employees must be tested for
alcohol misuse annually
Random Testing Continued:
Random testing must be conducted in manner that does not develop a predictable pattern of testing that could be identified by employees No group testing Spread testing throughout the entire testing period Test on weekends and holidays if your agency
performs safety-sensitive duties on weekends and holidays
Post Accident Testing
• Must follow FTA criteria to test- refer to form
• If FTA accident “definition” is not met, DO NOT perform a DOT post accident test• Fatality- Test without question• Transport away from scene for medical treatment- test
unless driver’s actions can be completely discounted• Vehicle REQUIRES towing due to disabling damage-
test unless driver’s actions can be completely discounted
Post Accident Testing Continued
Cannot test an employee who is unconscious
Must conduct test as soon as practical following an event that meets the testing criteria but no more than: 8 hours after the event for alcohol 32 hours after the event for drugs
Document any delays in testing after the first two hours following the event* see form
Reasonable Suspicion Testing
• Supervisors must have received required training before making a referral for testing
• Supervisors must use specific and contemporaneous indicators as a determining factor (no rumor or second hand information)
• Only ONE supervisor is required to make a referral. Employer can not require more than one supervisor to concur with decision.
• Must document the observations and the referral process- See Form
Return to Duty and Follow Up Testing
• Return to Duty and Follow Up tests ONLY apply to employees who have previously violated the DOT drug and alcohol policy• Return to Duty is the test type conducted on an
employee after they have completed the SAP evaluation and treatment program
• Employee’s who return to duty after a violation are subject to Follow Up tests. SAP determines number and frequency of tests
• BOTH test types must be Directly Observed Collections
Collection Site Compliance
Monitoring Your Collection Site
The collection site’s compliance to regulations is directly tied to your agency’s compliance to the regulations
Monitoring your collection site is highly recommended Start by developing a rapport with the site manager Bring a current copy of Part 40 and US DOT Specimen
Collection Guidelines to the site Suggest scenarios and ask questions about how problem
collections are handled Conduct an inspection of the site Ask the collector to walk you through their procedures
Monitoring Your Collection Site Continued
Conduct clandestine inspections
Solicit information from employees after they return from the site
When areas of concern are noted, bring it to the attention of your TPA (if applicable) and the site manager.
Point out that collections for ALL DOT modes are to be conducted uniformly– so deeming them non-compliant for an FTA covered employer applies to the FMCSA regulated employers as well (often more clients are FMCSA)
Alcohol Misuse
Although alcohol is a legal substance for those of legal age, the misuse of alcohol among safety-sensitive employees can be an extreme safety risk.
All covered employees are prohibited from consuming alcohol within 4 hours of the performance of safety-sensitive functions and while on call to perform safety-sensitive duties
DOT Alcohol testing can only occur just before, during or just after the performance of safety-sensitive duties
Alcohol Testing
Technicians must meet qualification training in accordance with Part 40.213
Saliva tests are authorized for initial screening only– not confirmation tests
Evidential Breath Testing Devices must be used for confirmation testing Must be on National Highway Traffic Safety
Administration’s Conforming Products List
Record Maintenance and Retention
Retention Requirements
Five Year All records related to positive results
SAP Referrals Return to Duty Process, Follow Up testing
documentation Documentation of employee refusals to test DAMIS Reports
Three Years Previous employer background checks Good faith efforts
Retention Requirements Continued
Two Years Testing documentation
Collection log books, if used Random selection process Reasonable suspicion documentation Post accident testing documentation MRO documents verifying existence of a medical
explanation for insufficient volume Records of inspection, maintenance, and calibration of
EBT
Retention Requirements
One Year Cancelled drug test results Negative test results
Alcohol test results less than 0.02 Alcohol test form with results Employer’s copy of the federal CCF.
BEST PRACTICE: KEEP ALL RECORDS FOR 5 YEARS.
