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Omnibus Transportation Employee Testing Act (OTETA). A Basic Course in DOT Drug & Alcohol Testing Programs Dr. Donna Smith FirstLab, Inc. www.firstlab.com. History & Rationale.

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omnibus transportation employee testing act oteta

Omnibus Transportation Employee Testing Act (OTETA)

A Basic Course in DOT Drug & Alcohol Testing Programs

Dr. Donna Smith

FirstLab, Inc.

www.firstlab.com

history rationale
History & Rationale
  • 1991 Omnibus Transportation Employee Testing Act mandated drug and alcohol testing for all Commercial Driver’s Licensed (CDL) employees
  • Requirements for testing are detailed in FMCSA regulation 49 CFR Part 382 and the procedures for conducting the testing are found in 49 CFR Part 40
  • OTETA was aimed at preventing illicit drug use and alcohol misuse by employees in public transportation occupations to promote and protect public safety
program basics
Program Basics
  • Each employer must:
    • Have a written substance abuse policy
    • Appoint a Designated Employer Representative (DER)
    • Conduct required drug and alcohol testing in accordance with Part 40 procedures
    • Conduct Reasonable Suspicion Training for supervisors
    • Provide drug and alcohol education materials or training for all CDL employees
    • Maintain records and documents as required by DOT regulations
    • Conduct a check for previous drug and alcohol violations with prior employers for all CDL applicants
substance abuse policy
Substance Abuse Policy
  • Identify prohibited drug and alcohol-related conduct
  • Explain drug and alcohol testing requirements and testing procedures
  • Define safety-sensitive duty and positions
  • State consequences and disciplinary actions for violation of policy
  • Provide a copy of the policy to each employee and maintain documentation that employee has received and understands the policy
designated employer representative der
Designated Employer Representative (DER)
  • Serves as point of contact for the testing program
  • Receives test results from the Medical Review Officer and Breath Alcohol Technician (BAT)
  • Ensures that drivers who violate the policy are removed from driving duties and meet return to duty requirements, if they return to work
  • Ensures that drivers are in a random testing pool
dot testing procedures
DOT Testing Procedures
  • 49 CFR Part 40
  • Applies to Employers. Employees, Service Agents
  • Specimen Collection, Laboratory analysis, MRO, Alcohol Testing
  • SAP and Return to Duty Process
  • TPA functions
  • Confidentiality and Release of Information
reasonable suspicion training
Reasonable Suspicion Training
  • Required for all supervisors of CDL employees
  • Minimum of 2 hours
    • Signs and symptoms of drug/alcohol misuse
    • Criteria for reasonable suspicion testing
    • Procedures for documenting R/S testing and getting employee tested
  • Training can be classroom, video, computer-based
employee drug and alcohol awareness information
Employee Drug and Alcohol Awareness Information
  • Educational materials or training classes must be provided to all CDL employees
  • Information must include:
    • Prohibited conduct
    • Testing requirements and procedures
    • Consequences and disciplinary actions
    • Employee rights and responsibilities in testing program
    • Alcohol and drug abuse awareness information
    • Information on getting help with a substance abuse problem
  • Employee must sign acknowledgment of receipt of information/materials
dot employee booklet
DOT Employee Booklet

