Drug and Alcohol Program Management

~Spring Training ~

March 8th 2007

Welcome!

Today’s training topics: Substance Abuse Policy Record Retention and Confidentiality Pre-employment Administrative

Requirements and Testing Training of Safety Sensitive Employees and

Supervisors Random Testing Program Post Accident Testing Reasonable Suspicion Testing Collection Site Monitoring Clean, Sober and Safe video

Substance Abuse Policy

Brief discussion/refresher

Substance Abuse Policy

• An FDOT model policy is available • FTA policy requirements,(§655.15) any

additions under your own authority must be made obvious

• Policy must be adopted by governing board• Must be disseminated to all employees at

time of hire and each time a change is made• Documentation of employee receipt must be

kept on file for a minimum of two years from the date of the documentation

• NEW! Adjust for the new random rate if policy states the specific percentage- (this applies to FDOT model policy)

Record MaintenanceRelease of Information 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 is limited to the DAPM and alternate.

Release of Information

• The FTA regulation [§655.73] states that test results may be released only when required by regulation or when the employee provides specific written consent, which means that the employee must indicate:

• The specific information that is to be released

• The identity of the person to which the information is to be released

• The specified time period for which the release of information can occur

When Specific Consent is NOT Required for release of records

When records are requested by:• A state oversight agency or grantee

required to certify compliance to FTA on your behalf.

• Any DOT agency with regulatory authority over the employer 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

Record Retention

• Best practice is to keep all records for a period no less than 5 years.

• When audited, you will only be required to show records that are within the regulatory record retention guidelines

Pre EmploymentAdministrative Requirements and Testing

Pre Employment Background Checks

Review application to determine if employee has worked for any DOT regulated employers Look for any “holes” in employment history

Ask employee if he or she has refused a DOT required pre-employment test or has had a positive result on a DOT pre-employment test (in the previous two years, for which they were not hired)

Obtain employee consent for DOT drug and alcohol background check for the previous DOT employers of the past two years

Background Check continued Send consent and request for information to

previous employers If possible review this information PRIOR to the

employee performing safety sensitive duties

If request is not fulfilled, document that a “good faith effort” was made

If information obtained from a previous employer reveals a refusal or a positive, employee must show proof of a SAP evaluation and successfully completed treatment (you must accept responsibility for the follow up testing that may be required if you hire this applicant)

Keep background check information or good faith effort on file for a minimum of three years

Pre employment drug test

• Must test no more than 90 days prior to performance of safety sensitive duties; preferably within one week

• Previous or other DOT employer test cannot be accepted.

• A negative drug test result must be physically in hand prior to safety sensitive duty

• A canceled test must be retaken

• A dilute test must be retaken if agency policy is to retest all dilute specimens

• Keep negative test result on file for a minimum of one year

Administrative Requirements

• Employee must be provided a copy of the current Substance Abuse Policy

• Documentation of the employee’s receipt of the policy must be kept on file for a min. of 2 years

• Provide a minimum of 60 minutes of Employee Drug Awareness training for all safety sensitive employees

• Add employee to Random Testing Pool

TrainingSafety Sensitive and Supervisory

Training Requirements

• All safety sensitive employees must receive a minimum of 60 minutes of employee drug awareness training

• Training must include information about the five prohibited drugs including the effects on health and safety

• Concern for public safety should be emphasized

• Provide employees with both visual and reading material

• Training is only required once during the tenure of employment, but recommended annually

Supervisor Training

Reasonable Suspicion Training: 60 minutes of training on the probable

signs and symptoms of prohibited drug use

60 minutes of training on the probable signs and symptoms of alcohol misuse

Training video and trainer’s guide are available from FTA Safety and Security website (http://transit-safety.volpe.dot.gov)

Only required once in the tenure of employment but suggested annually

Supervisor Training

• Supervisors who are required to determine if accidents meet the FTA criteria to test should be trained in the following:Use of the FTA Post Accident Decision

FormPossible contribution of other employee

actions (maintenance)Necessity to supervise employee(s)

until testing takes placeCollection site locations and or contacts Time limitations of testing

Training Resources

• Substance Abuse Management Website: http://www.cutr.usf.edu/byrnessamsite

• FTA Website:• http://transit-safety.volpe.dot.gov/Training/default.asp • TD Commission Conference Workshops in Orlando

Aug. 6-9 2007

• FPTA/CUTR/FDOT Professional Development Workshops in Tampa June 4-6 2007

• FTA Annual Drug and Alcohol Conference New Orleans April 10-12 2007

Random TestingIncreasing Effectiveness and Compliance

Random Testing-New Minimum

• National positive rate averaged less than 1% for the previous three years

• 25% of safety sensitive employees must be tested annually- as a minimum

• Agencies can choose to remain at testing at the 50% rate

• Statewide testing pool has been lowered to the new FTA minimum

Random Testing Effectiveness

• Limit persons involved in the coordinating of testing

• Record notification time; track collection times

• Avoid any predictable patterns– Save a few for the end of the testing period

– Send for testing when least expecting it

• Never conduct “group testing”

• Update employee database every single testing period

Post Accident TestingRefresher

Post Accident Testing

• Train supervisors on the use of the Decision and Documentation form

• Prepare a “Post Accident Kit” that includes:– Decision and Documentation Form– Contact numbers for DAPM and Alternate– List of approved sites and mobile collectors– Custody and Control Forms– Specimen cups (helpful for rural agencies who

need to use a local hospital)

Post Accident Testing

• Any fatality- test• One of more vehicles towed away from

scene (because they had to be)- test unless employee actions can be completely discounted

• One or more parties are transported for medical treatment-test unless employee actions can be completely discounted

• Don’t follow the better safe than sorry mindset- follow regulations; use decision and documentation form

Post Accident Testing Continued

• Comply with local law enforcement and see that medical attention is provided before all else

• Test all employees who could have contributed to the cause of the accident (such as maintenance)

• Keep employee(s) under supervision until testing occurs

• Conduct both urine drug and breath alcohol testing

• Document any delays in testing

• Document any employee refusals- supervisors must be made aware of actions that constitute refusal

Reasonable Suspicion Testing

Increasing use of test type

Reasonable Suspicion Testing

• Most under utilized test type

To increase use:Supervisors should receive annual

refresher training that includes role play

Create an atmosphere of respect for a supervisor’s authority in this area

Supervisors fear they won’t be “backed up” by management or they will be disliked by employees

Reasonable Suspicion Testing

• Only one trained supervisor is required to make the call

• Two trained supervisors are ideal• Approach employee in a discreet and

respectful manner• Document all signs and symptoms• Document employee reaction, any

dispute or refusal• Conduct testing as quickly and

efficiently as possible • Keep employee supervised until

testing takes place

Reasonable Susp.Testing Cont.

• Remove employee from safety sensitive duty until a negative drug test result reports

• 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

Collection Site Monitoring

Your compliance depends on it

Collection Site Monitoring

• Not a regulatory requirement• Agency compliance is directly affected by

collector’s compliance• Become familiar with the collection

process• Obtain feedback from employees• Make unannounced visits• When employee turnover at collection site

occurs, establish rapport• Check custody and control forms for

errors• Report errors and delays to TPA• Report serious infractions to FDOT

Clean, Sober and SafeEmployee Drug Awareness Training Video

Clean, Sober and Safe

• Developed in response to a need for training material specific to FTA regulated employers

• 23 minute video and accompanying handbook to be used in conjunction with the substance abuse policy

• Geared toward all safety sensitive employees

• Features Florida history and Florida transit systems