Best Practices in FTA Drug and Alcohol
Testing Program Implementation
Presented by Diana Byrnes, C-SAPA
About the Presenter
 Diana Byrnes, C-SAPA
 Project manager for the FDOT Substance Abuse Management
Oversight and Technical Assistance Program with CUTR
 Senior Associate Staff Instructor for the Transportation Safety
Institute
 Specializes in the training and education of FTA covered
employers and employees, in the field of substance abuse
management
Today’s session will:
 Describe best practices in the following program areas:
 Identifying covered employers and covered employees
 Policy
 Training
 Pre-employment Testing
 Random Testing
 Post Accident Testing
 Record Maintenance
 Vendor and Contractor Compliance Monitoring
 FDOT SAM Program description
 What’s on the horizon in DOT testing
Applicability of Regulations
FTA Covered Employers
 Each recipient (grantee) or sub recipient (indirect grantee)
receiving Section 5311, 5307, 5309 funding
 Contractors- when any of the above funding sources are
used to compensate contractor s , they are “covered
contractors” and the same regulations that are applicable to
your agency are applicable to the contractor. As the funding
recipient– your agency is responsible for the contractor’s
compliance
 NOTE: Medicaid contractors that only receive Section 5310
funding are EXEMPT (see next slide)
FTA Covered Employees
 Performs or could be called upon to perform these functions:
 Operate a revenue service vehicle (regardless of in or out of
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service)
Operate a non-revenue service vehicle when a CDL is required
to operate
Perform maintenance on a revenue service vehicle
Control the movement of a revenue service vehicle (as
determined by the employer)
Carries a firearm as part of transit securitydetail
Regulations
49 CFR Part 655The FTA regulations that tells us “when and why” drug and alcohol
tests are required to be conduct specific to FTA covered
employers.
49 CFR Part 40The US DOT regulations that tell us “how” drug and alcohol testing
must be conducted. These regulations cover all DOT modes.
Record Maintenance
and Retention
Testing conducted in
accordance with
49 CFR Part 40 and
Part 655
Education and Training
Policy Development and Dissemination
Policy Statement
Requirements
Policy Statement Requirements
• FTA Regulation- 49 CFR Part 655.15
• Policy must be approved and adopted by governing board
and must include the following:
• The agency contact, aka Designated Employer
Representative (DER)
• The categories of employees that are subject to testing
(job titles and positions that are deemed safety-sensitive)
• Prohibited behaviors and conduct
• Circumstances (reasons) for testing
• Procedures that will be used for testing (can reference
Part 40)
Policy Statement Requirements
Continued
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The requirement that a covered employee must submit to testing in
accordance with Part 655
The actions and behaviors that constitute a refusal to test
Consequences of positive results and refusals to test
 Employer may not impose requirements that are inconsistent with,
contrary to, or frustrate the provisions of this part
 All covered employees must receive a copy of the substance abuse
policy and any subsequent revisions
 Documentation of employee policy receipt must be obtained and
kept on file for at least 2 years.
Florida Model Policies
• FDOT issued new substance abuse policy templates in
October 2011
• 5311 sub-recipient agencies (and/or contractors) are required
to adopt the FDOT
• Available on the FDOT SAM Website
•
http://sam.cutr.usf.edu
Training and Education
Requirements
Training Requirements
 49 CFR Part 655.14
 Display and distribute informational material including hot line telephone
numbers for assistance
 60 minutes of drug awareness training provided to all covered employees
(alcohol awareness training not required, but is a best practice)
 Supervisor Training for Reasonable Suspicion Determinations (60 minutes
on signs and symptoms of alcohol misuse AND 60 minutes on signs and
symptoms probable drug use)
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Supervisors must receive this training prior to making a referral for testing
Training Tools
 To meet the Display and Distribution requirement:
 FDOT’s Drug and Alcohol Testing Program Manual for FTA
Covered Employees
 US DOT’s What Employees Need to Know About DOT Drug and
Alcohol Testing
 Posters, fliers, postcards,
 Restrooms
 Driver’s lounge
 Timeclock area
 Memo in paycheck
Training Tools Continued
 To meet the Employee Drug Awareness Training
Requirement (60 minutes)
 FDOT’s Clean, Sober and Safe video (only 23 minutes, must
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supplement!)
FDOT’s Clean, Sober and Safe Web-based Training (time varies
based on user)
Classroom style training incorporating the videos and other
material regarding the detriments of prohibited drug use on the
mind, body and the workplace dangers.
