Implementation Guidelines - Federal Transit Administration - U.S. ...

More documents

Recommendations

Info

Acknowledgments This manual represents the cooperative efforts of many people. Our special thanks go to Mr. Mark Snider of the Office of Safety and Security at the Federal Transit Administration, who guided this project from beginning to end. The author also thanks James Harrison of the Volpe National Transportation Systems Center for his direction and coordination of the various resources required for this project. Our thanks also go to the advisory committee for their technical review of the document. Reviewers were Gwen Hinson of Stanly County Umbrella Services Agency (North Carolina), Janet Blue of the Kansas Department of Transportation, Linda DeHerrera of the Denver Regional Transportation District, Barbara George of Bay Area Rapid Transit, and Christina Olsen of Greater Hartford Transit. A special thank you goes to Ann Gilbert of the Arkansas Transit Association, who devoted long hours to the review and edit of this document to ensure its accuracy and readability. Her comments were invaluable. Additionally, John Morrison of KETRON reviewed the document for technical accuracy. The Authors RLS and Associates Robbie Sarles Jeff Halstead Technical Editors Nathan Grace Robert Gaumer Graphic Artist Dan Muko iii
Table of Contents Chapter 1. INTRODUCTION......................................................................................... 1-1 Section 1. PURPOSE AND SCOPE OF THESE GUIDELINES....................... 1-1 Section 2. HOW TO USE THESE GUIDELINES............................................. 1-4 Section 3. OTHER RESOURCES ...................................................................... 1-5 Chapter 2. REGULATORY OVERVIEW ..................................................................... 2-1 Section 1. WHAT THE REGULATIONS REQUIRE ....................................... 2-1 Section 2. APPLICABILITY.............................................................................. 2-2 Section 3. SAFETY-SENSITIVE FUNCTIONS ............................................... 2-6 Section 4. EMPLOYER RESPONSIBILITIES................................................ 2-11 Section 5. STATE AND LOCAL ISSUES....................................................... 2-13 Section 6. WHAT THE REGULATIONS DO NOT REQUIRE ..................... 2-14 Section 7. THE CONSEQUENCES OF FAILURE TO COMPLY ................. 2-15 Chapter 3. PROGRAM FORMULATION AND REVISION........................................ 3-1 Section 1. TASK TEAM..................................................................................... 3-2 Section 2. ACTION PLAN ................................................................................. 3-3 Chapter 4. POLICY DEVELOPMENT AND COMMUNICATION ............................ 4-1 Section 1. REQUIRED POLICY STATEMENT ............................................... 4-1 Section 2. ADDITIONAL EMPLOYER PROVISIONS.................................... 4-5 Section 3. POLICY ADOPTION........................................................................ 4-7 Section 4. POLICY COMMUNICATION ......................................................... 4-8 Section 5. POLICY UPDATES ........................................................................ 4-11 Chapter 5. TRAINING.................................................................................................... 5-1 Section 1. TRAINING FOR SAFETY-SENSITIVE EMPLOYEES ................. 5-1 Section 2. TRAINING FOR SUPERVISORS.................................................... 5-4 Section 3. PRESCRIPTION AND OVER-THE-COUNTER DRUGS .............. 5-5 Section 4. SOURCES OF TRAINING ............................................................... 5-6 Section 5. DRUG-FREE WORKPLACE ACT TRAINING .............................. 5-7 Section 6. SERVICE AGENT TRAINING REQUIREMENTS ........................ 5-8 Chapter 6. TYPES OF TESTING ................................................................................... 6-1 Section 1. PRE-EMPLOYMENT TESTING ..................................................... 6-1 Section 2. REASONABLE SUSPICION TESTING.......................................... 6-5 Section 3. POST-ACCIDENT TESTING........................................................... 6-7 v
Page 1 and 2: October 2009 Implementation Guideli
Page 3 and 4: Notice This document is disseminate
Page 5: METRIC/ENGLISH CONVERSION FACTORS E
Page 9 and 10: Table of Contents (continued) Secti
Page 11 and 12: Chapter 1. INTRODUCTION Section 1.
