Best Practices in FTA Drug and Alcohol Testing Program Implementation Presented by Diana Byrnes, C-SAPA

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Best Practices in FTA Drug and Alcohol Testing
Program ImplementationPresented by Diana Byrnes,
C-SAPA
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About the Presenter

• Diana Byrnes, C-SAPA
• Project manager for the FDOT Substance Abuse
  Management Oversight and Technical Assistance
  Program with CUTR
• Senior Associate Staff Instructor for the
  Transportation Safety Institute
• Specializes in the training and education of FTA
  covered employers and employees, in the field of
  substance abuse management

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Todays session will

• Describe best practices in the following program
  areas
• Identifying covered employers and covered
  employees
• Policy
• Training
• Pre-employment Testing
• Random Testing
• Post Accident Testing
• Record Maintenance
• Vendor and Contractor Compliance Monitoring
• FDOT SAM Program description
• Whats on the horizon in DOT testing

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Applicability of Regulations
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FTA Covered Employers

• Each recipient (grantee) or sub recipient
  (indirect grantee) receiving Section 5311, 5307,
  5309 funding
• Contractors- when any of the above funding
  sources are used to compensate contractor s ,
  they are covered contractors and the same
  regulations that are applicable to your agency
  are applicable to the contractor. As the funding
  recipient your agency is responsible for the
  contractors compliance
• NOTE Medicaid contractors that only receive
  Section 5310 funding are EXEMPT (see next slide)

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FTA Covered Employees

• Performs or could be called upon to perform these
  functions
• Operate a revenue service vehicle (regardless of
  in or out of service)
• Operate a non-revenue service vehicle when a CDL
  is required to operate
• Perform maintenance on a revenue service vehicle
• Control the movement of a revenue service vehicle
  (as determined by the employer)
• Carries a firearm as part of transit
  securitydetail

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Regulations

• 49 CFR Part 655-
• The FTA regulations that tells us when and why
  drug and alcohol tests are required to be conduct
  specific to FTA covered employers.
• 49 CFR Part 40-
• The US DOT regulations that tell us how drug
  and alcohol testing must be conducted. These
  regulations cover all DOT modes.

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Policy Statement Requirements
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Policy Statement Requirements

• FTA Regulation- 49 CFR Part 655.15
• Policy must be approved and adopted by governing
  board and must include the following
• The agency contact, aka Designated Employer
  Representative (DER)
• The categories of employees that are subject to
  testing (job titles and positions that are deemed
  safety-sensitive)
• Prohibited behaviors and conduct
• Circumstances (reasons) for testing
• Procedures that will be used for testing (can
  reference Part 40)

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Policy Statement Requirements Continued

• The requirement that a covered employee must
  submit to testing in accordance with Part 655
• The actions and behaviors that constitute a
  refusal to test
• Consequences of positive results and refusals to
  test
• Employer may not impose requirements that are
  inconsistent with, contrary to, or frustrate the
  provisions of this part
• All covered employees must receive a copy of the
  substance abuse policy and any subsequent
  revisions
• Documentation of employee policy receipt must be
  obtained and kept on file for at least 2 years.

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Florida Model Policies

• FDOT issued new substance abuse policy templates
  in October 2011
• 5311 sub-recipient agencies (and/or contractors)
  are required to adopt the FDOT
• Available on the FDOT SAM Website
• http//sam.cutr.usf.edu

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Training and Education Requirements
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Training Requirements

• 49 CFR Part 655.14
• Display and distribute informational material
  including hot line telephone numbers for
  assistance
• 60 minutes of drug awareness training provided to
  all covered employees (alcohol awareness training
  not required, but is a best practice)
• Supervisor Training for Reasonable Suspicion
  Determinations (60 minutes on signs and symptoms
  of alcohol misuse AND 60 minutes on signs and
  symptoms probable drug use)
• Supervisors must receive this training prior to
  making a referral for testing