Available at www.dot.gov/ost/dapc

record keeping
Record Keeping
  • Employers or their TPA must keep extensive records
    • Test results, including CCFs
    • Random testing documents
    • P/A and R/S testing documentation
    • Prior Employer checks
    • Supervisor and employee training records
    • SAP & RTD documents
check for previous drug alcohol violations
Check for Previous Drug & Alcohol Violations
  • Required at time of application or transfer to a CDL position
  • Applicant must sign release, identifying employers in past 2 years
  • Prospective employers must contact prior employers, provide signed release and request info on D & A violations
  • If previous employers report a DOT violation and applicant is hired, new employer must ensure SAP process is complete and FU testing is conducted
fmcsa 49 cfr part 382
FMCSA 49 CFR Part 382
  • Safety-sensitive positions: CDL drivers
  • Pre-employment, reasonable suspicion, post-accident, random, return to duty and Follow-up testing
    • For pre-employment only a drug test is required
  • 24 out-of-service for 0.02—0.039 BrAC
pre employment test
Pre-employment Test
  • Negative result on a PE drug test required
    • Applies to employees transferring into a CDL position, as well as new-hires
    • PE test exception allowed if applicant has been in a DOT testing program with a prior employer for past 12 mos.
  • Applicants who are positive or refuse to test cannot be hired and must be provided SAP referral information
    • If reapplication is allowed, completion of SAP process must be documented
reasonable suspicion testing
Reasonable Suspicion Testing
  • Based on the observations of a supervisor who has completed R/S training
  • Supervisor’s observations must be documented on a form or written report
  • R/S tests must be completed ASAP after decision to test is made
    • If both alcohol and drug tests are indicated, the alcohol test should be conducted first
  • Employee should be escorted to testing site
  • Employee should not be permitted to return to work after testing; transportation home should be offered
    • RTW only after test results are received
post accident testing
Post-Accident Testing
  • Post-Accident testing required if:
    • Fatality
    • Driver citied for violation and
      • Injuries requiring medical treatment away from scene, or
      • Disabling damage to vehicle requiring towing
  • Law enforcement P/A tests can be used in lieu of employer’s test
  • Post-accident tests must be conducted ASAP
    • Alcohol—within 2 hrs, if longer must document and complete by 8 hrs
    • Drug—ASAP—but within 32 hrs.
random testing
Random Testing
  • Selection for random testing must use a scientifically valid random number selection process
  • Selections must be made at least 4 times per year and spread reasonable throughout the year
  • All CDL drivers must be in the random pool from which selections are made
  • Once notified of selection for random test, the driver must proceed immediately to complete the test
  • Number of random drug tests conducted must be at least 50% of CDL population; random alcohol tests must be at least 10%
  • If a selected driver is not available for testing during the selection period (month, quarter, etc.), the reason for not testing must be documented
    • If alternates were selected, they may be tested instead of unavailable drivers
  • If drivers are removed from the random pool for more than 30 days, they must have a pre-employment drug test when they return to driving duties
  • If a test result is cancelled, the test does not count toward the annual percentage.
return to duty and follow up testing
Return to Duty and Follow-up Testing
  • Occur only when there has been a DOT violation (positive, refusal to test, etc.)
  • RTD test conducted after SAP has provided follow-up evaluation report stating that employee has complied with treatment requirements
  • Follow-up testing determined by SAP
    • Begins when employee returns to safety-sensitive duties
    • Minimum of 6 FU tests in first 12 months after return to duty
    • FU testing may extend for up to 60 months as ordered by SAP
    • Number of tests and duration of testing determined by SAP
    • Employer sets schedule for “no notice” FU tests
    • Employee is also in CDL random pool
urine specimen collection
Urine Specimen Collection
  • All DOT tests require:
    • Use of Federal custody and control form (CCF)
    • Split specimen collection
    • Shy bladder procedure for inability to provide specimen
  • Direct observation collections required in specific circumstances
    • Specimen temperature out-of range
    • Specimen suspected of adulteration
    • Previous test canceled because specimen invalid
    • Previous test canceled because split not available
    • Previous test “very” dilute—creatinine 2-5
urine specimen collection ii
Urine Specimen Collection II
  • Collectors must complete training and proficiency demonstration
  • Supervisors of employees should not act as collectors
  • Most collections conducted at laboratory patient service centers (PSC) or medical clinics (3rd Party sites)
  • Specimens packaged in specimen bottles, sealed, and placed in plastic bag with CCF
  • Collector must distribute CCF copies to MRO, employer, and donor
laboratory analysis
Laboratory Analysis
  • DOT testing must be conducted at a DHHS/SAMHSA certified laboratory
  • Screening test conducted using immunoassay
  • Confirmation required for all positive screens using GC/MS
  • Cut-off levels establish positive result (ng/mL)
  • Laboratories authorized to conduct specimen validity testing
  • Laboratories must review CCF for flaws prior to testing specimen
specimen validity testing
Specimen Validity Testing
  • Creatinine & Specific Gravity
    • Dilute--creatinine <20; SG <1.0030
      • “Ultra-dilute”—2-5 creatinine
    • Substituted—creatinine <2; SG <1.0010 or >1.0200
  • Adulterated
    • Ph: Acid or base added (<3 or >11)
    • Nitrites >500 mcg
    • Specific substance added (soap. bleach, etc)
  • Invalid
    • Interfering substance but cannot identify it
    • Medication interference
drugs detected
Drugs Detected
  • THC
    • Metabolite of marijuana and cannabis products
  • Cocaine
    • Benzaegoline is metabolite of cocaine, including crack
  • Amphetamines
    • Amphetamine and methamphetamine (MDMA—Ecstasy)
  • Opiates
    • Morphine, codeine, and heroin (6AM)
  • PCP
    • Phencyclidine (Angel Dust)
urine testing facts
Urine Testing Facts
  • Positive does not establish impairment or intoxication
  • All drugs except THC are only detected in urine 2-3 days after use
  • THC can be detected in urine up to 20 days after use for chronic, regular user
  • Over half of all positives are for THC