Page 13 and 14: Transit employers may go beyond the
Page 15 and 16: Recommendation: Know the Regulation
Page 17 and 18: Sample Documentation Chapter 1. Int
Page 19 and 20: DHHS-Certified Laboratories, Center
Page 21 and 22: FTA Drug and Alcohol Management Inf
Page 23 and 24: Research And Special Programs Admin
Page 25 and 26: employment in safety-sensitive posi
Page 27 and 28: What happens in these cases? The pu
Page 29 and 30: Section 3. SAFETY-SENSITIVE • Ope
Page 31 and 32: performing the volunteer service ar
Page 33 and 34: Safety-sensitive Examples of Nation
Page 35 and 36: • A description of the consequenc
Page 37 and 38: projects, the employer should notif
Page 39 and 40: Sample Documentation Chapter 2. Reg
Page 41 and 42: Certification of Compliance for FTA
Page 43 and 44: 4. Atlanta Federal Center Suite 17T
Page 45 and 46: 1. Liability of Service Agents Yasu
Page 47 and 48: plaintiffs agreed that their positi
Page 49 and 50: FTA and FMCSA Regulatory Comparison
Page 51 and 52: FTA and FMCSA Regulatory Comparison
Page 53 and 54: process ensures that all critical c
Page 55 and 56: Chapter 3. Program Formulation 3-4
Page 57 and 58:
Chapter 4. POLICY DEVELOPMENT AND C
Page 59 and 60:
concentration of 0.04 or greater th
Page 61 and 62:
has a confirmed alcohol concentrati
Page 63 and 64:
MRO before the employer is notified
Page 65 and 66:
policy with the requirement to form
Page 67 and 68:
Do not assume that your contractors
Page 69 and 70:
PRE-EMPLOYMENT DRUG TESTING NOTIFIC
Page 71 and 72:
Sample Program Notification Letter
Page 73 and 74:
authorized by the employer to make
Page 75 and 76:
The 60 minutes of awareness trainin
Page 77 and 78:
medications which could result in p
Page 79 and 80:
employees who have problems with pr
Page 81 and 82:
particular alcohol testing device t
Page 83 and 84:
emain current with the regulations
Page 85 and 86:
− Changes in Rules, Guidance and
Page 87 and 88:
Exhibit 5-1 Summary of Education an
Page 89 and 90:
Exhibit 5-3 Typical Agenda for Supe
Page 91 and 92:
Exhibit 5-4 REASONABLE SUSPICION TR
Page 93 and 94:
Chapter 6. TYPES OF TESTING Six typ
Page 95 and 96:
Previous DOT Employer Record Check
Page 97 and 98:
the “insufficient volume” proce
Page 99 and 100:
for employees what is meant by on-d
Page 101 and 102:
Nonfatal accidents involving a bus,
Page 103 and 104:
Testing for drugs and alcohol follo
Page 105 and 106:
iases in the process. To be conside
Page 107 and 108:
1. Determine how frequently random
Page 109 and 110:
In many small transit systems, ever
Page 111 and 112:
Before making the return-to-duty re
Page 113 and 114:
up testing program. The SAP must do
Page 115 and 116:
Employee Discharged BAC >= 0.04 Con
Page 117 and 118:
Employee Discharged Split Specimen
Page 119 and 120:
Sample Documentation Chapter 6. Typ
Page 121 and 122:
1) Accident Report Number: 2) Locat
Page 123 and 124:
Chapter 7. DRUG TESTING PROCEDURES
Page 125 and 126:
Recommendation Multiple Collection
Page 127 and 128:
spouse, relative) or a close person
Page 129 and 130:
The DOT requires the new version of
Page 131 and 132:
9. The collector must direct the em
Page 133 and 134:
evening contact telephone numbers i
Page 135 and 136:
temperature range (90.0 to 100.0 F)
Page 137 and 138:
publishes its final rule establishi
Page 139 and 140:
for the preceding 6 months ending o
Page 141 and 142:
Chapter 7. Drug Testing Procedures
Page 143 and 144:
• The MRO will verify the test re
