drug and alcohol program management ~spring training ~ march 8 th 2007
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Drug and Alcohol Program Management
~Spring Training ~
March 8th 2007
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Welcome!
Today’s training topics: Substance Abuse Policy Record Retention and Confidentiality Pre-employment Administrative
Requirements and Testing Training of Safety Sensitive Employees and
Supervisors Random Testing Program Post Accident Testing Reasonable Suspicion Testing Collection Site Monitoring Clean, Sober and Safe video
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Substance Abuse Policy
Brief discussion/refresher
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Substance Abuse Policy
• An FDOT model policy is available • FTA policy requirements,(§655.15) any
additions under your own authority must be made obvious
• Policy must be adopted by governing board• Must be disseminated to all employees at
time of hire and each time a change is made• Documentation of employee receipt must be
kept on file for a minimum of two years from the date of the documentation
• NEW! Adjust for the new random rate if policy states the specific percentage- (this applies to FDOT model policy)
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Record MaintenanceRelease of Information and Retention
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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 is limited to the DAPM and alternate.
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Release of Information
• The FTA regulation [§655.73] states that test results may be released only when required by regulation or when the employee provides specific written consent, which means that the employee must indicate:
• The specific information that is to be released
• The identity of the person to which the information is to be released
• The specified time period for which the release of information can occur
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When Specific Consent is NOT Required for release of records
When records are requested by:• A state oversight agency or grantee
required to certify compliance to FTA on your behalf.
• Any DOT agency with regulatory authority over the employer or any of its employees
• A consultant or specialist appointed by an authorized authority
• National Transportation Safety Board (NTSB)
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Record RetentionKeep 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
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Record Retention
• Best practice is to keep all records for a period no less than 5 years.
• When audited, you will only be required to show records that are within the regulatory record retention guidelines
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Pre EmploymentAdministrative Requirements and Testing
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Pre Employment Background Checks
Review application to determine if employee has worked for any DOT regulated employers Look for any “holes” in employment history
Ask employee if he or she has refused a DOT required pre-employment test or has had a positive result on a DOT pre-employment test (in the previous two years, for which they were not hired)
Obtain employee consent for DOT drug and alcohol background check for the previous DOT employers of the past two years
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Background Check continued Send consent and request for information to
previous employers If possible review this information PRIOR to the
employee performing safety sensitive duties
If request is not fulfilled, document that a “good faith effort” was made
If information obtained from a previous employer reveals a refusal or a positive, employee must show proof of a SAP evaluation and successfully completed treatment (you must accept responsibility for the follow up testing that may be required if you hire this applicant)
Keep background check information or good faith effort on file for a minimum of three years
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Pre employment drug test
• Must test no more than 90 days prior to performance of safety sensitive duties; preferably within one week
• Previous or other DOT employer test cannot be accepted.
