fta drug and alcohol program national conference mpos/city government: who does what? atlanta, ga...
TRANSCRIPT
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FTA Drug and Alcohol Program NATIONAL CONFERENCE
MPOs/City Government:
Who Does What?
Atlanta, GA 2015
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Overview
Three Types of Grantee:
• Transit Authorities & MPOs
• States & State Sub-recipients
• Cities & Other Municipal Organizations
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Overview
Three Types of DAPM:
• Formal Drug & Alcohol Program Manager
• All-hats-at-all-times DAPM
• Staff in HR, Risk Management, or Safety Department
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Overview
Problem:Drug & alcohol program management functions spread across
multiple City departmentsTests missed, compliance lacking
Solution:Either increase centralization of functions or identify and formalize
communication lines
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D&A Functions within Transit
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D&A Functions Widely Dispersed
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D&A Functions Dispersed:DOT
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Common Problems
“That’s handled by a different department”
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Problems Arise in All Program Areas…PolicyDAPMProgram & Records Management
Pre-employment Testing Random Testing Post-accident Testing Positives/Refusals & SAP Referrals Return-to-duty & Follow-up Testing
Vendor Oversight
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D&A Policy
Combination Complication
City + Transit
City + Transit + Federal Motor Carrier
City + Multiple Regulated Modes (FTA, FRA, FMCSA, etc.)
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D&A Policy
3 Common Problems
1. Too long
2. Mixed Safety-sensitive/Non-SS authority
3. Mixed compliance (at best)
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DER: Designated employer rep
What is a “Designated Employer Representative?” DOT, in 49 CFR Part 40, defines the DER:
“An employee authorized by the employer to take immediate action(s) to remove employees from safety-sensitive duties, or cause employees to be removed from these covered duties, and to make required decisions in the testing and evaluation processes. The DER also receives test results and other communications for the employer, consistent with the requirements of this part. Service agents cannot act as DERs.”
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DER: Designated Employer RepresentativeKey Functions
Receives results
Takes “immediate action”
Makes “required decisions”
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D&A Program Manager
Usually DAPM & DER are one in the same
For city transit, “DAPM” is often transit director, safety manager, or trainer; “DER” is often a person in City’s human resources or risk management department
This is the first break in the communications chain
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Management Functions – DAPM/DER
Write, distribute, review policyEnsure integrity of pre-employment processMaintain an up-to-date random poolNotify employees (or supervisors) of random testsReceive & review testing formsOversee vendor performanceInitiate post-positive removal from dutyProvide SAP referralSchedule Return-to-duty testReturn employee to dutySchedule Follow-up tests
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Management Functions – Split• DER (City)
Distribute policyMaintain random testing
poolMake/receive selectionsReceive forms, resultsSAP process & RTD
• DAPM (Transit)
Emp trainingNotify employees of
random testsPA/RS testingReturn employee to dutyGET AUDITED
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Split Functions - Problems
DAPM not aware/knowledgeablePre-employment lapsesPool not up to date“One-Way Randoms”Lax vendor oversightModal overlap and mix-ups
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Aggravating Environs
FiefdomsInstitutional memoryTransit department too small within City Transit department too small within regulated cohortTransit department doesn’t have leverage for vendor oversight (e.g.,
doesn’t pay the bills)
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Records Management
Key audit finding for city programs with split functions:
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Best Practice Information FlowTrigger
Notification
Test
Result & Review
Action
Closure
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Municipal Info Flow, Part 1
• Selection
TPA
• Intermediary
HR • Notification
Transit
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Municipal Info Flow, Part 2
• Test
CollSite
• Result
MRO/TPA• Action
HR
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Findings & Fiascos
Too many stops after a positive/refusalSections 40.3 and 40.23 state that you must “immediately
remove the employee involved from performing safety-sensitive functions.”