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Training Tools

• To meet the Display and Distribution requirement
• FDOTs Drug and Alcohol Testing Program Manual
  for FTA Covered Employees
• US DOTs What Employees Need to Know About DOT
  Drug and Alcohol Testing
• Posters, fliers, postcards,
• Restrooms
• Drivers lounge
• Timeclock area
• Memo in paycheck

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Training Tools Continued

• To meet the Employee Drug Awareness Training
  Requirement (60 minutes)
• FDOTs Clean, Sober and Safe video (only 23
  minutes, must supplement!)
• FDOTs Clean, Sober and Safe Web-based Training
  (time varies based on user)
• Classroom style training incorporating the videos
  and other material regarding the detriments of
  prohibited drug use on the mind, body and the
  workplace dangers.
• DO NOT use policy review to fill the 60 minutes
• If you include a segment on alcohol misuse, DO
  NOT count it toward the 60 minutes

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Training Tools Continued

• Supervisors must meet the training requirement
  prior to making a referral
• Training is only required once during the tenure
  of employment but annual refresher training is
  highly recommended
• To meet the FTA Supervisor Training Requirement
• FTA video training package available on Safety
  and Security Website http//transit-safety.volpe.
  dot.gov/
• FDOT agencies REACT video training package
  (new)
• Mailed to all Florida transit systems in March

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Additional Training Best Practices

• FTA Post Accident Testing Determination Training
• Prescription and Over the Counter Medication
  Awareness
• Substance abuse training topics to safety
  meetings
• DER training to keep abreast of regulatory
  changes

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Test Types and Potential Areas of Non-Compliance
for Each
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Test Types

• Pre-employment
• Random
• Post Accident
• Reasonable Suspicion
• Return to Duty
• Follow Up
• Note Most frequent areas of non-compliance are
  underlined in yellow

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Pre-employment Testing

• All new safety-sensitive employees and
  transferees must have a negative pre-employment
  drug test on file PRIOR to the performance of any
  safety-sensitive duty.
• Employee can not take part in any behind the
  wheel training until negative result is obtained
• Pre-employment alcohol testing is authorized but
  not required
• A pre-employment test must be administered to an
  employee returning from an extended leave of 90
  days or more, IF they have been removed from the
  random testing pool. ( this is NOT a return to
  duty test)

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Drug and Alcohol Background Checks

• 49 CFR Part 40.25
• Must obtain employee consent to inquire with all
  DOT employers within the previous 2 years (no
  consent, cannot hire)
• Any positive drug or alcohol tests conducted
  under DOT authority?
• Any refusals to submit to DOT testing?
• Must make a good faith effort to receive
  information
• If response is yes, must ensure that RTD
  process has been completed

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Random Testing

• Random testing must be spread throughout all
  hours of operation and all days of the week that
  safety-sensitive duties are performed
• Failure to conduct testing in this manner will be
  deemed a finding if audited- no excuses
• Alcohol test only just before, during or just
  after the performance of s/s duties
• Current annual minimum testing rates
• 25 of the average of employees must be tested
  for prohibited drug use annually
• 10 of the average of employees must be tested
  for alcohol misuse annually

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Random Testing Continued

• Random testing must be conducted in manner that
  does not develop a predictable pattern of testing
  that could be identified by employees
• No group testing
• Spread testing throughout the entire testing
  period
• Test on weekends and holidays if your agency
  performs safety-sensitive duties on weekends and
  holidays

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Post Accident Testing

• Must follow FTA criteria to test- refer to form
• If FTA accident definition is not met, DO NOT
  perform a DOT post accident test
• Fatality- Test without question
• Transport away from scene for medical treatment-
  test unless drivers actions can be completely
  discounted
• Vehicle REQUIRES towing due to disabling damage-
  test unless drivers actions can be completely
  discounted

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Post Accident Testing Continued

