Spring 2007 New York Rural Transit Conference Drug and Alcohol Program Overview

March 14, 2007

Spring 2007New York Rural Transit Conference Drug and Alcohol Program Overview

Presented by:Beverly Krieger, CSAPAPrecision Compliance, [email protected]

Drug and Alcohol Program Overview

Pre-employment highlights (655.41) Employer may hire an applicant prior to

receiving the drug test result however, the new employee can not perform safety sensitive duties until the negative results are received

A pre-employment test must be taken if an employee is off duty for more than 90 days and out of the random pool. Employees should be removed from the pool if it is known that the individual will not perform SS duties during the period


Pre-employment, cont. Pre-employment test must be done

within 90 days of hire. (655.25) An employer must ask if an

applicant had failed a pre-employment test previously

Must prevent proof of successful completion of a return to duty process


Pre-employment, cont. (40.25) An employer must request drug

and alcohol information from past employers (DOT) from the previous 2 years

Must have applicant’s signature Must be received within 30 days Document a good faith effort to obtain the

information


655 and Part 40 Issues Are dispatchers safety sensitive?

Individual employer’s decision Evaluate if your “dispatcher” controls the

movement of your vehicles. Be ready to justify your decision.


Maintenance Contractors (definitions:655.4) Includes

Engine and major component overhauls and rebuilds

Exemptions Warranty work is exempt 5311 Recipients Recipients of 5309 and 5307 funds that serve

populations of 200,000 or less


19A 19A (Part 6 of the Commissioner's Regulations) does

NOT require any drug tests. Systems seem to confuse the federal requirements with state requirements.

During the annual physical for school bus drivers or biennial physical for bus drivers, a doctor is supposed to look for signs and symptoms of drug or alcohol use. If the physician suspects something he/she could order a test or just fail the person on their physical. Any requested drug test must be done on a non-Federal Custody Control Form.


Policy Approval The company’s policy must be approved by

Governing Board Highest Ranking Official

Reasonable Suspicion Clarification Trained Company officials as well as

supervisors and “lead people” may make determinations.

If testing timeframes are not met documentation must be made as to the reason.


Consent Forms Section 40.27 prohibits the use of consent forms

releases, waivers, indemnifications or any other form that is not part of the DOT procedures.

This also pertains to service providers (collection sites).

Laboratory Statistics Section 40.111 The laboratory must transmit

(twice a year) an aggregate statistical summary of drug tests by employer. (appendix B)


Included in the Lab Statistics Summary (no employee names)

Number of specimen results reported total Total by type Number of specimens reported as

Negative Negative dilute

Number of of rejected specimens and the reason Number of specimens reported as positive total and

by drug Adulterated specimens-total Substituted specimens-total Invalid results-total


Post Accident Clarification (655.44) The supervisor must

document the testing decision and the decision-making process for each accident.

Be sure to train supervisors to use the post-accident form for every accident whether they test the employee or not.


Collection Site Procedure Develop a procedure for notifying site regarding

employee’s arrival time and information regarding notifying the DER

Review prior to collection All water sources turned off and bluing in the

receptacle Secure toilet tank top or use bluing Ensure undetected access is not possible No chemicals (soap, bleach etc) in the toilet area Secure areas suitable for concealing contaminants Donor instruction in specimen area Secured area for specimens and collection procedures


Site Audit Has the site received documented training? Does the site have a copy of the new regulations

and is the collector familiar with them? Are the supplies readily available? Are the your CCFs available? Non-DOT Forms? Does the collector inspect the voiding area prior

to the collection Is there a procedure for contacting the DER Is the donor asked for a photo ID? Is the employee asked to wash his/her hands prior to

giving a specimen?


Is there a locked area for the donor’s personal items Does the specimen stay in sight of the donor and

collector until the process is finished and the samples are sealed?

Does the donor initial the bottle seal after it is placed on the specimen bottle?

Does the collector understand what to do if there is insufficient volume?

Are the specimens kept in a secure location while waiting for the courier?

Does the collector understand the observed specimen collection protocols?


Employer - Mandatory observed collections no advanced notice to the employee The Lab reported to the MRO an invalid specimen

and there is no medical reason The MRO reports the original positive,

adulterated, or substituted result was cancelled due to the split being unavailable

You may require a Return to duty or follow-up test to be observed


Collector – Mandatory Observed Collections Directed by the DER Observed materials brought to the collection

site Employee’s conduct clearly indicates a clear

attempt to tamper or adulterate Temperature on the original specimen was out

of range Original specimen appears to have been

tampered with


•SAP Responsibilities•Evaluate type and amount of assistance needed by employee

•Determine if employee successfully completed recommended treatment

•Confer with treatment professionals

•Conduct face to face interview

•Provide a written report to the DER

•Specific guidelines for reports are in 40.311

•Determines when employee is ready to return-to-work and follow-up testing duration and frequency

•Referrals are required for all positive tests


Auditing your SAP Does the SAP conduct a face to face evaluation with

the donor? Does the SAP always recommend some assistance,

either treatment or education? Does the SAP evaluate if an employee successfully

complied with the recommended assistance? Does the SAP provide a written report to the you? Does the SAP establish the appropriate time for a

return to duty test? Does the SAP recommend the duration and

frequency of the follow-up tests?