• A negative drug test result must be physically in hand prior to safety sensitive duty
• A canceled test must be retaken
• A dilute test must be retaken if agency policy is to retest all dilute specimens
• Keep negative test result on file for a minimum of one year
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Administrative Requirements
• Employee must be provided a copy of the current Substance Abuse Policy
• Documentation of the employee’s receipt of the policy must be kept on file for a min. of 2 years
• Provide a minimum of 60 minutes of Employee Drug Awareness training for all safety sensitive employees
• Add employee to Random Testing Pool
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TrainingSafety Sensitive and Supervisory
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Training Requirements
• All safety sensitive employees must receive a minimum of 60 minutes of employee drug awareness training
• Training must include information about the five prohibited drugs including the effects on health and safety
• Concern for public safety should be emphasized
• Provide employees with both visual and reading material
• Training is only required once during the tenure of employment, but recommended annually
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Supervisor Training
Reasonable Suspicion Training: 60 minutes of training on the probable
signs and symptoms of prohibited drug use
60 minutes of training on the probable signs and symptoms of alcohol misuse
Training video and trainer’s guide are available from FTA Safety and Security website (http://transit-safety.volpe.dot.gov)
Only required once in the tenure of employment but suggested annually
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Supervisor Training
• Supervisors who are required to determine if accidents meet the FTA criteria to test should be trained in the following:Use of the FTA Post Accident Decision
FormPossible contribution of other employee
actions (maintenance)Necessity to supervise employee(s)
until testing takes placeCollection site locations and or contacts Time limitations of testing
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Training Resources
• Substance Abuse Management Website: http://www.cutr.usf.edu/byrnessamsite
• FTA Website:• http://transit-safety.volpe.dot.gov/Training/default.asp • TD Commission Conference Workshops in Orlando
Aug. 6-9 2007
• FPTA/CUTR/FDOT Professional Development Workshops in Tampa June 4-6 2007
• FTA Annual Drug and Alcohol Conference New Orleans April 10-12 2007
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Random TestingIncreasing Effectiveness and Compliance
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Random Testing-New Minimum
• National positive rate averaged less than 1% for the previous three years
• 25% of safety sensitive employees must be tested annually- as a minimum
• Agencies can choose to remain at testing at the 50% rate
• Statewide testing pool has been lowered to the new FTA minimum
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Random Testing Effectiveness
• Limit persons involved in the coordinating of testing
• Record notification time; track collection times
• Avoid any predictable patterns– Save a few for the end of the testing period
– Send for testing when least expecting it
• Never conduct “group testing”
• Update employee database every single testing period
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Post Accident TestingRefresher
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Post Accident Testing
• Train supervisors on the use of the Decision and Documentation form
• Prepare a “Post Accident Kit” that includes:– Decision and Documentation Form– Contact numbers for DAPM and Alternate– List of approved sites and mobile collectors– Custody and Control Forms– Specimen cups (helpful for rural agencies who
need to use a local hospital)
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Post Accident Testing
• Any fatality- test• One of more vehicles towed away from
scene (because they had to be)- test unless employee actions can be completely discounted
• One or more parties are transported for medical treatment-test unless employee actions can be completely discounted
• Don’t follow the better safe than sorry mindset- follow regulations; use decision and documentation form
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Post Accident Testing Continued
• Comply with local law enforcement and see that medical attention is provided before all else
• Test all employees who could have contributed to the cause of the accident (such as maintenance)
• Keep employee(s) under supervision until testing occurs
• Conduct both urine drug and breath alcohol testing
• Document any delays in testing
• Document any employee refusals- supervisors must be made aware of actions that constitute refusal
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Reasonable Suspicion Testing
Increasing use of test type
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Reasonable Suspicion Testing
• Most under utilized test type
To increase use:Supervisors should receive annual
refresher training that includes role play
Create an atmosphere of respect for a supervisor’s authority in this area
Supervisors fear they won’t be “backed up” by management or they will be disliked by employees
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Reasonable Suspicion Testing
• Only one trained supervisor is required to make the call
• Two trained supervisors are ideal• Approach employee in a discreet and
respectful manner• Document all signs and symptoms• Document employee reaction, any
dispute or refusal• Conduct testing as quickly and
efficiently as possible • Keep employee supervised until
testing takes place
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Reasonable Susp.Testing Cont.
• Remove employee from safety sensitive duty until a negative drug test result reports
• 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
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Collection Site Monitoring
Your compliance depends on it
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Collection Site Monitoring
• Not a regulatory requirement• Agency compliance is directly affected by
collector’s compliance• Become familiar with the collection
process• Obtain feedback from employees• Make unannounced visits• When employee turnover at collection site
occurs, establish rapport• Check custody and control forms for
errors• Report errors and delays to TPA• Report serious infractions to FDOT
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Clean, Sober and SafeEmployee Drug Awareness Training Video
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Clean, Sober and Safe
• Developed in response to a need for training material specific to FTA regulated employers
• 23 minute video and accompanying handbook to be used in conjunction with the substance abuse policy
• Geared toward all safety sensitive employees
• Features Florida history and Florida transit systems