MODULE 2 - DRUG and ALCOHOL PROGRAM MANAGER FUNCTIONS

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MODULE 2 - DRUG and ALCOHOL PROGRAM MANAGER
FUNCTIONS
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DESIGNATED EMPLOYER REP- (Drug and Alcohol
Program Manager)

• Part 40 Designated Employer Rep as
• Part 40 Also Notes that

An employee authorized by the employer to take
immediate action(s) to remove employees from
safety-sensitive duties, or cause employees to be
removed from these covered duties, and to make
required decisions in the testing and evaluation
processes.
The DER also receives test results and other
communications for the employer, consistent with
the requirements of this part. Service agents
TPAs, MROs, SAPs, Collectors/BATs cannot act as
DERs.
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Is the DAPM Plugged In?

• Distance to Safety-Sensitive Personnel
• Can DAPM meet DOTs requirement to immediately
  remove employees from safety-sensitive duties, or
  cause employees to be removed from these covered
  duties?
• Safety-sensitive Roster (Pool) Awareness
• Does DAPM know who is currently SS?
• Linked into Payroll, Operations, and Human
  Resources?
• Know who covered contractors are?
• Receive results of all pre-employment tests?
• The final authority for required decisions?

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DAPMVerticalRelationships
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HorizontalRelationships
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The POLICY

• Check compliance annually
• Is it a model policy?
• Make sure its localized!
• Make sure your Board/GM knows!
• Disseminate Explicate
• DAPMs job is to help employees get it!
• Get a receipt from each employee (its proof!)

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The TRAINING

• Part 655 Requires 60 min of Training on drug use
  for each Safety-sensitive Employee
• Part 655 Requires 120 min of Training for each
  Supervisor authorized to make Reasonable
  Suspicion Determinations
• 60 min on Drug Use
• 60 min on Alcohol Use
• Training Video is available free from The FTA

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THE REGULATIONS

• 49th Code of Federal Regulations - Transportation
• Part 40 - PROCEDURES FOR TRANSPORTATION WORKPLACE
  DRUG AND ALCOHOL TESTING PROGRAMS
• Part 655 - PREVENTION OF ALCOHOL MISUSE AND
  PROHIBITED DRUG USE IN TRANSIT OPERATIONS

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REGULATORY HISTORY and OVERVIEW
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REGULATORY HISTORY and OVERVIEW
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PROHIBITED DRUGS

• The NIDA 5
• Marijuana
• Cocaine
• Amphetamines
• Opiates
• Phencyclidine (PCP)
• Use of these substances is prohibited at all
  times
• Prohibitions may be added (over-the-counter, Rx,
  etc.)
• Current cut-offs will change this fall

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Prohibited Alcohol Use

• Covered Employees may not use alcohol
• While performing a safety-sensitive function
• Within four (4) hours of performing a
  safety-sensitive function
• Within eight (8) hours after an accident (or
  until a post-accident alcohol test has been
  performed)
• While on Call
• The employee must be given the opportunity to
  acknowledge the use of alcohol at the time of
  notification.

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Non-Negative Drug Tests

• Non-negative specimen. A urine specimen that is
  reported as adulterated, substituted, positive
  (for drug(s) or drug metabolite(s)), and/or
  invalid.
• Positive - A drug test verified by the MRO to
  contain a prohibited substance at or above the
  cut-off limits for which the individual can
  provide no legitimate explanation
• Adulterated - containing a substance that is not
  a normal constituent of urine or containing an
  endogenous substance at a concentration that is
  not a normal physiological concentration.
• Substituted - having creatinine and specific
  gravity values that are so diminished or so
  divergent that they are not consistent with
  normal human urine.
• Invalid - containing an unidentified adulterant,
  interfering substance, physical characteristic,
  or endogenous substance that prevents the
  laboratory from completing testing or obtaining a
  valid drug test result.

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Non-Negative Alcohol Test

• A breath alcohol concentration (BAC) of 0.040 or
  higher recorded on a printing Evidential Breath
  Testing device.
• The company must have a policy for employees with
  BAC of 0.02 to 0.039. The FTA minimum
  requirement is that the employee must be removed
  from SS duties for 8 hours or until the BAC is
  less than 0.02.

