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

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BREATH ALCOHOL TEST TECHNICIAN QUESTIONNAIRE STANDARD COLLECTION WITH NEGATIVE RESULT: Did the collector complete a standard collection with no incorrect or missed steps? Upon arrival of an employee at the collection site, does the collector positively identify the individual by photo identification? Was the employee required to sign a consent form? If the employee is also going to take a DOT drug test, was the alcohol test administered first? Did the BAT explain the testing procedure to the employee and/or show the employee the instructions on the back of the ATF? Did the BAT use the breath alcohol testing form prescribed in Part 40? Did the BAT complete Step 1 on the Breath Alcohol Testing Form? Did the BAT then ask the employee to complete Step 2 on the form, signing the certification? Did the BAT open an individually sealed mouthpiece in view of the employee and attach it to the EBT in accordance with the manufacturer's instructions? Did the BAT instruct the employee to blow forcefully into the mouthpiece for at least 6 seconds or until the EBT indicates that an adequate amount of breath has been obtained? Does the BAT show the employee the result displayed on the EBT? If the EBT does not print the test, does the BAT record the displayed result, test number, testing device, serial number of the testing device, time and quantified result in Step 3 of the form? If the EBT prints on a paper strip, does the BAT then affix the test result printout to the breath alcohol test form in the designated space, using a method that will provide clear evidence of removal (e.g., tamper-evident tape)? If the result of the screening test is a breath alcohol concentration of less than 0.02, does the BAT date the form and sign the certification in Step 3 of the form? Did the BAT then distribute the three parts of the form properly? Was Copy 1 (white) transmitted to the employer? Was Copy 2 (green) provided to the employee? Was Copy 3 (blue) retained by the BAT? Were all necessary equipment, personnel, and materials for breath testing provided at the location where testing is conducted? Did the BAT conduct alcohol testing in a location that affords visual and aural privacy to the individual being tested, sufficient to prevent unauthorized persons from seeing or hearing test results? Did the BAT supervise only one employee's use of the EBT at a time? Did the auditor observe that the BAT did not leave the alcohol testing location while the testing procedure for a given employee was in progress? What level of concentration of alcohol in the breath requires that a confirmation breath alcohol test must be conducted? Is there a required waiting period before the confirmation breath alcohol test can be administered, and if so, how long is it? Are there any instructions you are required to give the employee concerning things they should, or should not do while waiting for an alcohol confirmation test? Do you note that you gave these instructions? If the employee doesn’t follow your instruction about things they should not do during the waiting period, is this noted? If so, where is it noted? Before a confirmation test is conducted, must an air blank test be done? If the confirmation test is not conducted within 30 minutes of the screening test, what is done? Appendix K. Substance Abuse Management Oversight Questionnaires K-20 August 2002
If you conducted the initial test, and you are also conducting the confirmation test, is the same Breath Alcohol Testing Form used, or is a new form started? If a second Breath Alcohol Test Technician is conducting the confirmation test, does the new BAT use the same Breath Alcohol Testing Form, or start a new form? Is a new mouthpiece used for the confirmation test? Before the confirmation test is administered, do you and the employee read the sequential test number displayed by the EBT? After the confirmation test is completed, do you show the employee the result displayed on the EBT? After the confirmation test is completed, is there anything left for the employee to sign? If the employee can’t provide an adequate amount of breath, what is done? If the employee won’t sign step 4, what is done? If the employee refuses to take an alcohol test, what is done? If the next external calibration check of an EBT produces a result that differs by more than the tolerance stated in the quality assurance plan (QAP), does that have any impact on any prior alcohol test that may have been positive? Is there any impact if the BAT does not observe the minimum 15-minute waiting period prior to the confirmation test? Is there any impact if the BAT does not perform an air blank of the EBT before a confirmation test? Is there any impact if the BAT does not sign the form and it is not corrected? Is there any impact if the BAT has failed to note on the remarks section of the form that the employee has failed or refused to sign the form, and this is not corrected? Is there any impact if an EBT fails to print a confirmation test result? Is there any impact if the sequential test number or alcohol concentration displayed on the EBT is not the same as the sequential test number or alcohol concentration on the printed result? Is there any impact if a test result printed by the EBT does not match the displayed result? Did you train on this model of EBT? Do you have a copy of the QAP for this machine? May I see your records of calibration checks for this EBT? Who do you notify about a positive test result? How do you ensure the results are immediately received by the DER? If the initial transmission is by telephone, is a mechanism established to verify your identity before providing the information? QUALIFICATIONS OF THE BAT: Were the proper BAT training and qualification documents maintained at the testing site? May I see evidence that all collectors hired since August 2001 have been trained to proficiency in the alcohol testing procedures of Part 40? How many consecutive error-free mock tests must the BATs complete in training in order to pass? When you are notified that a BAT made a mistake in the alcohol testing process that caused a test to be canceled (i. e. a fatal or uncorrected flaw), are there any training requirements? How frequently must the BATs satisfactorily complete BAT/STT refresher training? How do you know whether your EBT is on the NHTSA Conforming Products List (CPL)? How are factory calibrations of the EBTs performed as required by your QAP? What is done if the air blank reading was greater than 0.00 on both the first and second time the BAT did an air blank test during a confirmation test? Appendix K. Substance Abuse Management Oversight Questionnaires K-21 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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Page 90 of 100
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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
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TABLE OF CONTENTS INTRODUCTION ....
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egulations that have been made sinc
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The behaviors that are prohibited b
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⎯ An individual who refuses to su
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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: If tests are cancelled because of a
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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