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

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Does this transit system have some method to record post-accident decisions? Does this transit system use forms or otherwise document reasonable suspicion referrals? Have you ever inspected and obtained documentation of the professional credentials of your MRO, SAP, laboratory, and collectors? When a person has a positive alcohol test, by what method and how soon after the test is verified (or completed) do you receive notice of the positive test result? Have the transit system and the collection site established a password or other verification method to ensure that the transmission of the breath alcohol test result is secure? When a person has a positive drug test, by what method and how soon after the test is verified (or completed) do you receive notice of the positive test result? What contact information does the MRO have for the transit system? How do you know if a drug test result is not received from the MRO within a reasonable period after the test? Do you use a consortium or third-party administrator? If the results from the MRO are transmitted to you through the consortium or third-party administrator, is there written authorization for that process? Does this transit system utilize contractors who perform safety-sensitive duties? Do you maintain and update a list of your covered contractors? Does your agreement with your contractor(s) contain a requirement that they must be in compliance with the FTA drug and alcohol testing program rules? How do you monitor the drug and alcohol programs of your contractors? Did you receive this year’s Drug and Alcohol MIS reports from all of your contractors in a timely manner? Are your covered contractors in compliance with the FTA drug and alcohol rules? What contractual remedies do you have if your contractor is not in compliance? What would you do if you determine that your contractor was not in compliance? How was the annual Drug and Alcohol MIS report prepared for this transit system, and did you lead or assist in the preparation? Did you review the annual MIS report for content and completeness? Did you show your MIS reports to top management before sending it to FTA? Did your system achieve its random testing goals last year? Was the Drug and Alcohol Program Manager prepared for the audit team, and did the DAPM cooperate with the audit team and facilitate the audit process, including producing the required records? END OF DRUG AND ALCOHOL PROGRAM MANAGER QUESTIONNAIRE Appendix K. Substance Abuse Management Oversight Questionnaires K-8 August 2002
RECORDS MANAGEMENT QUESTIONNAIRE APPROPRIATENESS OF RECORDS MAINTENANCE: Does the auditor observe that a set of records has been established with the following characteristics: 1) Secure location and access controlled to those few individuals with a need to know; 2) Information released only as appropriate; 3) <strong>Federal</strong>ly required tests and testing has priority and is separate from non-DOT testing; 4) Records are maintained for the proper length of time. Does the employer maintain records of its anti-drug and alcohol misuse program in a secure location with controlled access? Except as required by law, or expressly authorized or required, does the employer refrain from releasing information pertaining to a covered employee that is contained in records required to be maintained by Part 655.71? Are DOT tests completely separate from non-DOT tests in all respects, and do DOT tests take priority (i. e. DOT tests conducted and completed before a non-DOT test is begun, urine collected in a DOT test not used for a non-DOT test)? Are the following records maintained for a minimum of 5 years from the date of creation: (1) covered employee verified positive drug or alcohol test results; (2) documentation of refusals to take required drug or alcohol tests; (3) covered employee referrals to the SAP; (4) reports from SAPs, and copies of annual MIS reports submitted to FTA? Are records kept for 3 years of information concerning drug and alcohol test results of applicants requested under Section 40.25 from previous employers? Are records related to the collection process and employee training maintained for a minimum of 2 years from the date of creation? Are records of negative drug or alcohol test results maintained for a minimum of 1 year from the date of creation? MIS REPORT, STATISTICAL SUMMARIES, AND BLIND SPECIMENS: Do the records indicate that the transit operator prepares reports and maintains information confidentiality in a proper manner: 1) MIS report information prepared even if the grantee is not selected to submit a MIS report; 2) MIS report information collected from safety-sensitive contractors; 3) Current list of safety-sensitive contractors and vendors; 4) Bi-annual statistical summaries and blind specimens in order. Does the recipient annually prepare and maintain a summary of MIS-required information summarizing the results of its anti-drug and alcohol misuse testing programs during the previous calendar year, even if the recipient has not been selected to file an MIS report? Does the recipient ensure the accuracy and timeliness of each MIS report submitted by an employer, contractor, consortium, or joint enterprise or by a third party service provider acting on the recipient's or employer's behalf? Does the recipient receive a semi-annual statistical summary of its drug and alcohol testing program from each laboratory to which it submits drug specimens for analysis? If so, does it appear that the count of negative tests and positive tests for the previous calendar year approximately agrees with data from the MIS report? If the employer has 2,000 or more covered employees, does it submit the required number of blind specimens? If it does, is there any indication that the laboratory analysis of the specimen does not agree with the certified contents of the specimen provided by the specimen vendor? Does the employer have a method for tracking test results and actively obtaining information required by Part 40 from its service agents? Appendix K. Substance Abuse Management Oversight Questionnaires K-9 August 2002
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October 2009 Implementation Guideli
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Notice This document is disseminate
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METRIC/ENGLISH CONVERSION FACTORS E
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Table of Contents Chapter 1. INTROD
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Table of Contents (continued) Secti
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Chapter 1. INTRODUCTION Section 1.