DO NOT use policy review to fill the 60 minutes
If you include a segment on alcohol misuse, DO NOT count it
toward the 60 minutes
Training Tools Continued
 Supervisors must meet the training requirement prior to
making a referral
 Training is only required once during the tenure of
employment but annual refresher training is highly
recommended
 To meet the FTA Supervisor Training Requirement:
 FTA video training package available on Safety and Security
Website: http://transit-safety.volpe.dot.gov/
 FDOT agencies: REACT video training package (new)
 Mailed to all Florida transit systems in March
Additional Training Best Practices
 FTA Post Accident Testing Determination Training
 Prescription and Over the Counter Medication Awareness
 Substance abuse training topics to safety meetings
 DER training to keep abreast of regulatory changes
Test Types and Potential Areas of
Non-Compliance for Each
Test Types
1
Pre-employment
2
Random
3
Post Accident
4
Reasonable Suspicion
5
Return to Duty
6
Follow Up
Note: Most frequent areas of non-compliance are underlined in yellow
Pre-employment Testing
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All new safety-sensitive employees and transferees must have a negative
pre-employment drug test on file PRIOR to the performance of any safetysensitive duty.
Employee can not take part in any behind the wheel training until negative
result is obtained
Pre-employment alcohol testing is authorized but not required
A pre-employment test must be administered to an employee returning from
an extended leave of 90 days or more, IF they have been removed from the
random testing pool. ( this is NOT a return to duty test)
Drug and Alcohol Background
Checks
 49 CFR Part 40.25
 Must obtain employee consent to inquire with all DOT
employers within the previous 2 years (no consent, cannot
hire)
 Any positive drug or alcohol tests conducted under DOT
authority?
 Any refusals to submit to DOT testing?
 Must make a good faith effort to receive information
 If response is “yes”, must ensure that RTD process has been
completed
Random Testing
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Random testing must be spread throughout all hours of operation
and all days of the week that safety-sensitive duties are performed
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Failure to conduct testing in this manner will be deemed a “finding”
if audited- no excuses
•
Alcohol test only just before, during or just after the performance of
s/s duties
•
Current annual minimum testing rates:
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25% of the average # of employees must be tested for prohibited drug
use annually
10% of the average # of employees must be tested for alcohol misuse
annually
Random Testing Continued:
 Random testing must be conducted in manner that does not
develop a predictable pattern of testing that could be
identified by employees
 No group testing
 Spread testing throughout the entire testing period
 Test on weekends and holidays if your agency performs safety-
sensitive duties on weekends and holidays
Post Accident Testing
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Must follow FTA criteria to test- refer to form
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If FTA accident “definition” is not met, DO NOT perform a DOT
post accident test
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Fatality- Test without question
Transport away from scene for medical treatment- test unless
driver’s actions can be completely discounted
Vehicle REQUIRES towing due to disabling damage- test unless
driver’s actions can be completely discounted
Post Accident Testing Continued
 Cannot test an employee who is unconscious
 Must conduct test as soon as practical following an event that
meets the testing criteria but no more than:
 8 hours after the event for alcohol
 32 hours after the event for drugs
 Document any delays in testing after the first two hours
following the event* see form
Reasonable Suspicion Testing
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Supervisors must have received required training before making a referral
for testing
Supervisors must use specific and contemporaneous indicators as a
determining factor (no rumor or second hand information)
Only ONE supervisor is required to make a referral. Employer can not
require more than one supervisor to concur with decision.
Must document the observations and the referral process- See Form
Return to Duty and Follow Up Testing
• Return to Duty and Follow Up tests ONLY apply to employees
who have previously violated the DOT drug and alcohol policy
• Return to Duty is the test type conducted on an employee after
they have completed the SAP evaluation and treatment program
• Employee’s who return to duty after a violation are subject to
Follow Up tests. SAP determines number and frequency of tests
• BOTH test types must be Directly Observed Collections
Collection Site
Compliance
Monitoring Your Collection Site
 The collection site’s compliance to regulations is directly tied
to your agency’s compliance to the regulations
 Monitoring your collection site is highly recommended
 Start by developing a rapport with the site manager
 Bring a current copy of Part 40 and US DOT Specimen Collection
Guidelines to the site
 Suggest scenarios and ask questions about how problem
collections are handled
 Conduct an inspection of the site
 Ask the collector to walk you through their procedures
Monitoring Your Collection Site
Continued
 Conduct clandestine inspections
 Solicit information from employees after they return from
the site
 When areas of concern are noted, bring it to the attention of
your TPA (if applicable) and the site manager.
 Point out that collections for ALL DOT modes are to be
conducted uniformly– so deeming them non-compliant for
an FTA covered employer applies to the FMCSA regulated
employers as well (often more clients are FMCSA)
Alcohol Misuse
 Although alcohol is a legal substance for those of legal age,
the misuse of alcohol among safety-sensitive employees can
be an extreme safety risk.