• Cannot test an employee who is unconscious
• Must conduct test as soon as practical following
  an event that meets the testing criteria but no
  more than
• 8 hours after the event for alcohol
• 32 hours after the event for drugs
• Document any delays in testing after the first
  two hours following the event see form

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Reasonable Suspicion Testing

• Supervisors must have received required training
  before making a referral for testing
• Supervisors must use specific and contemporaneous
  indicators as a determining factor (no rumor or
  second hand information)
• Only ONE supervisor is required to make a
  referral. Employer can not require more than one
  supervisor to concur with decision.
• Must document the observations and the referral
  process- See Form

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Return to Duty and Follow Up Testing

• Return to Duty and Follow Up tests ONLY apply to
  employees who have previously violated the DOT
  drug and alcohol policy
• Return to Duty is the test type conducted on an
  employee after they have completed the SAP
  evaluation and treatment program
• Employees who return to duty after a violation
  are subject to Follow Up tests. SAP determines
  number and frequency of tests
• BOTH test types must be Directly Observed
  Collections

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Collection Site Compliance
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Monitoring Your Collection Site

• The collection sites compliance to regulations
  is directly tied to your agencys compliance to
  the regulations
• Monitoring your collection site is highly
  recommended
• Start by developing a rapport with the site
  manager
• Bring a current copy of Part 40 and US DOT
  Specimen Collection Guidelines to the site
• Suggest scenarios and ask questions about how
  problem collections are handled
• Conduct an inspection of the site
• Ask the collector to walk you through their
  procedures

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Monitoring Your Collection Site Continued

• Conduct clandestine inspections
• Solicit information from employees after they
  return from the site
• When areas of concern are noted, bring it to the
  attention of your TPA (if applicable) and the
  site manager.
• Point out that collections for ALL DOT modes are
  to be conducted uniformly so deeming them
  non-compliant for an FTA covered employer applies
  to the FMCSA regulated employers as well (often
  more clients are FMCSA)

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Alcohol Misuse

• Although alcohol is a legal substance for those
  of legal age, the misuse of alcohol among
  safety-sensitive employees can be an extreme
  safety risk.
• All covered employees are prohibited from
  consuming alcohol within 4 hours of the
  performance of safety-sensitive functions and
  while on call to perform safety-sensitive duties
• DOT Alcohol testing can only occur just before,
  during or just after the performance of
  safety-sensitive duties

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Alcohol Testing

• Technicians must meet qualification training in
  accordance with Part 40.213
• Saliva tests are authorized for initial screening
  only not confirmation tests
• Evidential Breath Testing Devices must be used
  for confirmation testing
• Must be on National Highway Traffic Safety
  Administrations Conforming Products List

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Record Maintenance and Retention
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Retention Requirements

• Five Year
• All records related to positive results
• SAP Referrals
• Return to Duty Process, Follow Up testing
  documentation
• Documentation of employee refusals to test
• DAMIS Reports
• Three Years
• Previous employer background checks
• Good faith efforts

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Retention Requirements Continued

• Two Years
• Testing documentation
• Collection log books, if used
• Random selection process
• Reasonable suspicion documentation
• Post accident testing documentation
• MRO documents verifying existence of a medical
  explanation for insufficient volume
• Records of inspection, maintenance, and
  calibration of EBT

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Retention Requirements

• One Year
• Cancelled drug test results
• Negative test results
• Alcohol test results less than 0.02
• Alcohol test form with results
• Employers copy of the federal CCF.
• BEST PRACTICE KEEP ALL RECORDS FOR 5 YEARS.

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Record Maintenance

• Ensure that all records are kept in a locked file
  cabinet with access limited to only the DER and
  Alternate
• Keep drug and alcohol testing records stored
  separately from other types of employment records
• If records are kept electronically, ensure that
  they are password protected

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FDOT SAM Program

• Expansion for 2012-2013

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FDOT SAM Program

• Program was initiated August 1, 2003 as a
  compliance oversight tool for FDOTs Section 5311
  sub-recipient agencies
• In February 2004 FDOT underwent its first FTA
  Drug and Alcohol Program audit
• SAM Program was immediately expanded in February
  2004 to assist agencies in preparing and
  responding to the audit
• Further expansion to the technical assistance and
  training aspects of the program were made in
  2005, but the primary focus was still on the
  rural agencies

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FDOT SAM Program Cont.

