Drug and Alcohol Program Management

1. Drug and Alcohol Program Management Presented May 9, 2007 By Diana Byrnes; CUTR

2. Today’s training topics: • 49 CFR Parts 655 and 40-Regulations governing mass transit’s drug and alcohol testing • Substance Abuse Policy Requirements • Pre-employment Administrative Duties and Testing • Training Requirements for Safety Sensitive Employees and Supervisors • Clean, Sober and Safe video • Operating a Compliant Random Testing Program • Conducting Post Accident Testing within FTA Thresholds • Reasonable Suspicion Testing • Record Maintenance and Retention

3. Commonly Used Acronyms • MRO = Medical Review Officer • TPA = Third Party Administrator • DER = Designated Employer Representative • DAPM Drug and Alcohol Program Manager • BAT = Breath Alcohol Technician • SAP = Substance Abuse Professional

4. Regulations

5. Regulations • 49 CFR Part 655 (enclosed in workbook) • Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations • Final rule published on December 19, 2000 Compliance required by August 1, 2001 • 49 CFR Part 655 (enclosed in workbook) • Procedures for Workplace Drug and Alcohol Testing • Final rule published December 19, 2000 Compliance required by August 1, 2001

6. Regulations apply to: • Direct and indirect recipients of section 5307, 5309, 5311 funding (including any contractors) • The regulation conditions financial assistance on the implementation of a comprehensive and compliant program. • Failure of an employer to develop and implement a program in compliance with this regulation may result in the suspension of Federal transit funding.

7. Substance Abuse Policy Requirements

8. Substance Abuse Policy Requirements • Identity of Designated Employer Representative along with the contact information to reach this individual • Date of Adoption by Local Governing Board • List of all job positions covered by the FTA regulation and the policy • The prohibited substances • The regulatory requirements concerning each of the six test types • Periods of coverage, when employees are subject to testing and the requirement to comply as a condition of employment • The testing methods used (may reference 49 CFR Part 40) • The 13 actions that would constitute a refusal to test • Consequences of a positive test or a refusal to test

9. Pre-employment Administrative Duties

10. Pre-employment Administrative Duties • Previous DOT Employer Background Checks • Must ask employee if they have ever tested positive on a DOT required pre-employment drug or alcohol test for which they did not obtain the position (not required to be in writing, but suggested) • Must obtain employee consent for release of information • Must make a good faith effort to obtain the background check information • Must document good faith efforts • Must maintain records for a minimum of three years

11. Pre-employment Administrative Duties Continued • Newly hired employees must be provided a copy of your agency’s substance abuse policy • Documentation of the employee’s receipt of the policy must be maintained on file for at least two years • A negative pre-employment drug test result must be on file prior to the performance safety-sensitive duties

12. Additional Administrative Duties • Agency must display and distribute informational materials on drug and alcohol awareness • Posters, Handouts, Pamphlets, etc. • Refer to: Resources for Drug and Alcohol Display and Distribution Information (enclosed in workbook) • Agency must comply with training requirements for all safety sensitive employees and supervisors

13. Training Requirements

14. Training Requirements for all Safety Sensitive Employees • A minimum of 60 minutes of drug awareness training that includes: • The effects and consequences of prohibited drug use on personal health, safety, and the work environment • Manifestation and behavioral cues of drug use • Alcohol education is NOT required, but encouraged, if included it must be in addition to the 60 minutes minimum requirement • Use of FDOT video, Clean Sober and Safe and its accompanying handbook will aid in meeting the 60 minutes of training

15. Training Requirements for Supervisors • Include all supervisors or other company officials authorized to make reasonable suspicion determinations • Provide 60 minutes of training on the physical, behavioral, and performance indicators of probable drug use • Provide 60 minutes of training on the physical, behavioral, and performance indicators of probable alcohol misuse

16. Supervisor Training Requirements Continued • Only required once in the supervisor’s tenure of employment • Additional periodic refresher training recommended annually • Training must be documented prior to supervisor making a reasonable suspicion determination

17. Training Best Practices: • Provide a three to four hour initial training course • Conduct refresher training annually at a minimum • Brief employees on major regulatory or policy changes as they occur (incorporate into safety meetings as necessary) • Include the drug and alcohol training in the new employee orientation • Make the training for supervisors interactive with case studies and role-playing • Educate, inform; supply information through a variety of media

18. Clean, Sober and Safe An Employee Drug Training Awareness Video

19. Operating a Compliant Random Testing Program

20. Random Testing Requirements • Must test 25% of the safety sensitive employee pool on an annual basis for drugs* • Must test 10% of the safety sensitive employee pool on an annual basis for alcohol misuse • Percentages may be met using a consortium of FTA employers • Testing periods can be monthly, quarterly or even weekly- as long as percentages are met annually *new for 2007

