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

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May I see a copy of the new Part 40 regulations? Is there one designated employer representative (and an alternate) at the transit operation with which you communicate alcohol-testing results, or are there several persons? QUALIFICATIONS OF THE STT: Were the proper STT training and qualification documents maintained at the testing site? May I see evidence that the collectors have been trained to proficiency in the alcohol testing procedures of Part 40? How many consecutive error-free mock tests must the STTs complete in training in order to pass? How frequently must the STTs satisfactorily complete refresher training? What problems, which left uncorrected, will cause an alcohol test to be cancelled? What is the procedure if someone fails to arrive for his or her scheduled appointment? Was the Saliva Alcohol Collection Site prepared for the audit team, and did the vendor cooperate with the audit team and facilitate the audit process, including producing the required records? END OF SALIVA TEST TECHNICIAN QUESTIONNAIRE Appendix K. Substance Abuse Management Oversight Questionnaires K-24 August 2002
MEDICAL REVIEW OFFICER (MRO) QUESTIONNAIRE Please describe your qualifications to serve as an MRO. Did you become a MRO before or after August 1, 2001? If you became a MRO after August 1, 2001, do you have documentation that you have successfully completed and passed the MRO training and examination required by Part 40? Would you describe the continuing education requirement for a MRO and the length of time for the completion of that requirement? Do you have a copy of the Part 40 regulations as amended, including the Technical Amendments published August 8, 2001? What is your professional relationship with this transit operation? Do you have any financial interest with the laboratory being utilized? Do you report drug test results to the consortium or directly to the employer, or do you report drug test results to the consortium and employer in parallel? Do you have a method of confirming your identity when you need to talk with the DER? Do you ensure that drug tests conducted under the FTA regulations by this transit operation are analyzed by a laboratory on the current DHHS approved list? As a MRO, are you required to personally review a certain percentage of all Chain of Custody Forms (CCFs) with negative results? If so, what percentage of CCFs must you review? At a minimum, what elements must be included in your review of negative CCFs? Do you have any responsibility if you discover that a previous negative test had a flaw or an error that would NOT have caused the test result to be cancelled? Do you report both positive and negative test results to the employer, or only positive test results? What do you report to the employer if you conclude that there is a legitimate medical explanation for a confirmed positive test result that is consistent with legal drug use? When you report positive test results, do you report the drug (or drugs) found? Is there anything you are required to inform an employee regarding third-party disclosure before beginning the verification process? If an employer requests, do you provide the quantitation of the drugs verified positive? If a SAP requests, are you allowed to provide any medical information or quantitation of drugs? In positive test result cases, do you contact the tested individual confidentially to determine whether the employee wishes to discuss the test result, or do you first contact the employer? Do you attempt to speak with the individual directly, or does your staff inquire whether or not the employee would like the opportunity to speak with you? Do you always conduct the verification yourself, or do others in your office who are not MROs conduct the verification interview? Do you always personally review the employee's medical history and any relevant biomedical factors provided by the individual? To whom do you report the verified positive test result? How soon do you transmit verified positive test results to the DER? What review of documents do you perform before you verify a positive test result? As the MRO, can you change your initial verification of a positive drug test result or refusal to test? In your estimation, what is the rough percentage of laboratory confirmed positives you have verified as negative to the employer after your review of the employee and any information supplied by the employee? Appendix K. Substance Abuse Management Oversight Questionnaires K-25 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 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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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
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⎯ Add a bluing agent to the toile
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Are employees who are subject to te
Page 605 and 606: LABORATORY TESTING Are all drug tes
Page 607 and 608: ⎯ Direct the analysis of the spli
Page 609 and 610: Is only one test conducted at a tim
Page 611 and 612: Does the BAT notify the employer’
Page 613 and 614: Does the SAP evaluate whether a saf
Page 615 and 616: ADMINISTRATIVE REQUIREMENTS If a pr
Page 617 and 618: Are procedures in place to have emp
Page 619 and 620: hours following the accident, the e
Page 621 and 622: Are random numbers substituted only
Page 623 and 624: Are employees that are subject to f
Page 625 and 626: OTHER TRAINING Consistent with the
Page 627 and 628: ♦ Documents presented by a covere
Page 629 and 630: CERTIFICATION ♦ Each year transit
Page 631 and 632: A R DMINISTRATIVE EQUIREMENTS Do th
Page 633 and 634: DRUG AND ALCOHOL POLICY REVIEW QUES
Page 635 and 636: Meeting FTA thresholds; Meeting dru
Page 637 and 638: CONSEQUENCES OF A FAILED OR REFUSED
Page 639 and 640: How much notice is given to the emp
Page 641 and 642: RECORDS MANAGEMENT QUESTIONNAIRE AP
Page 643 and 644: If the information requested is not
Page 645 and 646: Has the employer met the minimum an
Page 647 and 648: Do the records indicate that any dr
Page 649 and 650: Does the employer utilize the stand
Page 651 and 652: If tests are cancelled because of a
Page 653 and 654: If you conducted the initial test,
Page 655: SALIVA TEST TECHNICIAN QUESTIONNAIR
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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