Record Maintenance
Ensure that all records are kept in a locked file cabinet with access limited to only the DER and Alternate
Keep drug and alcohol testing records stored separately from other types of employment records
If records are kept electronically, ensure that they are password protected
FDOT SAM Program
Expansion for 2012-2013
FDOT SAM Program
Program was initiated August 1, 2003 as a compliance oversight tool for FDOT’s Section 5311 sub-recipient agencies
In February 2004 FDOT underwent its first FTA Drug and Alcohol Program audit SAM Program was immediately expanded in February
2004 to assist agencies in preparing and responding to the audit
Further expansion to the technical assistance and training aspects of the program were made in 2005, but the primary focus was still on the rural agencies
FDOT SAM Program Cont.
FTA audit of FDOT August 2011 emphasized the importance of the SAM program
May 1, 2012 FDOT expanded the SAM program to to all Florida transit systems, regardless of size. Compliance reviews of rural systems are still conducted,
however the training and technical assistance benefits are available to all agencies, statewide
Regional outreach training sessions and webinars are being coordinated (see next two slides)
Regional Outreach Training Sessions
Region A- Districts 1 and 7 was held on July 18th, 2012
Region B- Western portion of District 2 and District 3: November 13, 2012
Region C- Districts 4 and 6: March 27, 2013
Region D- Eastern portion of District 2 and District 5: August 23, 2012 Full day interactive workshop style sessions (not just
lectures!) All sessions are open to all agencies (you must register for
the session though.) Training session information is posted on SAM website,
registration is coordinated through Molly Buffington at CUTR.
Webinars
Monitoring Collection Site Compliance: September 12th, 2012
Record Maintenance Best Practices and DAMIS Reporting Instructions: January 10th, 2013
Developing Compliant and Effective In-house Training Programs: April 24th, 2013
Additional topics will be added, please feel free to contribute topic suggestions!
In-House Training Opportunities
Supervisory Training for Reasonable Suspicion and Post Accident Drug and Alcohol Testing Thresholds
Employee Drug Awareness refresher training
Prescription and Over-the-Counter Medication Awareness training
One-on-One Drug and Alcohol Program Management training for new DERs or back-ups
Contact me directly to set up in-house training: [email protected]
FDOT Substance Abuse Website
• FDOT Substance Abuse Management Resource Website: http://.sam.cutr.usf.edu
• Training Tools• Training Announcements• Videos• FTA Regulatory Updates Newsletter• “Quick Regs”- regulatory references• Links to additional web resources
On the HorizonForthcoming Changes to Regulations
On the Horizon
On January 26, 2012, the Department of Health and Human Services accepted the Drug Testing Advisor Board’s recommendations: to expand the drug testing panel for Federal Workers to
include Schedule II drugs (oxycodone, hydrocodone, etc.) to recognize oral fluid as an alternative specimen for
Federal workplace drug testing programs.
The USDOT is required by law to follow HHS procedures, so as soon as the guidelines are established, Part 40 will be amended in accordance with the new guidelines.
On the Horizon Cont.
We can anticipate a revision to Part 655 in the near future (within the next couple of years), according to Jerry Powers
Electronic CCFs
National database for violators is being developed (will start first with FMCSA)
Statewide Testing Services Contract
New TPA Contract Awarded
Benefits of using statewide contract with FirstLab: Scope of Service includes provisions for collection
site monitoring and minimum collection site availability
FDOT support (assurance that contract obligations will be met)
No state interference with your individual testing account
BEST PART: Significant cost reduction for volume pricing
DOT urine drug tests – 25.00!
Contact
Please do not hesitate to contact me for information about drug and alcohol testing regulations or to schedule training
Diana Byrnes 813-426-6980 [email protected]
Thank you for your attendance today.
Contacts
Diana Byrnes, C-SAPASubstance Abuse Management Specialist
CUTR
813-426-6980
http:// sam.cutr.usf.edu