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

standard operating procedures of transit
systems, large and small.
However, you should objectively
evaluate your program to ensure that
policies and procedures have been updated
and its integrity remains intact. Agencies
often find that as drug and alcohol testing
programs become engrained within an
organization, compliance can be
compromised over time as the program
evolves and components are modified to
reflect the operational realities of the
system. If the DAPM is not diligent in
his/her oversight responsibilities, the
program may be modified out of
compliance. Seemingly simple and
innocuous changes may have significant
implications.
Thus, a comprehensive assessment is
recommended. FTA has produced a selfassessment
checklist that can be used to
identify incorrect or omitted components of
a program, or as an oversight tool to assess
compliance. A copy of this checklist is
provided in Appendix J.
DAPMs may also wish to periodically
assess the cost and benefit of the program.
This information can be helpful for board
members, system management, elected
officials, and others who wish to quantify
the cost-effectiveness and overall worth of
the program. Assessing the program
periodically based on actual experience will
ensure that the true benefits and costs to the
organization are being identified. The costbenefit
analysis should include at a
minimum the out-of-pocket cost of the
program, employee productivity, number of
positive test results, number and nature of
accidents, absenteeism, worker’s
compensation claims, and insurance
premium savings. Other intangibles that
may be assessed include employee morale,
union/management relations,
agency/management credibility, public
relations, and system image.
Section 2. SERVICE AGENT
MONITORING
Since the regulations were first
published, the testing industry has gone
through an evolution with service agents
entering and leaving the market, while
others have merged to form large consortia
or third party administrators (C/TPA). At
the same time, the transit industry has
matured through its increased knowledge
and experience base. The regulations make
it clear that employers are responsible for
ensuring their service agents meet the
qualifications set forth in Part 40. An
employer also has an affirmative
responsibility to get needed information
from service agents to document
compliance.
Service agents must follow the DOT
regulations (Part 40). However, the
employer remains accountable to DOT/FTA
for compliance. Failure of the service agent
to implement any aspect of Part 40 as
required, results in the noncompliance of the
employer. All agreements and
arrangements, written or unwritten, between
employers and service agents concerning the
implementation of DOT drug and alcohol
testing requirements are deemed, as a matter
of law, to require compliance with all
applicable provisions of the DOT/FTA drug
and alcohol testing regulations [§40.11(c)].
Even though the regulation does not
stipulate how an employer should monitor
its service agents, the following activities
have become standard industry practice:
• Conduct periodic mock
collections to identify procedural
flaws.
Chapter 12. Program Monitoring 12-2 August 2002