• FTA audit of FDOT August 2011 emphasized the
  importance of the SAM program
• May 1, 2012 FDOT expanded the SAM program to to
  all Florida transit systems, regardless of size.
  
• Compliance reviews of rural systems are still
  conducted, however the training and technical
  assistance benefits are available to all
  agencies, statewide
• Regional outreach training sessions and webinars
  are being coordinated (see next two slides)

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Regional Outreach Training Sessions

• Region A- Districts 1 and 7 was held on July
  18th, 2012
• Region B- Western portion of District 2 and
  District 3 November 13, 2012
• Region C- Districts 4 and 6 March 27, 2013
• Region D- Eastern portion of District 2 and
  District 5 August 23, 2012
• Full day interactive workshop style sessions (not
  just lectures!)
• All sessions are open to all agencies (you must
  register for the session though.)
• Training session information is posted on SAM
  website, registration is coordinated through
  Molly Buffington at CUTR.

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Webinars

• Monitoring Collection Site Compliance September
  12th, 2012
• Record Maintenance Best Practices and DAMIS
  Reporting Instructions January 10th, 2013
• Developing Compliant and Effective In-house
  Training Programs April 24th, 2013
• Additional topics will be added, please feel free
  to contribute topic suggestions!

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In-House Training Opportunities

• Supervisory Training for Reasonable Suspicion and
  Post Accident Drug and Alcohol Testing Thresholds
• Employee Drug Awareness refresher training
• Prescription and Over-the-Counter Medication
  Awareness training
• One-on-One Drug and Alcohol Program Management
  training for new DERs or back-ups
• Contact me directly to set up in-house training
  byrnes_at_cutr.usf.edu

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FDOT Substance Abuse Website

• FDOT Substance Abuse Management Resource Website
  http//.sam.cutr.usf.edu
• Training Tools
• Training Announcements
• Videos
• FTA Regulatory Updates Newsletter
• Quick Regs- regulatory references
• Links to additional web resources

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On the Horizon

• Forthcoming Changes to Regulations

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On the Horizon

• On January 26, 2012, the Department of Health and
  Human Services accepted the Drug Testing Advisor
  Boards recommendations
• to expand the drug testing panel for Federal
  Workers to include Schedule II drugs (oxycodone,
  hydrocodone, etc.)
• to recognize oral fluid as an alternative
  specimen for Federal workplace drug testing
  programs. 
• The USDOT is required by law to follow HHS
  procedures, so as soon as the guidelines are
  established, Part 40 will be amended in
  accordance with the new guidelines. 

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On the Horizon Cont.

• We can anticipate a revision to Part 655 in the
  near future (within the next couple of years),
  according to Jerry Powers
• Electronic CCFs
• National database for violators is being
  developed (will start first with FMCSA)

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Statewide Testing Services Contract
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New TPA Contract Awarded

• Benefits of using statewide contract with
  FirstLab
• Scope of Service includes provisions for
  collection site monitoring and minimum collection
  site availability
• FDOT support (assurance that contract obligations
  will be met)
• No state interference with your individual
  testing account
• BEST PART Significant cost reduction for volume
  pricing
• DOT urine drug tests 25.00!

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Contact

• Please do not hesitate to contact me for
  information about drug and alcohol testing
  regulations or to schedule training
• Diana Byrnes
• 813-426-6980
• byrnes_at_cutr.usf.edu
• Thank you for your attendance today.

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Contacts

• Diana Byrnes, C-SAPA
• Substance Abuse Management Specialist
• CUTR
• 813-426-6980
• http// sam.cutr.usf.edu