Page 145 and 146:
The MRO may change a verified test
Page 147 and 148:
direct the DER to have the employee
Page 149 and 150:
employee for a retest under direct
Page 151 and 152:
Sample Documentation Chapter 7. Dru
Page 153 and 154:
Collection Site Checklist (cont.) (
Page 155 and 156:
12. You may now wash your hands and
Page 162 and 163:
Privacy Act Statement: (For Federal
Page 164 and 165:
than an EBT, that is approved by th
Page 166 and 167:
Breath Alcohol Technician (§40.213
Page 168 and 169:
availability and the need for backu
Page 170 and 171:
At the conclusion of the screen tes
Page 172 and 173:
sufficient amount of breath. A medi
Page 174 and 175:
In addition to stipulating the cons
Page 176 and 177:
Sample Documentation Chapter 8. Alc
Page 178 and 179:
[Federal Register: May 4, 2001 (Vol
Page 180 and 181:
The Conforming Products List is the
Page 182 and 183:
Highway Safety Programs; Model Spec
Page 184 and 185:
45420 Federal Register / Vol. 65, N
Page 186 and 187:
Page 188:
U.S. Department of Transportation (
Page 194 and 195:
Section 1. SAP QUALIFICATIONS A sub
Page 196 and 197:
Education/Treatment Program Referra
Page 198 and 199:
Employers are not required to follo
Page 200 and 201:
SAP, many employers have looked to
Page 202 and 203:
10 weeks, with most sessions schedu
Page 204 and 205:
_____________________________ _____
Page 206 and 207:
FOLLOW-UP TESTING PROCESS SAP Input
Page 208 and 209:
Alcohol Test Results
Page 210 and 211:
when the applicant was assigned saf
Page 212 and 213:
may arrange to have the consortium
Page 214 and 215:
• Employers and service agents sh
Page 216 and 217:
The list of randomly selected trans
Page 218 and 219:
A. At a Nonprofit Agency or Indepen
Page 220 and 221:
Reporting Period: Laboratory Name a
Page 222 and 223:
Record Retention Checklists (page 2
Page 224 and 225:
Retains CCF1 Split Lab - CCF1 Labor
Page 226 and 227:
CCF1 Split Lab Retains - CCF1 Labor
Page 228 and 229:
U.S. DEPARTMENT OF TRANSPORTATION D
Page 230 and 231:
Chapter 11. CONSORTIA AND THIRD PAR
Page 232 and 233:
Greater Expertise. The FTA and DOT
Page 234 and 235:
Section 2. CONSIDERATIONS IN ESTABL
Page 236 and 237:
esults (≥0.02) between the BAT an
Page 238 and 239:
consideration. Thus, the more diver
Page 240 and 241:
Section 5. IS A CONSORTIUM RIGHT FO
Page 242 and 243:
• Procurement of testing services
Page 244 and 245:
• Consider which consortium model
Page 246 and 247:
Exhibit 11-1 Role of State DOTs in
Page 248 and 249:
Exhibit 11-3 CONSORTIA RESPONSIBILI
Page 250 and 251:
Chapter 12. PROGRAM MONITORING As a
Page 252 and 253:
• Conduct periodic review of serv
Page 254 and 255:
compliance. You are encouraged to c
Page 256 and 257:
Chapter 13. THE DRUG-FREE WORKPLACE
Page 258 and 259:
Violations of the act may result in
Page 260 and 261:
Exhibit 13-1 DRUG-FREE WORKPLACE AC
Page 262 and 263:
Chapter 14. SUBSTANCE ABUSE MANAGEM
Page 264 and 265:
Notification of audit Requested mat
Page 266 and 267:
them to move throughout the facilit
Page 268 and 269:
above materials. ⎯⎯Procedures t
Page 270 and 271:
DAY 3 Time Activity Team Address of
Page 272 and 273:
Date of Collection Jan-01 Nov-00 Se
Page 274 and 275:
Time of the Test Time of the Test 8
Page 276 and 277:
Each auditor will discuss the porti
Page 278 and 279:
Sample Re-audit Agenda DAY 1 Time A
Page 280 and 281:
Index of Appendices Appendix A. Acr
Page 282 and 283:
AA Alcoholics Anonymous Appendix A.