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Transit employers may go beyond the
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Recommendation: Know the Regulation
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Sample Documentation Chapter 1. Int
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DHHS-Certified Laboratories, Center
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FTA Drug and Alcohol Management Inf
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Research And Special Programs Admin
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employment in safety-sensitive posi
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What happens in these cases? The pu
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Section 3. SAFETY-SENSITIVE • Ope
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performing the volunteer service ar
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Safety-sensitive Examples of Nation
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• A description of the consequenc
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projects, the employer should notif
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Sample Documentation Chapter 2. Reg
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Certification of Compliance for FTA
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4. Atlanta Federal Center Suite 17T
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1. Liability of Service Agents Yasu
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plaintiffs agreed that their positi
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FTA and FMCSA Regulatory Comparison
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FTA and FMCSA Regulatory Comparison
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process ensures that all critical c
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Chapter 3. Program Formulation 3-4
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Chapter 4. POLICY DEVELOPMENT AND C
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concentration of 0.04 or greater th
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has a confirmed alcohol concentrati
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MRO before the employer is notified
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policy with the requirement to form
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Do not assume that your contractors
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PRE-EMPLOYMENT DRUG TESTING NOTIFIC
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Sample Program Notification Letter
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authorized by the employer to make
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The 60 minutes of awareness trainin
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medications which could result in p
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employees who have problems with pr
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particular alcohol testing device t
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emain current with the regulations
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− Changes in Rules, Guidance and
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Exhibit 5-1 Summary of Education an
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Exhibit 5-3 Typical Agenda for Supe
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Exhibit 5-4 REASONABLE SUSPICION TR
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Chapter 6. TYPES OF TESTING Six typ
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Previous DOT Employer Record Check
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the “insufficient volume” proce
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for employees what is meant by on-d
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Nonfatal accidents involving a bus,
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Testing for drugs and alcohol follo
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iases in the process. To be conside
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1. Determine how frequently random
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In many small transit systems, ever
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Before making the return-to-duty re
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up testing program. The SAP must do
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Employee Discharged BAC >= 0.04 Con
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Employee Discharged Split Specimen
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Sample Documentation Chapter 6. Typ
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1) Accident Report Number: 2) Locat
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Chapter 7. DRUG TESTING PROCEDURES
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Recommendation Multiple Collection
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spouse, relative) or a close person
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The DOT requires the new version of
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9. The collector must direct the em
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evening contact telephone numbers i
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temperature range (90.0 to 100.0 F)
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publishes its final rule establishi
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for the preceding 6 months ending o
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Chapter 7. Drug Testing Procedures
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• The MRO will verify the test re
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The MRO may change a verified test
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direct the DER to have the employee
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employee for a retest under direct
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Sample Documentation Chapter 7. Dru
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Collection Site Checklist (cont.) (
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12. You may now wash your hands and
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Privacy Act Statement: (For Federal
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than an EBT, that is approved by th
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Breath Alcohol Technician (§40.213
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availability and the need for backu
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At the conclusion of the screen tes
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sufficient amount of breath. A medi
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In addition to stipulating the cons
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Sample Documentation Chapter 8. Alc
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[Federal Register: May 4, 2001 (Vol
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The Conforming Products List is the
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Highway Safety Programs; Model Spec
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45420 Federal Register / Vol. 65, N
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U.S. Department of Transportation (
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Section 1. SAP QUALIFICATIONS A sub
