Top Blunders DAPMs Make How to Rectify or – Better Yet –

Avoid Them!

FTA Drug & Alcohol Program National Conference

April, 2013 Phoenix, AZ

FTA

Craig McNulty & Rachel FerranteFTA D&A Program Audi tors

Goals– Think about issues before they arise– Identify approaches, tools, resources to address

problems when they do arise

#1

Policy

Top Blunders - Policy• Out-of-date policy– Sometimes waaaay out of date

• Local/company policy intermingled with FTA/federal authority

• Technical details are many, and archaic/inaccurate– And unnecessary

• Refusal categories missing

Preventive Measures - Policy• Check your policy against regulation

changes periodically• Make sure all employees have the

most current version of the policy• Clearly differentiate between FTA and

company authority• Ensure top-down awareness of

consequences (zero-tolerance, second-chance, etc.)

See how your policy matches up against the regulations:

1.Go to: http://transit-safety.volpe.dot.gov/DrugAndAlcohol/TechnicalAssistance/ (We know you all have this as your Homepage)

2. At the top of the list, Click “Policy Requirements Checklist”3. Start checking away

# 2Post-Accident

Top Blunders – Post-Accident• FTA thresholds not met• Delayed test, or even no test• Poorly trained company official• Testing “Just to be safe” or for

“insurance purposes”• Including non-FTA criteria to test

(citation, $ damage, etc.)• Wheel falls off bus, maintenance

records not checked

Discounting Operator Performance -Common Misunderstandings-

ACCIDENT (MEETS Threshold)

DRIVER

(CAN be discounted as a contributing factor)

NO DOT DRUG TEST

(you CAN test under company authority as long as it is consistent with company

policy)

ACCIDENT (NO Threshold met)

DRIVER

(CAN’T be discounted as a contributing factor)

NO DOT DRUG TEST

(you CAN test under company authority as long as it is consistent with company

policy)

**Operator’s performance is NOT a criterion for testing**

Common Reasons Employees are Discounted as Contributing Factors

• Rear-ended while at stop• Overwhelming witness statements

exonerating the operator• Driver operating vehicle in a manner

consistent with normal maneuvering• Confirmation from onboard video

• Part 655 also requires that:–Delays in P.A. alcohol testing over

two hours be documented• Reason for the delay must be kept• Time of accident vs. time of alcohol

test– Not time of decision vs. time of alcohol test

• Delays are common (police, investigation, medical treatment, travel time, traffic, clinic waiting time)

# 3Random Testing

Top Blunders – Random Testing

• Not testing throughout the year

• Not testing throughout all days of the week when service is performed

• Not testing across all service hours

• Using Mason jars as your “scientifically valid method” to select employees

Something’s wrong here…..

Oops!

Why this happens• Testing only when DER is present• Restricted collection site hours (i.e. no after-

hours collector)• Uncooperative mobile collector (e.g. they

don’t want to drive all the way out to you for 1 test)

• Testing times dictated by collection site/ TPA• Overly complicated notification process

Why should you care?A robust and unpredictable spread will provide:

• Deterrence

• Detection

QUIZ!

When can employees be tested for prohibited drug use?

When can employees be tested for alcohol misuse?

***NOTE on Weekend Testing

• Often an employee who works both weekdays and weekends is tested during the weekday. So, when an employee who works on the weekend is selected, try to test on the weekend.

– Be strategic about test scheduling and shift availability

#4

Reasonable Suspicion

Top Blunders - Reasonable Suspicion

• Trainers focusing on diagnosing specific drug use instead of training to detect impairment – “Is it weed? Or Cocaine? Or Xanax? Hmm….”

• Transit systems not providing adequate support for supervisor determinations – “Bill is a great guy, he would never come to work drunk.

Why are you sending him?”• Companies requiring two supervisors• Supervisors not willing to ‘send a friend’ for testing

(See Bill’s defense above)• Testing based on police reports, phone tips, etc.

Preventive Measures - RS

• Ensure that training meets full requirements of section 655.14(b)(2)

• Empower appropriate supervisors, officials– Who actually interacts with SS employees?

• Have clear policies and procedures• Follow-up with supervisors after random,

post-accident, follow-up positives

#5The Collection

Site

Top Blunders – Collection Process

• Collection site provided w/ inaccurate testing information• Collection site incompetent• CCFs/ATFs not reviewed for

accuracy, compliance• Collection site errors left

unaddressed

Common CCF Error - #1

Step 1 Part D being mis-designated by collectors (even though a notification form is being sent with

the employee)

BUT! Make sure the information YOU provide to the collection site is correct and up-to-date (This includes info on pre-printed CCFs)

Current Step 1, Part D completed

Common CCF Error - #2Bottle seals being dated, and initialed, while still being affixed to CCF

(That’s a no-no!)

Common CCF Error - #3Non-specific “Specimen Bottles Released To” field (e.g. Courier or “Ralph”)

If you see something, say something! (this saying isn’t just for TSA)

• Check ALL CCFs when they come to you– You want to be the protector against the collector. If you

catch CCF errors call/fax/email/run over to the collection site and have them remedy the situation (this is where your affidavit process comes in handy)

• Have performance/quality incentives in place with vendors– Vendors must create accurate documents (that’s what

you pay them for)– Vendors must ensure that each copy gets to its rightful

owner (i.e. Copy 2 of the CCF to the MRO and Copy 4 to the DER)

Who is Responsible for Errors

• Collector (mistake starts here)• Review by Lab (goes unnoticed)• Review by MRO (still unnoticed)• Review by C/TPA (not caught here, either)• Review by DAPM (files away, error missed)

#6The DAPM

Common DAPM Misunderstandings

– Drug and alcohol time limits for post accidents

– How to correct the use of a non-DOT form for a DOT test

• Provide a signed statement per 40.205(b) (2)• List steps taken to prevent future use on non-DOT

forms• Assure that the specimen was sent to HHS

certified lab

– Password requirement between the transit system and both the MRO and BAT

• Conducting a Return-to-Duty (RTD) test when it should be a Pre-employment test (i.e. the employee has spent 90 days out of random pool)

• 60 minute training requirement (Most employee training we see includes the signs and symptoms of alcohol misuse)

• DAPMs in the random pool (What happens if YOU are selected?)

• Peppering FMCSA regulations into your FTA program (notification letter, policy, PA form, etc.)

• Oversight:–Make sure your

vendors/sub-recipients/contractors are FTA compliant–Do your own internal audit, because you

are responsible for them

Questions