Page 284 and 285:
RFP Request for Proposal RIA Radio
Page 286 and 287:
Newsletters Appendix B. Additional
Page 288 and 289:
U.S. Department of Labor. What Work
Page 290 and 291:
Other Government Web sites Drug and
Page 292 and 293:
Appendix C Americans with Disabilit
Page 294 and 295:
sensitive duties for the illegal us
Page 296 and 297:
If the individual is qualified and
Page 298 and 299:
allegation of discrimination under
Page 300 and 301:
Appendix D. Certified Laboratories
Page 302 and 303:
DrugProof, Divison of Dynacare 543
Page 304 and 305:
One Source Toxicology Laboratory, I
Page 306 and 307:
The following laboratories are volu
Page 308 and 309:
Federal Register / Vol. 65, No. 141
Page 310 and 311:
Page 312 and 313:
Page 314 and 315:
Appendix F. Fact Sheets Drug Detect
Page 316 and 317:
Social Issues • Two-thirds of all
Page 318 and 319:
• The euphoric stimulation increa
Page 320 and 321:
• Paranoia • Profuse sweating a
Page 322 and 323:
connection between marijuana smokin
Page 324 and 325:
Opiates (Narcotics) Fact Sheet Opia
Page 326 and 327:
Phencyclidine (PCP) Fact Sheet Phen
Page 328 and 329:
Appendix G Questions and Answers
Page 330 and 331:
ecipient, and someone other than th
Page 332 and 333:
Q. Can transit operators receive wa
Page 334 and 335:
Q. If an employee changed jobs prio
Page 336 and 337:
Q. How much training are employers
Page 338 and 339:
acceptable for the company-required
Page 340 and 341:
Q. In a post-accident situation req
Page 342 and 343:
employees and 50 non-DOT employees,
Page 344 and 345:
Q: What actual address is required
Page 346 and 347:
Q: Can a split specimen be sent to
Page 348 and 349:
actual employee of the employer may
Page 350 and 351:
Q: Must collectors, BATs, STTs, MRO
Page 352 and 353:
an observer, or a monitor for co-wo
Page 354 and 355:
Q: If a collector makes an error on
Page 356 and 357:
Appendix H Terms and Definitions
Page 358 and 359:
indirectly, one controls or has the
Page 360 and 361:
Confirmation validity test Confirme
Page 362 and 363:
These terms include any designee of
Page 364 and 365:
Medical Review Officer (MRO) A pers
Page 366 and 367:
Random test Reason to believe Reaso
Page 368 and 369:
Safety-sensitive function Any of th
Page 370 and 371:
trolley bus, or vessel. A “mass t
Page 373 and 374:
49 CFR Part 40 Updated August 31, 2
Page 375 and 376:
§ 40.89 What is validity testing,
Page 377 and 378:
Page 4 of 100 § 40.287 What inform
Page 379 and 380:
Page 6 of 100 Subpart A - Administr
Page 381 and 382:
Page 8 of 100 Medical Review Office
Page 383 and 384:
Page 10 of 100 § 40.17 Is an emplo
Page 385 and 386:
Page 12 of 100 (b) You must request
Page 387 and 388:
Page 14 of 100 (4) The collector's
Page 389 and 390:
Page 16 of 100 (1) To avoid distrac
Page 391 and 392:
Page 18 of 100 (f) Direct the emplo
Page 393 and 394:
Page 20 of 100 (g) As the collector
Page 395 and 396:
Page 22 of 100 participate in the D
Page 397 and 398:
