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Drug and Alcohol Program Management ~Spring Training ~ March 8 th 2007.

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1 Drug and Alcohol Program Management ~Spring Training ~ March 8 th 2007

2 Welcome! Today’s training topics:  Substance Abuse Policy  Record Retention and Confidentiality  Pre-employment Administrative Requirements and Testing  Training of Safety Sensitive Employees and Supervisors  Random Testing Program  Post Accident Testing  Reasonable Suspicion Testing  Collection Site Monitoring  Clean, Sober and Safe video

3 Substance Abuse Policy Brief discussion/refresher

4 Substance Abuse Policy An FDOT model policy is available FTA policy requirements,( § 655.15) any additions under your own authority must be made obvious Policy must be adopted by governing board Must be disseminated to all employees at time of hire and each time a change is made Documentation of employee receipt must be kept on file for a minimum of two years from the date of the documentation NEW! Adjust for the new random rate if policy states the specific percentage- (this applies to FDOT model policy)

5 Record Maintenance Release of Information and Retention

6 Record Maintenance All FTA drug or alcohol test records must be kept in a secure location with controlled access [§655.71(a)]. Locked file cabinet separate from personnel records and medical records to ensure that no unauthorized persons have access to test results. Access to test results is limited to the DAPM and alternate.

7 Release of Information The FTA regulation [§655.73] states that test results may be released only when required by regulation or when the employee provides specific written consent, which means that the employee must indicate: The specific information that is to be released The identity of the person to which the information is to be released The specified time period for which the release of information can occur

8 When Specific Consent is NOT Required for release of records When records are requested by: A state oversight agency or grantee required to certify compliance to FTA on your behalf. Any DOT agency with regulatory authority over the employer or any of its employees A consultant or specialist appointed by an authorized authority National Transportation Safety Board (NTSB)

9 Record Retention Keep for One Year: Negative urine drug and breath alcohol results Keep for Two Years: Records related to the collection process Education and Training records Keep for Three Years: Information obtained via previous DOT employer background checks Keep for Five Years: Positive urine drug and breath alcohol results Employee refusals/disputes/referrals for reasonable suspicion EBT device calibration documentation Annual MIS reports

10 Record Retention Best practice is to keep all records for a period no less than 5 years. When audited, you will only be required to show records that are within the regulatory record retention guidelines

11 Pre Employment Administrative Requirements and Testing

12 Pre Employment Background Checks Review application to determine if employee has worked for any DOT regulated employers Look for any “holes” in employment history Ask employee if he or she has refused a DOT required pre-employment test or has had a positive result on a DOT pre-employment test (in the previous two years, for which they were not hired) Obtain employee consent for DOT drug and alcohol background check for the previous DOT employers of the past two years

13 Background Check continued Send consent and request for information to previous employers If possible review this information PRIOR to the employee performing safety sensitive duties If request is not fulfilled, document that a “good faith effort” was made If information obtained from a previous employer reveals a refusal or a positive, employee must show proof of a SAP evaluation and successfully completed treatment (you must accept responsibility for the follow up testing that may be required if you hire this applicant) Keep background check information or good faith effort on file for a minimum of three years

14 Pre employment drug test Must test no more than 90 days prior to performance of safety sensitive duties; preferably within one week Previous or other DOT employer test cannot be accepted. A negative drug test result must be physically in hand prior to safety sensitive duty A canceled test must be retaken A dilute test must be retaken if agency policy is to retest all dilute specimens Keep negative test result on file for a minimum of one year

15 Administrative Requirements Employee must be provided a copy of the current Substance Abuse Policy Documentation of the employee’s receipt of the policy must be kept on file for a min. of 2 years Provide a minimum of 60 minutes of Employee Drug Awareness training for all safety sensitive employees Add employee to Random Testing Pool

16 Training Safety Sensitive and Supervisory

17 Training Requirements All safety sensitive employees must receive a minimum of 60 minutes of employee drug awareness training Training must include information about the five prohibited drugs including the effects on health and safety Concern for public safety should be emphasized Provide employees with both visual and reading material Training is only required once during the tenure of employment, but recommended annually