Drug and Alcohol Program Overview Test Results-Paper Trail Employer Copy of the Custody and Control Form

Sent immediately from the collection site MRO Final Drug Test Result

A copy (not the original) of the MRO Copy of the CCF May generate a report including (40.163)

Full name of the donor Specimen ID number SSN or Employee number Reason for the test Date of collection Result of the test and the date the result was verified For a positive, the drug(s) for which the test was positive For cancelled,refusal, the reason for the determination


Verified test results Negative:no action Negative dilute:employer may retest (be consistent) Positive: rule violation Positive dilute: rule violation Test refusal:rule violation Insufficient volume (medical explanation): cancelled Insufficient volume (no med explanation): test

refusal Insufficient volume (long term disability): Negative Fatal flaw rejected for testing: cancelled Fatal flaw (pre-employment/ rtn to duty): cancelled,

retake


Invalid result (medical explanation): cancelled Invalid result (no medical explanation): cancelled and

retest under direct observation Primary positive/split fails to reconfirm: cancelled Primary adulterated/substituted, split fails to reconfirm

adulteration or substitution: cancelled Primary positive/ adulterated/substituted and split

unavailable or invalid: cancelled: retest under direct observation

Primary positive, split fails to reconfirm but is adulterated: test primary for adulteration


•Employee notification – non negative•Notify employee of confirmed positive, adulterated, etc.

•3 attempts in 24 hours

•If unable to contact, notify the DER Results not discussed The DER should instruct employee to contact MRO If no contact within 24 hours, DER to leave message and notify the MRO Verify test results without interview

Employee refuses to discuss results with MRO After contacted by DER, Employee does not get in contact with MRO. Result in 72 hours No contact with donor in ten days after a good faith effort


Random Testing *New Minimum Random Drug Testing

Rate of 25% (FTA) Less than 12 employees should test at 50%

Be sure to document the time of the employee notification

Document the reason why an employee would be chosen but not tested within the testing period

Spread testing throughout the hours of operation, days of the week, etc.

Be sure to get a hard copy of the random selections


Be sure to review your CCF to ensure that: The employer’s name (your name) is in the appropriate

space on the upper left hand corner of the CCF

Also the employer’s, phone and fax number is required in the same area.

The MRO’s name, address, fax and phone number must appear in the appropriate section

The C/TPA may have their name on the CCF

All custody and control forms must be reviewed for errors in documentation even if they do not cause fatal flaws i.e. “ghost initials”


Employer’s Responsibilities (40.15) Ensuring that the service agents you use

meet the qualifications.

“Your good faith use of a service agent is not a defense in an enforcement action initiated by a DOT agency “ (40.345) A C/TPA may act as an intermediary in the

transmission of drug and alcohol testing IF the employer chooses.

Security system must be in place to receive results or speak with the MRO

Employer must receive positive alcohol results (40.351) On your request a C/TPA must transfer all

records immediately.


Self AuditReview your procedures for all testing events and the accompanying forms

Review your paper-trails and accompanying documentation“DOT tests must be completely separate from non-DOT tests in all respects.”

Graph the times and days of your random tests

Be sure your MRO is sending signed (or stamped for negatives) complete results for each test which include:

Be sure you have documentation of your employee education and supervisory training, including the content of the training


The employee education component of the program shall include

display and distribution to every covered employee of:

informational material and a community service hot-line telephone number for employee assistance, if available.” (655.14)


Program Forms Pre-employment acknowledgment Previous employers records Policy Acknowledgment Accident/incident decision making form Referral to SAP Reasonable Suspicion documentation form Collection site request for test with DER

information Collection site audit form


Resources 49 CFR part 40

www.dot.gov/ost/dapc/regulations.html 49CFR part 655

www.transit-safety.volpe.dot.gov/safety/DATesting/Regulations Back issues of the FTA Updates

www.transit-safety.volpe.dot.gov/Safety/DATesting/Newsletters Collection Procedures

www.dot.gov/ost/dapc Employee Education Video and Handbook

http://www.cutr.usf.edu/byrnessamsite Supervisory Awareness Training Video & Handbook

http://transit-safety.volpe.dot.gov/safety/datesting/reasonablesuspicion.asp SAP Guidelines

WWW.dot.gov/ost/dapc/prog_guidance Organizations that train SAPs

www.dot.gov/ost/dapc/testingpubs/sapexam-sources_200605_alpha.pdf

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Spring 2007 New York Rural Transit Conference Drug and Alcohol Program Overview

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