Page 24 of 100 (b) You must determi
Page 399 and 400:
Page 26 of 100 (d) If you have not
Page 401 and 402:
Page 28 of 100 December 31 of the p
Page 403 and 404:
Page 30 of 100 (a) Review Copy 2 of
Page 405 and 406:
Page 32 of 100 (1) As the DER, you
Page 407 and 408:
Page 34 of 100 (i) Recent needle tr
Page 409 and 410:
Page 36 of 100 (2) If you receive i
Page 411 and 412:
Page 38 of 100 (iii) If a negative
Page 413 and 414:
Page 40 of 100 (6) Result of the te
Page 415 and 416:
Page 42 of 100 (d) When you receive
Page 417 and 418:
Page 44 of 100 (1) Report that the
Page 419 and 420:
Page 46 of 100 (2) There is not an
Page 421 and 422:
Page 48 of 100 (c) The laboratory r
Page 423 and 424:
Page 50 of 100 (6) The failure to d
Page 425 and 426:
Page 52 of 100 partially meets thes
Page 427 and 428:
Page 54 of 100 (c) As the user of t
Page 429 and 430:
Page 56 of 100 (vi) You must then d
Page 431 and 432:
Page 58 of 100 (i) You may transmit
Page 433 and 434:
Page 60 of 100 (b) In the case of a
Page 435 and 436:
Page 62 of 100 (iii) Key DOT drug t
Page 437 and 438:
Page 64 of 100 § 40.295 May employ
Page 439 and 440:
Page 66 of 100 (e) The requirements
Page 441 and 442:
Page 68 of 100 accident drug test r
Page 443 and 444:
Page 70 of 100 § 40.343 What tasks
Page 445 and 446:
Page 72 of 100 and follow-up testin
Page 447 and 448:
Page 74 of 100 (b) In exercising th
Page 449 and 450:
Page 76 of 100 resubmit the matter
Page 451 and 452:
Page 78 of 100 § 40.397 When does
Page 453 and 454:
Appendix A to Part 40 - DOT Standar
Page 455 and 456:
Appendix C to Part 40-DOT Drug Test
Page 457 and 458:
Page 84 of 100 Appendix E to Part 4
Page 459 and 460:
Appendix G to Part 40—Alcohol Tes
Page 461 and 462:
Page 88 of 100
Page 463 and 464:
Page 90 of 100
Page 465 and 466:
I. Employer: Company Name: Page 92
Page 467 and 468:
Page 94 of 100 The following form a
Page 469 and 470:
Section III. Drug Testing Data Page
Page 471 and 472:
Page 98 of 100 TIP ~ Even though so
Page 473 and 474:
Page 100 of 100 Finally, additional
Page 475 and 476:
Page 477 and 478:
Page 479 and 480:
Page 481 and 482:
Page 483 and 484:
Page 485 and 486:
Page 487 and 488:
Page 489 and 490:
Page 491 and 492:
Page 493 and 494:
Page 495 and 496:
Page 497 and 498:
Page 499 and 500:
Page 501 and 502:
Page 503 and 504:
Page 505 and 506:
Page 507 and 508:
49 CFR Part 655
Page 509 and 510:
2 Electronic access to this rule an
Page 511 and 512:
duty and follow-up testing under sp
Page 513 and 514:
When the drug and alcohol rules ini
Page 515 and 516:
the consequences for prohibited dru
Page 517 and 518:
Labor unions: 3 Trade associations:
Page 519 and 520:
FTA Response. FTA opts not to inclu
Page 521 and 522:
Since each employer uses its own te
Page 523 and 524:
Most of the commenters to this sect
Page 525 and 526:
themselves that employees can succe
Page 527 and 528:
Several commenters responding to th
Page 529 and 530:
service providers and the employer.
