Sandra D. Sullivan, M.Ed., LADC1, CEAP Massachusetts Bay Transportation Authority Assistant Director...
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Effective Second Chance Programs Sandra D. Sullivan, M.Ed., LADC1, CEAP Massachusetts Bay Transportation Authority Assistant Director Occupational Health Services Substance Abuse Professional FTA Drug & Alcohol Conference Atlanta April, 2015
Sandra D. Sullivan, M.Ed., LADC1, CEAP Massachusetts Bay Transportation Authority Assistant Director Occupational Health Services Substance Abuse Professional
Sandra D. Sullivan, M.Ed., LADC1, CEAP Massachusetts Bay
Transportation Authority Assistant Director Occupational Health
Services Substance Abuse Professional FTA Drug & Alcohol
Conference Atlanta April, 2015
Slide 2
Why Bother? 2 Your company is a microcosm of society. If its
out there.its in here. Some of your employees are using and abusing
substances. Ignoring this is DANGEROUS
Slide 3
Goals Review overall technical requirements 49 CFR part 40; 49
CFR part 655 Employer responsibilities first AND second chance
Subpart O, Importance and Role SAPs responsibilities follow-up
testing and aftercare recommendations What makes an effective vs.
ineffective Second Chance Program? Why or why not have a second
chance program? Benefits vs. drawbacks 3
Slide 4
Technical Requirements 49 CFR Part 40 49 CFR Part 655 49 CFR
Part 40 Subpart O 4
Slide 5
Second Chance Program The Employer MUST: determine what types
of testing violations youre going to have a second chance for?????
Pre-employment? Random? Reasonable suspicion? Post accident? 5
Slide 6
Second Chance Program Federal Follow the procedures of 49 CFR
Part 40 Subpart O Proof of compliance with SAP recommendations
Observed testing for all follow-up tests 40.63 (b) 6
Slide 7
Second Chance Program Have a Company Drug and Alcohol Policy
which supports this decision compliant with 655.15 This may mean a
re-write of, or addendum to, current policy to include a second
chance program Must be disseminated in accordance with 655.16
7
Slide 8
Follow-up Testing Program Typically the person who designed the
random pool will also be able design your follow-up testing pool
Depending on the type of draw your company does for random
selection (daily, monthly, quarterly) the follow-up selection may
be a different increment 8
Slide 9
Follow-up Testing Program 40.307 The number and frequency of
follow-up tests and whether these tests are for drugs, alcohol, or
both is determined solely by the SAP The decision on specific dates
to test is the employers 9
Slide 10
Follow-up Testing Program Have well trained collectors. They
must be versed in regulations and experience SPECIFIC to 40.67 Part
of training your observers (who may also be your collectors) is to
teach them to be observant One of the reasons there are directly
observed collections is the likelihood of substitution/tampering is
much greater. Monitor your testing sites for compliance frequently
10
Slide 11
Technical Requirements for the Employer 40.23(a), 655.61(a)(1)
After a verified positive test result the employer shall require
that the employee cease performing any Safety Sensitive Duty 655.62
Responsible for SAP referrals for ALL federal violations and
refusals to test 11
Slide 12
Employer Responsibilities Ensure the SAPs on your list are
valid Have qualifying credentials Demonstrate knowledge of DOT
regulations Produce training records (SAP exam, continuing
education) Review SAP letters for accuracy and compliance prior to
agreeing to returning employee to duty 12
Slide 13
Interview Your SAP What is the SAPs understanding of their role
as it relates to safety-sensitive duties? How long have they been a
SAP and how many evaluations have they completed? Does the SAP
understand the DOT Regulations? 13
Slide 14
Interview Your SAP What types of recommendations does the SAP
think are appropriate for education and treatment? Has the SAP ever
found an employee ineligible to return to
work?......................Why? 14
Slide 15
Regulation Violations When is a SAP evaluation required? DOT
vs. Non-DOT 15
Slide 16
The Role of the SAP Gatekeeper for the return-to-duty process
Protect public safety Thus, not a traditional counselor Recovery
may or may or be the goal Not an advocate for employer or employee
16
Slide 17
What is the role of the SAP after a verified positive test
result? 40.291 Face-to-face clinical assessment Referral to
appropriate education and/or treatment Face-to-face follow-up
evaluation 17
Slide 18
What is the role of the SAP after a verified positive test
result? (cont.) Provide employer with follow-up observed testing
plan Specific recommendations for continued education and treatment
18
Slide 19
Initial Clinical Evaluation 40.293 Clinical face-to-face
evaluation Psychosocial History Family History Tools for Assessment
19
Slide 20
Referral 40.293(2)(c),(d) Role of SAP in referring (education
& treatment) Appropriate referral Insufficient referral
40.299(b) No conflict of interest 20
Slide 21
SAP Initial Report to DER 40.311 Initial On SAP letterhead,
including SAP phone number Employees name and Social Security
Number Employers name and address 21
Slide 22
SAP Initial Report to DER (cont.) Specific violation type and
date Date of assessment Education/treatment recommendations 22
Slide 23
SAP Follow-up Evaluations 40.301 Follow-up evaluation
Face-to-face Documentation Determination of compliance
Recommendations for continued education and/or treatment 23
Slide 24
Determination of Compliance Yes=Letter to DER No=Letter to DER
Not yet=Now what? 24
Slide 25
SAP Follow-up Report to DER Employees name and Social Security
Number Employers name and address Specific DOT violation and dates
of initial and follow-up evaluations Initial assessment and
synopsis of treatment plan Documentation from medical/clinical
agencies providing the recommended education and/or treatment
25
Slide 26
Inclusive dates of employees program participation Clinical
characterization of employees program participation SAPs clinical
determination as to whether the employee has demonstrated
successful compliance Follow up testing plan Recommendations for
Employees continuing treatment, education and/or support group
services SAPs telephone number 26 SAP Follow-up Report to DER
(cont.)