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Alcohol Testing Devices

• Devices approved by NHTSA
• Evidential Breath Testing Machine (EBT)
• Prints Result
• Only device that can be used for confirmation
  test
• Evidential for court appearances
• Alcohol Screening Device
• Does not print result
• Approved by NHTSA, but cannot be used for
  confirmation testing
• Saliva Testing Strip most common

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HORIZONTAL ACTIONS REQUIRED OF THE DER

• COLLECTION SITE
• MRO
• SUBSTANCE ABUSE PROFESSIONAL
• CONSORTUIMS/THIRD PARTY ADMINISTRATORS
• RECORDS MAINTEANCE
• SAFETY-SENSITIVE CONTRACTORS

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COLLECTION SITE

• Arrange for Drug Alcohol collections during all
  hours and days of SS service
• Provide current DAPM contact info so collection
  site can reach you STAT
• Inform collection site of type and authority for
  all collections
• Require Directly Observed tests for RTD and
  Follow-up Tests and as required by MRO

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Collection Site Interactions

• Provide an employee description to collector for
  employees who do arrive without a photo ID
• Establish an appropriate interval for travel to
  the collection site and declare a refusal for
  employee who delay with no plausable explanation

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Collection Site Refusals

• Declare a refused test if informed by collection
  site that test was discontinued after a refusal
  behavior with no mitigating circumstances
• Part 40.191 lists drug refusals and 40.261 lists
  alcohol refusals
• Not appear in a timely manner for a drug or
  alcohol test or remain for testing
• Fail to cooperate with the testing process
• Fail to permit observed testing (urine)
• Wear a prosthetic device (urine)
• Admit to the collector that you have adulterated
  or substituted the specimen
• Fail to sign Step 2 of the ATF (breath)

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Shy bladder

• Upon notification by the collection site that a
  sufficient urine specimen could not be collected
  (shy bladder), consult with the MRO, identify a
  physician, and require the employee to undergo a
  medical evaluation within five days.
• Declare a refusal if the MRO reports a Refusal
  to test after considering the findings of the
  referring physician.

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Shy Lung

• Upon notification by the collection site that a
  sufficient breath specimen could not be collected
  (shy lung), require the employee to undergo a
  medical evaluation by a physician with
  appropriate expertise who is acceptable to you.
• Receive the medical evaluation from the
  physician. Declare a refusal if the physician
  determines that there is not an adequate basis
  for determining that a medical condition
  precluded the employee from providing a
  sufficient amount of breath.

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Other Requirements

• Inform the collection site when a test must be
  done under Observed Collection Protocol and not
  accept a test result not so collected when
  required.
• Require the collection site to take corrective
  actions in response to performance reviews by the
  employer and by outside agents, both federal,
  state and private.

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Collection Site Records

• Require the collection site in all cases to
  provide the Employer's Copy of the CCF and ATF
  directly to the DER (not the employee) within the
  required period for transmission.
• Require the collection site, when requested, to
  provide proof of training and retraining for all
  collectors.

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MEDICAL REVIEW OFFICER

• At the request of the MRO, make at least three
  attempts within 24 hours to reach the employee to
  direct the employee to contact the MRO, including
  leaving messages on home answering machines and
  by email. Document those attempts.
• After 24 hours (or as soon as a successful
  contact has been made), notify the MRO of whether
  you have been successful or unsuccessful in your
  attempts to contact the employee.
• If unsuccessful after 24 hours, the DER may place
  the employee on temporarily medically unqualified
  status to prevent the employee from operating a
  revenue service vehicle.

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MRO Retesting

• When required by the MRO, inform the employee
  that an immediate Directly Observed Collection is
  required by the MRO. Require the test to be
  conducted. Declare a refusal if the employee
  refuses to undergo the test.
• If the MRO reports the test as a dilute negative,
  take the action pre-established by company
  policy.

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Shy Bladder

• In a shy bladder, require the employee to
  undergo medical evaluations as required by the
  MRO.
• Declare a refusal to test if the employees fails
  to undergo the medical examination or evaluation.
  

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SUBSTANCE ABUSE PROFESSIONAL

• Referral after a DOT violation, (including a
  failed pre-employment test) you must refer the
  employee to a qualified SAP.
• Maintain a list of SAPS reasonably available with
  names, addresses and telephone number.
• If the company has a second-chance policy, assure
  that the employee is evaluated by the SAP within
  the time-period established by the company for
  that evaluation to take place.

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Reports from the SAP

• The DER (and only the DER) receives the first
  (Initial Evaluation) and second (Treatment
  Outcomes) written reports of the SAP.
• If the SAP indicates, in the second report, that
  the employee has successfully completed the
  education and/or treatment plan established by
  the SAP, the DER determines whether or not the
  individual may resume safety-sensitive duties
  with the company.

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SAP Report Requirements

• Only return employees to SS duties who have
  successfully completed the SAPs program
• Arrange for the Return-to-Duty Directly Observed
  test
• Establish and Maintain a Follow-up Testing
  schedule according to the SAP plan
• Assure the employee complies with any continuing
  treatment requirements
• After a year, assure that the employee is
  reevaluated if required by the SAP

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CONSORTIUM/TPA

• Have a written agreement with your TPA
  stipulating roles and duties.
• The agreement establishes the TPAs role in the
  transmission of test results.
• The permissible roles and responsibilities of
  C/TPA are found at Part 40 Appendix F.
• Drug and Alcohol Testing Information that C/TPAs
  May Transmit to Employers

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C/TPA Prohibitions

• Not require an employee to sign a consent,
  release, waiver of liability, or indemnification
  agreement.
• Not transmit laboratory results to the MRO.
• Not transmit medical information (i.e. safety
  concerns) from MRO to employer.
• Not transmit SAP reports to employer.
• Not transmit alcohol positive results (BAC gt
  0.02) to employer.

