Drug and Alcohol Program

Management

Presented May 9, 2007By Diana Byrnes; CUTR

Today’s training topics:49 CFR Parts 655 and 40-Regulations governing

mass transit’s drug and alcohol testingSubstance Abuse Policy RequirementsPre-employment Administrative Duties

and TestingTraining Requirements for Safety Sensitive

Employees and SupervisorsClean, Sober and Safe video Operating a Compliant Random Testing ProgramConducting Post Accident Testing within FTA

ThresholdsReasonable Suspicion TestingRecord 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 RetentionKeep 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