18 Supervisor Training Reasonable Suspicion Training:  60 minutes of training on the probable signs and symptoms of prohibited drug use  60 minutes of training on the probable signs and symptoms of alcohol misuse  Training video and trainer’s guide are available from FTA Safety and Security website ( )  Only required once in the tenure of employment but suggested annually

19 Supervisor Training Supervisors who are required to determine if accidents meet the FTA criteria to test should be trained in the following:  Use of the FTA Post Accident Decision Form  Possible contribution of other employee actions (maintenance)  Necessity to supervise employee(s) until testing takes place  Collection site locations and or contacts  Time limitations of testing

20 Training Resources Substance Abuse Management Website: FTA Website: TD Commission Conference Workshops in Orlando Aug. 6-9 2007 FPTA/CUTR/FDOT Professional Development Workshops in Tampa June 4-6 2007 FTA Annual Drug and Alcohol Conference New Orleans April 10-12 2007

21 Random Testing Increasing Effectiveness and Compliance

22 Random Testing-New Minimum National positive rate averaged less than 1% for the previous three years 25% of safety sensitive employees must be tested annually- as a minimum Agencies can choose to remain at testing at the 50% rate Statewide testing pool has been lowered to the new FTA minimum

23 Random Testing Effectiveness Limit persons involved in the coordinating of testing Record notification time; track collection times Avoid any predictable patterns –Save a few for the end of the testing period –Send for testing when least expecting it Never conduct “group testing” Update employee database every single testing period

24 Post Accident Testing Refresher

25 Post Accident Testing Train supervisors on the use of the Decision and Documentation form Prepare a “Post Accident Kit” that includes: –Decision and Documentation Form –Contact numbers for DAPM and Alternate –List of approved sites and mobile collectors –Custody and Control Forms –Specimen cups (helpful for rural agencies who need to use a local hospital)

26 Post Accident Testing Any fatality- test One of more vehicles towed away from scene (because they had to be)- test unless employee actions can be completely discounted One or more parties are transported for medical treatment-test unless employee actions can be completely discounted Don’t follow the better safe than sorry mindset- follow regulations; use decision and documentation form

27 Post Accident Testing Continued Comply with local law enforcement and see that medical attention is provided before all else Test all employees who could have contributed to the cause of the accident (such as maintenance) Keep employee(s) under supervision until testing occurs Conduct both urine drug and breath alcohol testing Document any delays in testing Document any employee refusals- supervisors must be made aware of actions that constitute refusal

28 Reasonable Suspicion Testing Increasing use of test type

29 Reasonable Suspicion Testing Most under utilized test type To increase use:  Supervisors should receive annual refresher training that includes role play  Create an atmosphere of respect for a supervisor’s authority in this area  Supervisors fear they won’t be “backed up” by management or they will be disliked by employees

30 Reasonable Suspicion Testing Only one trained supervisor is required to make the call Two trained supervisors are ideal Approach employee in a discreet and respectful manner Document all signs and symptoms Document employee reaction, any dispute or refusal Conduct testing as quickly and efficiently as possible Keep employee supervised until testing takes place

31 Reasonable Susp.Testing Cont. Remove employee from safety sensitive duty until a negative drug test result reports Breath alcohol testing with a result between 0.02 and 0.039; requires removal from safety sensitive duty for a minimum of 8 hours All positive results require referral to a DOT Certified SAP Follow policy beyond referral

32 Collection Site Monitoring Your compliance depends on it

33 Collection Site Monitoring Not a regulatory requirement Agency compliance is directly affected by collector’s compliance Become familiar with the collection process Obtain feedback from employees Make unannounced visits When employee turnover at collection site occurs, establish rapport Check custody and control forms for errors Report errors and delays to TPA Report serious infractions to FDOT

34 Clean, Sober and Safe Employee Drug Awareness Training Video

35 Clean, Sober and Safe Developed in response to a need for training material specific to FTA regulated employers 23 minute video and accompanying handbook to be used in conjunction with the substance abuse policy Geared toward all safety sensitive employees Features Florida history and Florida transit systems

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