 All covered employees are prohibited from consuming
alcohol within 4 hours of the performance of safety-sensitive
functions and while on call to perform safety-sensitive duties
 DOT Alcohol testing can only occur just before, during or just
after the performance of safety-sensitive duties
Alcohol Testing
 Technicians must meet qualification training in accordance
with Part 40.213
 Saliva tests are authorized for initial screening only– not
confirmation tests
 Evidential Breath Testing Devices must be used for
confirmation testing
 Must be on National Highway Traffic Safety Administration’s
Conforming Products List
Record Maintenance and
Retention
Retention Requirements
 Five Year
 All records related to positive results
 SAP Referrals
 Return to Duty Process, Follow Up testing documentation
 Documentation of employee refusals to test
 DAMIS Reports
 Three Years
 Previous employer background checks
 Good faith efforts
Retention Requirements Continued
 Two Years
 Testing documentation
 Collection log books, if used
 Random selection process
 Reasonable suspicion documentation
 Post accident testing documentation
 MRO documents verifying existence of a medical explanation for
insufficient volume
 Records of inspection, maintenance, and calibration of EBT
Retention Requirements
 One Year
 Cancelled drug test results
 Negative test results
 Alcohol test results less than 0.02
 Alcohol test form with results
 Employer’s copy of the federal CCF.
BEST PRACTICE: KEEP ALL RECORDS FOR 5 YEARS.
Record Maintenance
 Ensure that all records are kept in a locked file cabinet with
access limited to only the DER and Alternate
 Keep drug and alcohol testing records stored separately from
other types of employment records
 If records are kept electronically, ensure that they are
password protected
FDOT SAM Program
Expansion for 2012-2013
FDOT SAM Program
 Program was initiated August 1, 2003 as a compliance oversight
tool for FDOT’s Section 5311 sub-recipient agencies
 In February 2004 FDOT underwent its first FTA Drug and Alcohol
Program audit
 SAM Program was immediately expanded in February 2004 to assist
agencies in preparing and responding to the audit
 Further expansion to the technical assistance and training aspects of the
program were made in 2005, but the primary focus was still on the rural
agencies
FDOT SAM Program Cont.
 FTA audit of FDOT August 2011 emphasized the importance of the
SAM program
 May 1, 2012 FDOT expanded the SAM program to to all Florida
transit systems, regardless of size.
 Compliance reviews of rural systems are still conducted, however the
training and technical assistance benefits are available to all agencies,
statewide
 Regional outreach training sessions and webinars are being
coordinated (see next two slides)
Regional Outreach Training Sessions
 Region A- Districts 1 and 7 was held on July 18th, 2012
 Region B- Western portion of District 2 and District 3: November 13,
2012
 Region C- Districts 4 and 6: March 27, 2013
 Region D- Eastern portion of District 2 and District 5: August 23,
2012
 Full day interactive workshop style sessions (not just lectures!)
 All sessions are open to all agencies (you must register for the session
though.)
 Training session information is posted on SAM website, registration is
coordinated through Molly Buffington at CUTR.
Webinars
 Monitoring Collection Site Compliance: September 12th, 2012
 Record Maintenance Best Practices and DAMIS Reporting
Instructions: January 10th, 2013
 Developing Compliant and Effective In-house Training Programs:
April 24th, 2013
 Additional topics will be added, please feel free to contribute topic
suggestions!
In-House Training Opportunities
 Supervisory Training for Reasonable Suspicion and Post
Accident Drug and Alcohol Testing Thresholds
 Employee Drug Awareness refresher training
 Prescription and Over-the-Counter Medication Awareness
training
 One-on-One Drug and Alcohol Program Management
training for new DERs or back-ups
 Contact me directly to set up in-house training:
byrnes@cutr.usf.edu
FDOT Substance Abuse Website
• FDOT Substance Abuse Management Resource Website:
http://.sam.cutr.usf.edu
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Training Tools
Training Announcements
Videos
FTA Regulatory Updates Newsletter
“Quick Regs”- regulatory references
Links to additional web resources
On the Horizon
Forthcoming Changes to Regulations
On the Horizon
 On January 26, 2012, the Department of Health and Human
Services accepted the Drug Testing Advisor Board’s
recommendations:
 to expand the drug testing panel for Federal Workers to include
Schedule II drugs (oxycodone, hydrocodone, etc.)
 to recognize oral fluid as an alternative specimen for Federal
workplace drug testing programs.
 The USDOT is required by law to follow HHS procedures, so as
soon as the guidelines are established, Part 40 will be amended in
accordance with the new guidelines.
On the Horizon Cont.
 We can anticipate a revision to Part 655 in the near future
(within the next couple of years), according to Jerry Powers
 Electronic CCFs
 National database for violators is being developed (will start
first with FMCSA)
Statewide Testing Services
Contract
New TPA Contract Awarded
 Benefits of using statewide contract with FirstLab:
 Scope of Service includes provisions for collection site
monitoring and minimum collection site availability
 FDOT support (assurance that contract obligations will be met)
 No state interference with your individual testing account
 BEST PART: Significant cost reduction for volume pricing
 DOT urine drug tests – 25.00!
Contact
 Please do not hesitate to contact me for information about drug
and alcohol testing regulations or to schedule training
 Diana Byrnes
 813-426-6980
 byrnes@cutr.usf.edu
 Thank you for your attendance today.
Contacts
 Diana Byrnes, C-SAPA
Substance Abuse Management Specialist
CUTR
813-426-6980
http:// sam.cutr.usf.edu