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Education/Treatment Program Referra
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Employers are not required to follo
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SAP, many employers have looked to
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10 weeks, with most sessions schedu
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_____________________________ _____
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FOLLOW-UP TESTING PROCESS SAP Input
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Alcohol Test Results
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when the applicant was assigned saf
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may arrange to have the consortium
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• Employers and service agents sh
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The list of randomly selected trans
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A. At a Nonprofit Agency or Indepen
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Reporting Period: Laboratory Name a
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Record Retention Checklists (page 2
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Retains CCF1 Split Lab - CCF1 Labor
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CCF1 Split Lab Retains - CCF1 Labor
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U.S. DEPARTMENT OF TRANSPORTATION D
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Chapter 11. CONSORTIA AND THIRD PAR
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Greater Expertise. The FTA and DOT
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Section 2. CONSIDERATIONS IN ESTABL
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esults (≥0.02) between the BAT an
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consideration. Thus, the more diver
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Section 5. IS A CONSORTIUM RIGHT FO
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• Procurement of testing services
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• Consider which consortium model
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Exhibit 11-1 Role of State DOTs in
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Exhibit 11-3 CONSORTIA RESPONSIBILI
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Chapter 12. PROGRAM MONITORING As a
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• Conduct periodic review of serv
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compliance. You are encouraged to c
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Chapter 13. THE DRUG-FREE WORKPLACE
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Violations of the act may result in
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Exhibit 13-1 DRUG-FREE WORKPLACE AC
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Chapter 14. SUBSTANCE ABUSE MANAGEM
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Notification of audit Requested mat
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them to move throughout the facilit
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above materials. ⎯⎯Procedures t
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DAY 3 Time Activity Team Address of
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Date of Collection Jan-01 Nov-00 Se
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Time of the Test Time of the Test 8
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Each auditor will discuss the porti
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Sample Re-audit Agenda DAY 1 Time A
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Index of Appendices Appendix A. Acr
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AA Alcoholics Anonymous Appendix A.
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RFP Request for Proposal RIA Radio
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Newsletters Appendix B. Additional
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U.S. Department of Labor. What Work
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Other Government Web sites Drug and
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Appendix C Americans with Disabilit
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sensitive duties for the illegal us
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If the individual is qualified and
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allegation of discrimination under
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Appendix D. Certified Laboratories
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DrugProof, Divison of Dynacare 543
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One Source Toxicology Laboratory, I
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The following laboratories are volu
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Federal Register / Vol. 65, No. 141
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Appendix F. Fact Sheets Drug Detect
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Social Issues • Two-thirds of all
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• The euphoric stimulation increa
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• Paranoia • Profuse sweating a
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connection between marijuana smokin
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Opiates (Narcotics) Fact Sheet Opia
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Phencyclidine (PCP) Fact Sheet Phen
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Appendix G Questions and Answers
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ecipient, and someone other than th
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Q. Can transit operators receive wa
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Q. If an employee changed jobs prio
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Q. How much training are employers
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acceptable for the company-required
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Q. In a post-accident situation req
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employees and 50 non-DOT employees,
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Q: What actual address is required
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Q: Can a split specimen be sent to
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actual employee of the employer may
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Q: Must collectors, BATs, STTs, MRO
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an observer, or a monitor for co-wo
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Q: If a collector makes an error on
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Appendix H Terms and Definitions
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indirectly, one controls or has the
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Confirmation validity test Confirme
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These terms include any designee of
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Medical Review Officer (MRO) A pers
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Random test Reason to believe Reaso
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Safety-sensitive function Any of th
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trolley bus, or vessel. A “mass t
