FTA Drug and Alcohol Program NATIONAL CONFERENCE

MPOs/City Government:

Who Does What?

Atlanta, GA 2015

Overview

Three Types of Grantee:

• Transit Authorities & MPOs

• States & State Sub-recipients

• Cities & Other Municipal Organizations

Overview

Three Types of DAPM:

• Formal Drug & Alcohol Program Manager

• All-hats-at-all-times DAPM

• Staff in HR, Risk Management, or Safety Department

Overview

Problem:Drug & alcohol program management functions spread across

multiple City departmentsTests missed, compliance lacking

Solution:Either increase centralization of functions or identify and formalize

communication lines

D&A Functions within Transit

D&A Functions Widely Dispersed

D&A Functions Dispersed:DOT

Common Problems

“That’s handled by a different department”

Problems Arise in All Program Areas…PolicyDAPMProgram & Records Management

Pre-employment Testing Random Testing Post-accident Testing Positives/Refusals & SAP Referrals Return-to-duty & Follow-up Testing

Vendor Oversight

D&A Policy

Combination Complication

City + Transit

City + Transit + Federal Motor Carrier

City + Multiple Regulated Modes (FTA, FRA, FMCSA, etc.)

D&A Policy

3 Common Problems

1. Too long

2. Mixed Safety-sensitive/Non-SS authority

3. Mixed compliance (at best)

DER: Designated employer rep

What is a “Designated Employer Representative?” DOT, in 49 CFR Part 40, defines the DER:

“An employee authorized by the employer to take immediate action(s) to remove employees from safety-sensitive duties, or cause employees to be removed from these covered duties, and to make required decisions in the testing and evaluation processes. The DER also receives test results and other communications for the employer, consistent with the requirements of this part. Service agents cannot act as DERs.”

DER: Designated Employer RepresentativeKey Functions

Receives results

Takes “immediate action”

Makes “required decisions”

D&A Program Manager

Usually DAPM & DER are one in the same

For city transit, “DAPM” is often transit director, safety manager, or trainer; “DER” is often a person in City’s human resources or risk management department

This is the first break in the communications chain

Management Functions – DAPM/DER

Write, distribute, review policyEnsure integrity of pre-employment processMaintain an up-to-date random poolNotify employees (or supervisors) of random testsReceive & review testing formsOversee vendor performanceInitiate post-positive removal from dutyProvide SAP referralSchedule Return-to-duty testReturn employee to dutySchedule Follow-up tests

Management Functions – Split• DER (City)

Distribute policyMaintain random testing

poolMake/receive selectionsReceive forms, resultsSAP process & RTD

• DAPM (Transit)

Emp trainingNotify employees of

random testsPA/RS testingReturn employee to dutyGET AUDITED

Split Functions - Problems

DAPM not aware/knowledgeablePre-employment lapsesPool not up to date“One-Way Randoms”Lax vendor oversightModal overlap and mix-ups

Aggravating Environs

FiefdomsInstitutional memoryTransit department too small within City Transit department too small within regulated cohortTransit department doesn’t have leverage for vendor oversight (e.g.,

doesn’t pay the bills)

Records Management

Key audit finding for city programs with split functions:

Best Practice Information FlowTrigger

Notification

Test

Result & Review

Action

Closure

Municipal Info Flow, Part 1

• Selection

TPA

• Intermediary

HR • Notification

Transit

Municipal Info Flow, Part 2

• Test

CollSite

• Result

MRO/TPA• Action

HR

Findings & Fiascos

Too many stops after a positive/refusalSections 40.3 and 40.23 state that you must “immediately

remove the employee involved from performing safety-sensitive functions.”

MysteriesNever had a pre-employment, or worse…

Never had a return-to-dutyRandom never happenedNo training

Findings & Fiascos

FTA D&A Audit – Question #63

“Do the records indicate that the employer or other person administering the drug and alcohol testing process reviews CCFs and identifies and corrects any errors in the testing process of which they become aware, even if they are not considered problems that will cause a test to be cancelled?”

Findings & Fiascos

Transit DAPM is held responsible for errors

Funding withheld

Someone gets hurt

Vendor Oversight

Transit DAPM is held responsible for errors

FTA Audit requires explicit response

Transit DAPM has little influence

Pre-employment Testing

Hiring Process

Situational Awareness

Training

Random Testing

TPA TimingWhen is roster update due?When do you receive selection list?

Notification process

Time allowed for travel to testing siteIs there a blanket policy? Shouldn’t be!

Notification to Test – The One-hour Policy

Random Testing

Spread RequirementsDifferent for different modesFTA requires spread throughout year, week, day

Random Testing – “One-way randoms”“One-way Randoms”

1. TPA generates selection list for City HR2. HR distributes to department managers3. Department managers distribute to supervisors4. Supervisor notifies employee John D. Pueblo at beginning of

quarter to go for immediate test

Random Testing – “One-way randoms”“One-way Randoms,” continued

5. John travels to collection site6. John pees in a cup7. Specimen goes to lab for analysis8. Chemical positive result goes to MRO9. MRO’s dog eats chemical result10. At end of quarter, HR asks department manager, “why didn’t you

test this guy?”

Random Testing – “One-way randoms”“One-way Randoms,” continued

11. Department manager says “what are you talking about, I sent him six weeks ago?”

Random Testing – “One-way randoms”Section 40.17:

Is an employer responsible for obtaining information from its service agents? Yes, as an employer, you are responsible for obtaining information required by this part from your service agents. This is true whether or not you choose to use a C/TPA as an intermediary in transmitting information to you.

Post-accident Testing

Different modes have different requirementsResponsibility for testing – and knowing when to test – spread throughout

departmentsWho has oversight?

Delays in testing Drug before alcohol Appropriate documentation

Removal from Duty & SAP Referral

Who receives verified result from MRO?

How many calls to get immediate supervisor?

Who makes SAP referral?

SAP Process & Return to Duty

Who receives and maintains SAP reports?

Who decides to return employee to safety-sensitive duty?

Who schedules RTD test… and ensures the receipt of a negative result?

Follow-up testing

Who reviews SAP’s testing plan?

Who schedules follow-up tests?

Who receives and reviews results?

Solutions & Best Practices

Policy

Consistent review

Clear offsetting

Stakeholder awareness

Break out regulated department policies

DAPM/DER

Clear identification

Institutional awareness

Consistent training

Internal oversight

Program & Records Management

Clear communication

Consistent analysis and self-auditing

Solid feedback loop

Vendor Oversight

Vendors should know your environment

Designated oversight role

Consistent review of ATFs, CCFs, results

Pre-employment Testing

Centralize the process

Formalize the chain of responsibility

Use a checklist

Payroll codes

Post-accident Testing

Clear policy (and clear non-DOT policy, if applicable)

Robust supervisor training

Unambiguous decision-making forms

That are filled out!

Sap Referral & RTD/FU Testing

Clear consequences in policy Including regulatory requirements as well as local personnel

actions Complete narrative documentation Designated gatekeeper Self-auditing

Resources• FTA Transit Safety & Oversight:

http://transit-safety.fta.dot.gov • FTA D&A MIS Reporting:

http://transit-safety.fta.dot.gov/DrugAndAlcohol/DAMIS/ • DOT Office of Drug & Alcohol Policy & Compliance:

http://www.dot.gov/odapc • FTA Drug & Alcohol Forum:

https://transit-safety.fta.dot.gov/DrugAndAlcohol/TechnicalAssistance/Forum/default.aspx

FTA Drug and Alcohol ProgramNATIONAL CONFERENCE

THANK YOU

Atlanta, GA 2015