  • Cut-off levels rule out passive inhalation or “incidental exposure” causes
  • Laboratories must report results to MRO, not employer or TPA
medical review officer
Medical Review Officer
  • MROs must be physicians who have special MRO certification
  • All results must be verified by MRO prior to release to employer or TPA
  • Must have CCF copy from collection site prior to reporting results
  • Non-negative results must have donor interview with MRO prior to verification
  • MRO cannot give employer (or TPA) any information prior to final verification of result
mro results
MRO Results
  • Negative—No drugs present above cut-off level
  • Negative Dilute—No drugs present above cut-off level and low specific gravity & creatinine
  • Positive—Drugs present and no medical explanation
  • Refusal to Test—Adulterated (contains exogenous substance or excessive level of endogenous substances) or Substituted (SG & creatinine not consistent with human urine)
  • Canceled Test—Invalid specimen, flawed collection/specimen, Shy bladder with medical explanation
mro safety concern
MRO Safety Concern
  • Issued by MRO when laboratory positive drug test is due to use of a prescribed or medically administered drug and MRO believes:
    • Use of prescribed medication poses a significant safety risk, or
    • Medical condition for which medication is prescribed may pose a significant safety risk
  • Test result will be reported as “Negative” with MRO comment of a safety concern
  • Employee is informed by MRO that safety concern is being reported to employer
mro notice to donor
MRO Notice to Donor
  • MRO notifies donor that he/she can submit (within 5 days) documentation from prescribing physician that demonstrates:
    • Medication has been discontinued, or
    • changed to one that does not cause concern
  • If MRO receives such documentation, employer will be notified that safety concern is removed
employer actions on mro safety concern
Employer Actions on MRO Safety Concern
  • Options for resolving safety-concerns
    • Have prescribing physician provide statement that employee is able to perform safety-sensitive duties while taking medications
    • Have employee undergo “fitness for duty” evaluation by employer designated physician
  • Important for employer to have medication policy and procedures in place
  • MRO cannot make “fitness for duty” recommendation based on donor interview and urine drug test result
split specimens
Split Specimens
  • MRO must offer split specimen analysis to any donor with a positive, adulterated or substituted result
  • Employee cannot be required to pre-pay for split analysis
  • Employee has 72 hrs to decide if he/she wants split analyzed
  • MRO processes split request in writing to laboratory
  • Split musty be tested at a different SAMHSA certified laboratory
  • Split results reported to MRO
  • Employee must be removed from duty based on primary specimen result; cannot delay removal pending split outcome
split specimen outcomes
Split Specimen Outcomes
  • Result reconfirmed
    • Drugs present at limit of detection
    • Adulteration & substitution criteria met
  • Failed to Reconfirm
    • Drugs not detected
    • Adulteration or substitution criteria not met
    • Split specimen not available or not suitable for testing
alcohol testing
Alcohol Testing
  • Pre-employment alcohol testing not required
  • 0.04 or greater BrAC is a rule violation (positive test)
  • 0.02—0.039 BrAC requires temporary removal from safety-sensitive duty
  • Screening test uses breath or saliva specimen
  • Confirmation test required within 30 minutes of >0.02 screening result
    • Confirmation must be an evidential breath test (EBT)
alcohol testing ii
Alcohol Testing II
  • Tests must be conducted by trained technicians (STTs or BATs)
  • DOT Alcohol Test Form (ATF) must be used for all DOT tests
  • BAT notifies employer or TPA of result (no MRO review of alcohol test results)
  • EBT detects only ethanol
  • Waiting period (15—30 min) between screen and confirmation test eliminates “mouth alcohol”
  • Procedures for “shy lung” or inability to complete test
third party administrator tpa
Third Party Administrator (TPA)
  • Service agent for employers in implementing testing programs
  • Can maintain all records for employer
  • Can perform all tasks except DER, medical review and laboratory functions
  • TPA must conform to Part 40 and DOT agency rules
sap return to duty
SAP & Return To Duty
  • Employers must provide SAP information to all individuals who violate DOT rules, even if they terminate employment
  • Employees cannot return to duty unless they have:
    • Been evaluated by a SAP
    • Complied with recommended treatment/rehab
    • Undergone a follow-up evaluation by the SAP
    • Passed a return to duty test
    • Been prescribed a follow-up testing program (at least 6 tests in first 12 months)
significant compliance issues
Significant Compliance Issues
  • Random testing
    • Must do random selections at least quarterly
    • Must document reasons for not testing selected employees
    • Must complete tests within testing period
    • Cancelled and “late” tests do not count toward percentage
    • Cannot “discontinue” random testing once the required percentage is achieved
    • Must update random pool to include all safety-sensitive employees
significant compliance issues37
Significant Compliance Issues
  • MIS reports
    • Must provide annual statistical data as required by DOT rule
    • Jan-Dec calendar year
  • Pre-employment tests on all s-s employees before they are hired or perform s-s duties
  • Prior Violations check ( 2yrs) on all new hires
  • Post-accident testing documentation on all qualifying accidents
    • Including missed and delayed alcohol and drug tests
commonly asked questions
Commonly Asked Questions
  • What does a “pending” test result mean?
  • What do I do about a negative-dilute?
  • Can I change a non-DOT test to a DOT test?
  • I need a DOT MIS report?
  • What do I do about employees who are laid off or are on WC leave and are on my random list?
  • One of my employees got a DUI. Do I have to remove him from duty?
  • Do I need to do a drug test with my driver’s physical exam?
commonly asked questions39
Commonly Asked Questions
  • My random list is wrong. How do I get a new one?
  • What do I do about an employee who couldn’t provide a urine specimen at the collection site?
  • How do I get a laboratory statistical report?
  • My driver’s random test was reported as canceled. Do I send him in for another test?
  • It’s been five days and I don’t have a test result. Is it pending for the MRO review?
employer guide to dot testing
Employer Guide to DOT Testing

Available at www.dot.gov/ost/dapc

slide41

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