MANAGING A DRUG & ALCOHOL PROGRAM FOR SMALL TRANSIT PROPERTIES

Presented by Leila Procopio-Makuh, C-SAPA LPM Consulting Inc Devonshire St. #333 Northridge, CA (818)

FEDERAL REGULATORY AUTHORITIES FOR D&A TESTING  49 CFR Part 655 (FTA) - Who? - Why? - When?

FEDERAL REGULATORY AUTHORITIES FOR D&A TESTING (cont.d)  49 CFR Part 40 (USDOT) - What? - How? - Roles and responsibilities of service agents

FTA D&A PROGRAM REQUIREMENTS 1. Drug & alcohol policy - Must contain all the elements outlined in Sec Must be signed and dated - Any and all provisions outside of Part 40 and Part 655 requirements must be clearly identified - Distributed to all covered employees

FTA D&A PROGRAM REQUIREMENTS (cont’d.) 2. Education and training program for all safety-sensitive employees and supervisors/company officials who may be called upon to make reasonable suspicion testing referrals 3. A D&A testing program that meets the requirements of Part 40 and Part Procedures for a SAP referral

GENERAL EMPLOYER RESPONSIBILITIES  Ensure that all DOT/FTA tests are conducted in accordance with Part 40 and Part 655.  Ensure that all service agents (e.g. collectors, BATs, DHHS lab, MRO, SAP) are “qualified” under Part 40. Ask them to provide you with documentation showing that they meet the qualification requirements, including refresher training and continuing education

GENERAL EMPLOYER RESPONSIBILITIES (cont’d.)  If you use a Third Party Administrator (TPA) to help you administer the program, ensure that they understand Part 655 and they follow the regulatory requirements under both Part 655 and Part 40. (Note: TPAs are NOT required under the rules).

GENERAL EMPLOYER RESPONSIBILITIES (cont’d.)  If you use contractors to provide transit service, ensure that all covered contractors (e.g., MV, First Transit, Veolia, etc.) are in compliance with the rules. If they are non-compliant, you (the transit agency) are non-compliant.

GRANTEE OVERSIGHT RESPONSIBILITY (Sec )  A direct grantee (e.g. Caltrans) that fails to establish and implement a D&A program as required by Part 655 may not be eligible for FTA funds  State DOTs certify compliance to the FTA on behalf of subgrantees. A subgrantee is subject to suspension of funds from the State if not in compliance with the rules

GRANTEE OVERSIGHT RESPONSIBILITY (Sec )  A grantee is subject to criminal sanctions and fines for false statements or misrepresentations

SUGGESTED PROCEDURES FOR CONTRACTOR COMPLIANCE & OVERSIGHT  Start from the bid process. Make sure bidders understand the requirements of Part 655 and Part 40  Obtain and review their D&A policy. Does it contain all the minimum elements outlined in Section ? Is it up-to-date?

SUGGESTED PROCEDURES FOR CONTRACTOR COMPLIANCE & OVERSIGHT (cont’d.)  If necessary, provide copies of the federal regulations or websites where they can go to download the rules and compliance guidelines  Make compliance a condition of the contract  Conduct periodic assessments of their program

SUGGESTED PROCEDURES FOR CONTRACTOR COMPLIANCE & OVERSIGHT (cont’d.)  In addition to annual DAMIS reports required by FTA, require them to submit to you quarterly DAMIS reports  Require immediate corrective action(s) to remedy problems identified  Include in your own program (optional).

CONTRACTOR ISSUES TO CONSIDER  The seriousness of the audit findings  Do they take the appropriate corrective actions within the required timeframe?  Are they implementing the corrective actions on an ongoing basis?  Consider the timeliness of reporting D&A testing or any required information

CONTRACTOR ISSUES TO CONSIDER (cont’d.)  Are they using service agents that meet Part 40 qualifications and are performing their roles and responsibilities in compliance with the rules?  Are they responsive to your requests related to the the proper administration and implementation of the program?

RESOURCES  FTA Office of Safety & Security (Part 655) or (617)  DOT Office of Drug & Alcohol Policy Compliance (Part 40) (202)

QUESTIONS & ANSWERS