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49 CFR Part 40 Updated August 31, 2
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§ 40.89 What is validity testing,
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Page 4 of 100 § 40.287 What inform
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Page 6 of 100 Subpart A - Administr
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Page 8 of 100 Medical Review Office
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Page 10 of 100 § 40.17 Is an emplo
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Page 12 of 100 (b) You must request
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Page 14 of 100 (4) The collector's
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Page 16 of 100 (1) To avoid distrac
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Page 18 of 100 (f) Direct the emplo
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Page 20 of 100 (g) As the collector
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Page 22 of 100 participate in the D
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Page 24 of 100 (b) You must determi
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Page 26 of 100 (d) If you have not
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Page 28 of 100 December 31 of the p
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Page 30 of 100 (a) Review Copy 2 of
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Page 32 of 100 (1) As the DER, you
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Page 34 of 100 (i) Recent needle tr
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Page 36 of 100 (2) If you receive i
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Page 38 of 100 (iii) If a negative
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Page 40 of 100 (6) Result of the te
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Page 42 of 100 (d) When you receive
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Page 44 of 100 (1) Report that the
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Page 46 of 100 (2) There is not an
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Page 48 of 100 (c) The laboratory r
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Page 50 of 100 (6) The failure to d
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Page 52 of 100 partially meets thes
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Page 54 of 100 (c) As the user of t
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Page 56 of 100 (vi) You must then d
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Page 58 of 100 (i) You may transmit
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Page 60 of 100 (b) In the case of a
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Page 62 of 100 (iii) Key DOT drug t
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Page 64 of 100 § 40.295 May employ
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Page 66 of 100 (e) The requirements
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Page 68 of 100 accident drug test r
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Page 70 of 100 § 40.343 What tasks
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Page 72 of 100 and follow-up testin
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Page 74 of 100 (b) In exercising th
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Page 76 of 100 resubmit the matter
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Page 78 of 100 § 40.397 When does
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Appendix A to Part 40 - DOT Standar
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Appendix C to Part 40-DOT Drug Test
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Page 84 of 100 Appendix E to Part 4
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Appendix G to Part 40—Alcohol Tes
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I. Employer: Company Name: Page 92
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Page 94 of 100 The following form a
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Section III. Drug Testing Data Page
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Page 98 of 100 TIP ~ Even though so
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Page 100 of 100 Finally, additional
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49 CFR Part 655
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2 Electronic access to this rule an
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duty and follow-up testing under sp
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When the drug and alcohol rules ini
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the consequences for prohibited dru
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Labor unions: 3 Trade associations:
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FTA Response. FTA opts not to inclu
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Since each employer uses its own te
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Most of the commenters to this sect
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themselves that employees can succe
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Several commenters responding to th
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service providers and the employer.
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esponsibility of FTA transit funds
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26 Federalism assessment. However,
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Part 655 - Prevention of Alcohol Mi
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655.52 Substance abuse professional
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(b) This part must be read in conju
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(2) The volunteer performs a safety
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Refuse to submit means any circumst
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An employer must have an anti-drug
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part. (c) Specific information conc
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(5) Phencyclidine. (c) Consumption
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concentration less than 0.04. This
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§655.43 Reasonable suspicion testi
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48 the reasons the alcohol test was
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(c) Rates for drug testing. (1) Whe
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annual percentage rate under this p
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(a) Each employer shall require a c
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56 for evaluating and resolving pro
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qualifying the supervisors to make
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60 (12) Number of covered employees
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post-accident alcohol test indicati
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equired to be maintained by this pa
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(b) A certification must be authori
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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: How much notice is given to the emp
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
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