Slide 27
Follow-up Testing Plan Must specify: Who What How How many How
long Accompanying follow-up testing plan should be a separate
document This follows the employee to any DOT regulated
Employer/position 27
Slide 28
Continuing Education/Treatment Recommendations Post RTD What
makes sense for Public Safety Provide the employee and employer
with recommendations for continuing education and/or treatment Who
monitors this? 28
Slide 29
Non-Compliance with SAP Recommendations 40.301 (d)(1) Follow-up
report On SAP letterhead, including SAP phone number Employees name
and Social Security Number Employers name and address Reason for
initial assessment (specific violation type and date) 29
Slide 30
Non-Compliance with SAP Recommendations (continued) Name of
practices or services providing recommended education/treatment and
documentation of participation/lack thereof Clinical determination
that employee has not demonstrated successful compliance Of course
there is no established testing plan 30
Slide 31
Employer Responsibility when SAP Indicates Non-Compliance 31
40.301 (d)(2) Can NOT return Employee to Safety Sensitive Duty
until compliant 40.301 (d)(3) May choose to give employee more time
to successfully comply with SAP recommendations 40.301 (d)(4) Can
take personnel action consistent with policy and or
labor/management agreements
Slide 32
Return-to-Duty Process 40.301 Written report to DER Successful
compliance with education/treatment Followed by: Written follow-up
testing plan Number and frequency of follow-up tests and whether
these tests will be for drugs, alcohol, or both 32
Slide 33
The Employers Role in the RTD Process 40.305 If SAP has
determined compliance: SAP writes report to DER indicating
successful compliance Employer decides whether or not to order RTD
test (observed) NOT the SAP Employer usually executes a Return to
Duty or Last Chance Agreement with Union and employee 33
Slide 34
Technical Requirements for the Employer 40.305 (b) Final say
over returning an employee to duty. This is a personnel decision
you have the discretion to make 40.309 (a) Carry out return-to-duty
and foll0w-up testing program as directed by the SAP 40.307 (4)
Cannot impose additional tests over and above the SAP 34
Slide 35
Follow-Up Testing The SAP determines the number and type of
tests as well as the duration of the testing program Must account
for employees who are not performing safety sensitive functions and
adjust their follow-up testing program accordingly 35
Slide 36
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Slide 37
Possible Pitfalls Lack of Management buy-in to program and
importance of Drug and Alcohol testing in the workforce Cost
Perceived or Real Possible Public Relations Nightmare 37
Slide 38
Possible Pitfalls Bias Failure to articulate cost benefit
analysis to company Returning employees to work before they have
demonstrated successful compliance 38
Slide 39
Benefits Safer employee-less accidents Improved employee after
receiving treatment Decrease in absenteeism Increase workforce
morale 39
Slide 40
Benefits Frontend costs vs. Long term costs Employee
replacement costs vs. Rehabilitation costs Employee loyalty Overall
effects on the community 40
Slide 41
Ineffective Second Chance Program Poorly managed and
administrated from all points Collections Return to Duty SAPs Lacks
creditability Is selectively implemented 3 rd, 4 th, 5 th 41
Slide 42
Ineffective Second Chance Program A policy and training program
which fails to articulate procedures and consequences for
violations Breaches confidentiality Management and supervisors
unprepared to support the returning employee 42
Slide 43
Effective Second Chance Program Managed and administered
Creditable Consistently implemented 43
Slide 44
Effective Second Chance Program Ensure follow-up testing pool
is accurately administered Follow-up testing pool designed to test
for drugs, alcohol or both Extensive research and training of
collectors, observers and SAPs.dont forget your supervisors 44
Slide 45
Effective Second Chance Program Ongoing auditing of providers
and vendors Make the Drug and Alcohol Testing Program part of every
management conversation Success stories return to duty and are best
advocates for the program 45
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Statistics 46
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Statistics 47
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Statistics 48
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Statistics 51
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THANK YOU Sandra D. Sullivan, M.Ed., LADC1, CEAP Massachusetts
Bay Transportation Authority Assistant Director Occupational Health
Services Substance Abuse Professional 52