21. Random Testing Requirements continued • Selections must be made using a scientifically valid method that ensures that each covered employee must have an equal chance of being picked each time selections are made. • If selection lists are generated by a TPA or other service agency; the lists must be transmitted to the DER in a secure and confidential manner • Updates to the TPA’s database of safety sensitive employees must be made prior to each testing period. (Add new employees; remove employees no longer with agency)

22. Random Testing Requirements continued • Random testing must be spread sporadically throughout the testing period and throughout all hours of operation • No predictable pattern of testing can occur • Employees may be tested randomly for prohibited drug use at any time while on duty or while on call for duty • Employees may be tested randomly for the misuse of alcohol just prior toorwhile performing or just after performance of safety sensitive duties

23. Random Testing Requirements Concluded • Employees selected for random testing must proceed immediately to the testing facility (collection site) upon being notified of the required test • Use of a testing notification form will aid in determining if employees have reported promptly for testing • The most important element in a compliant random testing program is unpredictable testing that covers all hours of the day and all days of the week that safety sensitive functions are performed

24. FTA Post Accident Testing Criteria

25. Post Accident Testing • Most common error made is to conduct post accident testing when FTA testing thresholds are not met • Use of an FTA Approved Post Accident Decision and Documentation form (enclosed in workbook) will assist in determining if an accident meets the criteria to test • Documentation of the decision process should remain on file with the testing forms and the subsequent results of the required tests

26. Post Accident Testing Criteria • An accident (§655.4) is defined as an occurrence associated with the operation of a revenue service vehicle in which: • An individual dies; • An individual suffers a bodily injury and immediately receives medical treatment away from the scene of an accident*** • One or more vehicles incurs “disabling damage” as the result of the occurrence and is transported away from the scene by a tow truck or other vehicle*** ***Unless employee’s actions can be completely discounted as contributing to the accident

27. Post Accident Testing Criteria • What is “Disabling Damage”? • Damage that precludes the departure of any vehicle from the scene in its usual manner is considered “Disabling Damage” • “Disabling Damage” does not include damage that could be remedied at the scene with simple repairs, i.e.: tire disablement, headlight or tail light replacement • NOTE: Taking a vehicle “Out of Service” does not always meet the definition of disabling damage

28. Post Accident Testing Criteria • What does “Completely Discounted” mean? A decision must be made using the best information available at the time of the decision. The term “completely discounted” does not address preventability, chargeability, or accident fault, but rather assesses if the employee in any way contributed to the accident.

29. Post Accident Testing Decisions • At the scene, medical care and law enforcement activities take first priority • Supervisors should immediately inform employee(s) that post accident testing may be required • Employees must remain under supervision while awaiting testing • All covered employees who could have contributed to the accident should be considered in the decision process

30. Post Accident Testing Timetable • Post Accident Alcohol Testing • Every effort should be made to conduct alcohol testing within 2 hours of the accident. • Reasons for delays must be documented (i.e.: medical care required) • Cease attempts to conduct alcohol testing after 8 hours

31. Post Accident Testing Timetable • Post Accident Drug Testing • Every effort should be made to conduct drug testing within the first 8 hours following an accident • Reasons for delays in testing must be documented (i.e.: medical care required) • Cease attempts after 32 hours

32. Post Accident Testing Concluded • Both drug and alcohol tests must always occur • The lack of collection site and/or breath alcohol technicians is not a valid excuse for not conducting required testing • Drug and alcohol tests conducted by law enforcement may be used in some circumstances, but is not intended to be substituted for DOT testing when DOT testing COULD and should have occurred

33. Reasonable Suspicion Testing

34. In addition to the initial training; supervisors should receive annual refresher training that includes role play exercises • Agency needs to create an atmosphere of respect for a supervisor’s authority in this area • Supervisors need to know that management will “backed them up” if they make the call to test

35. Reasonable Suspicion Testing • Only one trained supervisor is required to make the call • Two trained supervisors are the ideal • Approach employee in a discreet and respectful manner • Document all signs and symptoms (form enclosed in workbook) • Document employee reaction, any dispute or refusal • Conduct testing as quickly and efficiently as possible • Keep employee supervised until testing takes place

36. Reasonable Suspicion Testing Continued • Remove employee from safety sensitive duty until receipt of a negative drug test result • 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

37. Record Maintenance and Retention

38. 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 must be limited to the DER and alternate

39. Record Release • Records must be made available when requested by: • Federal Transit Administration • A state oversight agency or grantee required to certify compliance to FTA on your behalf. • Any DOT agency with regulatory authority over the agency or any of its employees • A consultant or specialist appointed by an authorized authority • National Transportation Safety Board (NTSB)

40. Record Retention Keep 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 Best Practice = keep all records for at least five years

41. Q & A