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IF MRO and C/TPA Share Staff and Resources

• Require documentation of separation of functions
  requirements of Part 40.353
• Physical and programmatic means to separate MRO
  and C/TPA functions and maintain confidentiality.
• Medical assistants must be under direct
  supervision of the MRO.
• Only the MRO may gather medical information and
  conduct verification interviews.

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RECORDS MAINTENANCE

• Establish a secure set or records with restricted
  access.
• Separate drug and alcohol testing records from
  all personnel and other records.
• Maintain the records in an easily accessible,
  legible, and organized manner.
• Maintain records for the retention periods
  established in the modal regulations and Part 40.
• One Year, Two Year and Five Year Records

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Outside Reviews

• Provide access to your records and facilities to
  DOT agency representatives.
• If the C/TPA maintains your records, assure that
  they can be produced at your place of business in
  the time required by the DOT agency. (e.g. two
  working days)
• Coordinate record retrievals from your
  contractors.
• Submit the DA/MIS report annually in a timely
  manner for your company and your safety-sensitive
  contractors.

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SAFETY-SENSITIVE CONTRACTORS

• Recognize that the employer is responsible for
  the compliant activities of its service agents
  and contractors.
• Determine which of your contractors provide
  safety-sensitive services, inc. maintenance.
• Require DA program compliance in your contractor
  agreements.
• Maintain an up-to-date list of safety-sensitive
  contractors, including maintenance contractors.

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Service Agent and Contractor Compliance

• Grantees have a right to contractor drug and
  alcohol testing information for compliance
  monitoring.
• Establish a program of program assessment and
  compliance reporting and review.
• Maintain copies of training and qualification
  certificates for contractors service agents.
• Review drug and alcohol test CCFs and ATFs for
  flaws in testing. Require affidavits and
  corrective actions.

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VERTICAL ACTIONS REQUIRED OF THE DER

• USDOT FTA
• POLICY
• GOVERNING BODY
• GENERAL MANAGER
• HR, SAFETY TRAINING, OTHER
• SUPERVISORS
• OPERATING PERSONNEL

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USDOT FTA

• Keep current copies of Part 40 and Part 655
• Subscribe to update newsletters from ODAPC
  (Office of Drug and Alcohol Policy and
  Compliance) FTA
• Be conversant with your FTA and State offices and
  managers
• Take advantage of training
• Submit timely annual DA/MIS reports
• Cooperate and learn from audits

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COMPANY POLICY

• Know your company DA Policy, revise it as
  needed, revision dates on policy
• Adoption of significant revisions by Governing
  Body
• New employees get a copy, sign a receipt - Inform
  unions
• Explain key points during new employee DA
  60-minute training
• Adhere to policy fine points, e.g. dilute
  negative tests, on-call requirements

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GOVERNING BODY

• Must adopt the policy to make it the official
  position of the organization
• In a municipal system, means mayor and city/town
  council
• In a private company, may mean an official act by
  the owner or GM

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GENERAL MANAGER

• Get the support of GM -
• Needs to understand why substitute drivers needed
  while employees go for testing
• Needs to be aware of any disputed non-negative
  tests
• Needs to be aware of accidents with positive
  drug/alcohol tests
• Needs to support you if getting flack from other
  divisions in company

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HR, SAFETYTRAINING

• DAPM needs effective span of control to assure
  that other divisions acting compliantly
• HR - DA background checks and negative
  pre-employment test, records management
• HR - up to date employee lists for random
  selection, no non-safety sensitive in pool
• Safety Training - Employee 60-minute
  orientation Supervisor Reasonable Suspicion
• Accident investigations Post-Accident testing
  determinations

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SUPERVISORS

• Release employees for random testing at all hours
  when SS services performed
• Hold random notifications in confidence till time
  of notification
• Not play favorites
• Willing and able to make and document Reasonable
  Suspicion determinations
• Support the program

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OPERATING PERSONNEL

• The DAPM is the designated individual for
  answering employee questions - be available,
  knowledgeable, supportive
• Immediately remove individuals form SS duties
  when required (respectfully)
• Maintain privacy standards-no public discussion
  of test results
• Liaison between operating personnel and
  Collection Site, MRO, SAP, LAB

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QA/DISCUSSION

• DUTIES and SKILLS of DAPM