1. FTA Drug and Alcohol Program NATIONAL CONFERENCE MPOs/City Government: Who Does What? Atlanta, GA 2015

2. Overview Three Types of Grantee: Transit Authorities & MPOs States & State Sub-recipients Cities & Other Municipal Organizations

3. Overview Three Types of DAPM: Formal Drug & Alcohol Program Manager All-hats-at-all-times DAPM Staff in HR, Risk Management, or Safety Department

4. Overview Problem:  Drug & alcohol program management functions spread across multiple City departments  Tests missed, compliance lacking Solution:  Either increase centralization of functions or identify and formalize communication lines

5. D&A Functions within Transit

6. D&A Functions Widely Dispersed

7. D&A Functions Dispersed: DOT

8. Common Problems “That’s handled by a different department”

9. Problems Arise in All Program Areas…  Policy  DAPM  Program & Records Management  Pre-employment Testing  Random Testing  Post-accident Testing  Positives/Refusals & SAP Referrals  Return-to-duty & Follow-up Testing  Vendor Oversight

10. D&A Policy  Combination Complication  City + Transit  City + Transit + Federal Motor Carrier  City + Multiple Regulated Modes (FTA, FRA, FMCSA, etc.)

11. D&A Policy 3 Common Problems 1.Too long 2.Mixed Safety-sensitive/Non-SS authority 3.Mixed compliance (at best)

12. 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.”

13. DER: Designated Employer Representative  Key Functions  Receives results  Takes “immediate action”  Makes “required decisions”

14. 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

15. Management Functions – DAPM/DER  Write, distribute, review policy  Ensure integrity of pre-employment process  Maintain an up-to-date random pool  Notify employees (or supervisors) of random tests  Receive & review testing forms  Oversee vendor performance  Initiate post-positive removal from duty  Provide SAP referral  Schedule Return-to-duty test  Return employee to duty  Schedule Follow-up tests

16. Management Functions – Split DER (City)  Distribute policy  Maintain random testing pool  Make/receive selections  Receive forms, results  SAP process & RTD DAPM (Transit)  Emp training  Notify employees of random tests  PA/RS testing  Return employee to duty  GET AUDITED

17. Split Functions - Problems  DAPM not aware/knowledgeable  Pre-employment lapses  Pool not up to date  “One-Way Randoms”  Lax vendor oversight  Modal overlap and mix-ups

18. Aggravating Environs  Fiefdoms  Institutional memory  Transit department too small within City  Transit department too small within regulated cohort  Transit department doesn’t have leverage for vendor oversight (e.g., doesn’t pay the bills)

19. Records Management  Key audit finding for city programs with split functions:

20. Best Practice Information Flow TriggerNotificationTest Result & Review ActionClosure

21. Municipal Info Flow, Part 1 Selection TPA Intermediary HR Notification Transit

22. Municipal Info Flow, Part 2 Test CollSite Result MRO/TPA Action HR

23. Findings & Fiascos  Too many stops after a positive/refusal  Sections 40.3 and 40.23 state that you must “immediately remove the employee involved from performing safety- sensitive functions.”  Mysteries  Never had a pre-employment, or worse…  Never had a return-to-duty  Random never happened  No training

24. 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?”

25. Findings & Fiascos  Transit DAPM is held responsible for errors  Funding withheld  Someone gets hurt

26. Vendor Oversight  Transit DAPM is held responsible for errors  FTA Audit requires explicit response  Transit DAPM has little influence

27. Pre-employment Testing  Hiring Process  Situational Awareness  Training

28. Random Testing  TPA Timing  When is roster update due?  When do you receive selection list?  Notification process  Time allowed for travel to testing site  Is there a blanket policy? Shouldn’t be!

29. Notification to Test – The One-hour Policy

30. Random Testing  Spread Requirements  Different for different modes  FTA requires spread throughout year, week, day

32. Random Testing – “One-way randoms”  “One-way Randoms” 1.TPA generates selection list for City HR 2.HR distributes to department managers 3.Department managers distribute to supervisors 4.Supervisor notifies employee John D. Pueblo at beginning of quarter to go for immediate test

33. Random Testing – “One-way randoms”  “One-way Randoms,” continued 5.John travels to collection site 6.John pees in a cup 7.Specimen goes to lab for analysis 8.Chemical positive result goes to MRO 9.MRO’s dog eats chemical result 10.At end of quarter, HR asks department manager, “why didn’t you test this guy?”

34. Random Testing – “One-way randoms”  “One-way Randoms,” continued 11.Department manager says “what are you talking about, I sent him six weeks ago?”

35. 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.

36. Post-accident Testing  Different modes have different requirements  Responsibility for testing – and knowing when to test – spread throughout departments  Who has oversight?  Delays in testing  Drug before alcohol  Appropriate documentation

37. Removal from Duty & SAP Referral  Who receives verified result from MRO?  How many calls to get immediate supervisor?  Who makes SAP referral?

38. 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?

39. Follow-up testing  Who reviews SAP’s testing plan?  Who schedules follow-up tests?  Who receives and reviews results?

40. Solutions & Best Practices

41. Policy  Consistent review  Clear offsetting  Stakeholder awareness  Break out regulated department policies

42. DAPM/DER  Clear identification  Institutional awareness  Consistent training  Internal oversight

43. Program & Records Management  Clear communication  Consistent analysis and self-auditing  Solid feedback loop

44. Vendor Oversight  Vendors should know your environment  Designated oversight role  Consistent review of ATFs, CCFs, results

45. Pre-employment Testing  Centralize the process  Formalize the chain of responsibility  Use a checklist  Payroll codes

46. Post-accident Testing  Clear policy (and clear non-DOT policy, if applicable)  Robust supervisor training  Unambiguous decision-making forms  That are filled out!

47. 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

48. Resources FTA Transit Safety & Oversight:  http://transit-safety.fta.dot.gov http://transit-safety.fta.dot.gov FTA D&A MIS Reporting:  http://transit-safety.fta.dot.gov/DrugAndAlcohol/DAMIS/ http://transit-safety.fta.dot.gov/DrugAndAlcohol/DAMIS/ DOT Office of Drug & Alcohol Policy & Compliance:  http://www.dot.gov/odapc http://www.dot.gov/odapc FTA Drug & Alcohol Forum:  https://transit- safety.fta.dot.gov/DrugAndAlcohol/TechnicalAssistance/Forum/default. aspx https://transit- safety.fta.dot.gov/DrugAndAlcohol/TechnicalAssistance/Forum/default. aspx

49. FTA Drug and Alcohol Program NATIONAL CONFERENCE THANK YOU Atlanta, GA 2015