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

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REASONABLE SUSPICION TESTING Have the circumstances that warranted reasonable suspicion tests been justified using the minimum criteria specified in the regulation? ♦ FTA regulations require a safety-sensitive employee to submit to a test when the employer has reasonable suspicion that the employee has used a prohibited drug or has misused alcohol as defined in the regulations. The request to undergo a reasonable suspicion test must be based on “specific, contemporaneous, articulable observations concerning the appearance, behavior, speech, or body odor of the safety-sensitive employee.” ♦ If one supervisor, or other company official trained to identify the signs and symptoms of drug and alcohol use, reasonably concludes that objective facts may indicate drug use or alcohol misuse, this is sufficient justification for testing. Only one supervisor is required by FTA; employers may require two or more. Is comprehensive documentation available for all reasonable suspicion tests? Have all supervisors or other company officials received the requisite reasonable suspicion training? ♦ A supervisor or other company official that will be called upon to make a reasonable suspicion determination must be trained in the facts, circumstances, physical evidence, physical signs and symptoms, or patterns of performance and/or behavior that are associated with use (See Training). Supervisors must be trained in the proper procedures for confronting and referring the employee for testing. Have only trained supervisors made reasonable suspicion determinations? Only a trained supervisor can make a reasonable suspicion determination. The term “supervisor” refers to the job function, not the job title. The supervisor who makes the actual observation does not have to be the employee’s direct supervisor, but can be any trained supervisor or company official within the transit organization. The supervisors must receive reasonable suspicion training and be empowered to take action when they make specific, articulable, and contemporaneous observations of the appearance, speech, behavior, or body odor of the employee that are consistent with probable drug abuse or alcohol misuse. Appendix J. Self-Assessment Checklist J-26 August 2002 A R DMINISTRATIVE EQUIREMENTS Reasonable Suspicion Testing
Are procedures in place to have employees proceed immediately to a collection site following a reasonable suspicion determination? Once a supervisor has made a reasonable suspicion determination, the employee must proceed to the testing site immediately. Is there a procedure in place to document alcohol tests that are delayed more than 2 hours? The employer must document the reasons if a test does not take place within 2 hours. However, this does not give the employer a 2 hour window in which to get the test completed. Attempts to complete the test must cease after 8 hours. POST-ACCIDENT TESTING ♦ FTA regulations require testing for prohibited drugs and alcohol in the case of certain transit accidents. Are post-accident tests required for accidents where there is loss of life? Are post-accident tests required for non-fatal accidents unless the employee can be completely discounted as a contributing factor? ♦ A non-fatal accident is defined as an occurrence associated with the operation of a revenue service vehicle in which: ⎯ An individual suffers a bodily injury and immediately receives medical treatment away from the scene of an accident; or ⎯ One or more vehicles involved incur disabling damage as the result of the occurrence and is transported away from the scene by a tow truck or other vehicle; or ⎯ If the transit vehicle involved is a rail car, trolley car, trolley bus, or vessel, the transit vehicle involved is removed from revenue service. ♦ Employees subject to testing include all safety-sensitive employees whose functions could have contributed to the accident including the driver, dispatcher, maintenance, and other associated employees. ♦ Note: Accident does not necessarily mean collision. If an individual falls while riding in a vehicle and needs to be taken to the hospital, then an accident has occurred, and a post-accident test is required unless the driver can be completely discounted as a contributing factor to the accident. The burden is on the transit agency to prove that their employees did not, in any way, contribute to the accident. (Fall/Winter 1995 Update , page 2, Spring 1996 Update, page 5) Appendix J. Self-Assessment Checklist J-27 August 2002 A R DMINISTRATIVE EQUIREMENTS Reasonable Suspicion Testing Post-Accident Testing
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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 26 of 100 (d) If you have not
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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 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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Page 569 and 570: post-accident alcohol test indicati
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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: ADMINISTRATIVE REQUIREMENTS If a pr
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
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