Page 531 and 532:
esponsibility of FTA transit funds
Page 533 and 534:
26 Federalism assessment. However,
Page 535 and 536:
Part 655 - Prevention of Alcohol Mi
Page 537 and 538:
655.52 Substance abuse professional
Page 539 and 540:
(b) This part must be read in conju
Page 541 and 542:
(2) The volunteer performs a safety
Page 543 and 544:
Refuse to submit means any circumst
Page 545 and 546:
An employer must have an anti-drug
Page 547 and 548:
part. (c) Specific information conc
Page 549 and 550:
(5) Phencyclidine. (c) Consumption
Page 551 and 552:
concentration less than 0.04. This
Page 553 and 554:
§655.43 Reasonable suspicion testi
Page 555 and 556:
48 the reasons the alcohol test was
Page 557 and 558:
(c) Rates for drug testing. (1) Whe
Page 559 and 560:
annual percentage rate under this p
Page 561 and 562:
(a) Each employer shall require a c
Page 563 and 564:
56 for evaluating and resolving pro
Page 565 and 566:
qualifying the supervisors to make
Page 567 and 568:
60 (12) Number of covered employees
Page 569 and 570:
post-accident alcohol test indicati
Page 571 and 572:
equired to be maintained by this pa
Page 573 and 574:
(b) A certification must be authori
Page 575:
Drug-Free Workplace Act
Page 591 and 592:
TABLE OF CONTENTS INTRODUCTION ....
Page 593 and 594:
egulations that have been made sinc
Page 595 and 596:
The behaviors that are prohibited b
Page 597 and 598:
⎯ An individual who refuses to su
Page 599 and 600:
Have employees been notified that p
Page 601 and 602:
⎯ Add a bluing agent to the toile
Page 603 and 604:
Are employees who are subject to te
Page 605 and 606:
LABORATORY TESTING Are all drug tes
Page 607 and 608:
⎯ Direct the analysis of the spli
Page 609 and 610:
Is only one test conducted at a tim
Page 611 and 612:
Does the BAT notify the employer’
Page 613 and 614:
Does the SAP evaluate whether a saf
Page 615 and 616:
ADMINISTRATIVE REQUIREMENTS If a pr
Page 617 and 618:
Are procedures in place to have emp
Page 619 and 620:
hours following the accident, the e
Page 621 and 622:
Are random numbers substituted only
Page 623 and 624:
Are employees that are subject to f
Page 625 and 626:
OTHER TRAINING Consistent with the
Page 627 and 628:
♦ Documents presented by a covere
Page 629 and 630:
CERTIFICATION ♦ Each year transit
Page 631 and 632:
A R DMINISTRATIVE EQUIREMENTS Do th
Page 633 and 634:
DRUG AND ALCOHOL POLICY REVIEW QUES
Page 635 and 636:
Meeting FTA thresholds; Meeting dru
Page 637 and 638:
CONSEQUENCES OF A FAILED OR REFUSED
Page 639 and 640:
How much notice is given to the emp
Page 641 and 642:
RECORDS MANAGEMENT QUESTIONNAIRE AP
Page 643 and 644:
If the information requested is not
Page 645 and 646:
Has the employer met the minimum an
Page 647 and 648:
Do the records indicate that any dr
Page 649 and 650:
Does the employer utilize the stand
Page 651 and 652:
If tests are cancelled because of a
Page 653 and 654:
If you conducted the initial test,
Page 655 and 656:
SALIVA TEST TECHNICIAN QUESTIONNAIR
Page 657 and 658:
MEDICAL REVIEW OFFICER (MRO) QUESTI
Page 659 and 660:
What action would you take if the s
Page 661 and 662:
• • • As the SAP, can you sub
Page 663:
Do you assist your members in any w
show all

Implementation Guidelines - Federal Transit Administration - U.S. ...

Create successful ePaper yourself

Delete template?

Save as template?