MysteriesNever had a pre-employment, or worse…
Never had a return-to-dutyRandom never happenedNo training
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Findings & Fiascos
FTA D&A Audit – Question #63
“Do the records indicate that the employer or other person administering the drug and alcohol testing process reviews CCFs and identifies and corrects any errors in the testing process of which they become aware, even if they are not considered problems that will cause a test to be cancelled?”
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Findings & Fiascos
Transit DAPM is held responsible for errors
Funding withheld
Someone gets hurt
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Vendor Oversight
Transit DAPM is held responsible for errors
FTA Audit requires explicit response
Transit DAPM has little influence
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Pre-employment Testing
Hiring Process
Situational Awareness
Training
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Random Testing
TPA TimingWhen is roster update due?When do you receive selection list?
Notification process
Time allowed for travel to testing siteIs there a blanket policy? Shouldn’t be!
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Notification to Test – The One-hour Policy
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Random Testing
Spread RequirementsDifferent for different modesFTA requires spread throughout year, week, day
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Random Testing – “One-way randoms”“One-way Randoms”
1. TPA generates selection list for City HR2. HR distributes to department managers3. Department managers distribute to supervisors4. Supervisor notifies employee John D. Pueblo at beginning of
quarter to go for immediate test
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Random Testing – “One-way randoms”“One-way Randoms,” continued
5. John travels to collection site6. John pees in a cup7. Specimen goes to lab for analysis8. Chemical positive result goes to MRO9. MRO’s dog eats chemical result10. At end of quarter, HR asks department manager, “why didn’t you
test this guy?”
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Random Testing – “One-way randoms”“One-way Randoms,” continued
11. Department manager says “what are you talking about, I sent him six weeks ago?”
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Random Testing – “One-way randoms”Section 40.17:
Is an employer responsible for obtaining information from its service agents? Yes, as an employer, you are responsible for obtaining information required by this part from your service agents. This is true whether or not you choose to use a C/TPA as an intermediary in transmitting information to you.
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Post-accident Testing
Different modes have different requirementsResponsibility for testing – and knowing when to test – spread throughout
departmentsWho has oversight?
Delays in testing Drug before alcohol Appropriate documentation
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Removal from Duty & SAP Referral
Who receives verified result from MRO?
How many calls to get immediate supervisor?
Who makes SAP referral?
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SAP Process & Return to Duty
Who receives and maintains SAP reports?
Who decides to return employee to safety-sensitive duty?
Who schedules RTD test… and ensures the receipt of a negative result?
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Follow-up testing
Who reviews SAP’s testing plan?
Who schedules follow-up tests?
Who receives and reviews results?
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Solutions & Best Practices
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Policy
Consistent review
Clear offsetting
Stakeholder awareness
Break out regulated department policies
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DAPM/DER
Clear identification
Institutional awareness
Consistent training
Internal oversight
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Program & Records Management
Clear communication
Consistent analysis and self-auditing
Solid feedback loop
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Vendor Oversight
Vendors should know your environment
Designated oversight role
Consistent review of ATFs, CCFs, results
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Pre-employment Testing
Centralize the process
Formalize the chain of responsibility
Use a checklist
Payroll codes
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Post-accident Testing
Clear policy (and clear non-DOT policy, if applicable)
Robust supervisor training
Unambiguous decision-making forms
That are filled out!
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Sap Referral & RTD/FU Testing
Clear consequences in policy Including regulatory requirements as well as local personnel
actions Complete narrative documentation Designated gatekeeper Self-auditing
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Resources• FTA Transit Safety & Oversight:
http://transit-safety.fta.dot.gov • FTA D&A MIS Reporting:
http://transit-safety.fta.dot.gov/DrugAndAlcohol/DAMIS/ • DOT Office of Drug & Alcohol Policy & Compliance:
http://www.dot.gov/odapc • FTA Drug & Alcohol Forum:
https://transit-safety.fta.dot.gov/DrugAndAlcohol/TechnicalAssistance/Forum/default.aspx
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FTA Drug and Alcohol ProgramNATIONAL CONFERENCE
THANK YOU
Atlanta, GA 2015