TCM Training Support

TCM Training

2015-05-04

 

SECTION 1.        Compliance Management Services – HEC RESPONSIBILITIES.

HEC agrees to provide the following Compliance Management services for the benefit of Employer. Compliance Management is “EVENT” management. TITLE 49: TRANSPORTATION, PART 40 – PROCEDURES FOR TRANSPORTATION WORKPLACE DRUG AND ALCOHOL TESTING PROGRAMS specifies that these events be managed by the Employer. We have referenced the Sections and Sub-Sections of Part 40 to better define services that help document these events. Refer to DOT Part 40 and/or contact your HEC Account Manager for additional explanation.

1)     Alcohol Testing Management

Testing Site Certification. Letters and/emails are sent to testing sites requesting written verification of credentials.

Subpart K – Testing Sites, Forms, Equipment and Supplies Used in Alcohol Testing    LINK     http://www.dot.gov/odapc/part40/40_231;

LINK  § 40.221 Where does an alcohol test take place? LINK  http://www.dot.gov/odapc/part40/40_221   

§ 40.225 What form is used for an alcohol test?  LINK     http://www.dot.gov/odapc/part40/40_225 

§ 40.227  LINK  May employers use the ATF for non-DOT tests, or non-DOT forms for DOT tests?  LINK  http://www.dot.gov/odapc/part40/40_227– See more at: LINK  http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.229  LINK  What devices are used to conduct alcohol screening tests?Q&A  LINK  Section 40.229 Questions and Answers – See more at: LINK  http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.231  LINK  What devices are used to conduct alcohol confirmation tests? Q&A LINK  Section 40.231 Questions and Answer – See more at: LINK  http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.233  LINK  What are the requirements for proper use and care of EBTs? – See more at: LINK  http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.235  LINK What are the requirements for proper use and care of ASDs? – See more at: LINK  http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf 

2)     Blind Specimen Testing

“Testing” The Labs. Urine specimens for this purpose are purchased and sent to labs for processing. Results are collected and tabulated.

§40.103–40.105—Blind specimen requirements.

LINKs    http://www.dot.gov/odapc/part40/40_103 ; http://www.dot.gov/odapc/part40/40_105

3)     Breath Alcohol Technician (BAT) Personnel Qualification

Review. Testing sites are sent emails/letters requesting written verification of BAT credentials. § 40.213   What training requirements must STTs and BATs meet?

LINK  http://www.dot.gov/odapc/part40/40_213

4)     Cab Packs

Cab packs are prepared and given to employer to distribute. There are several Sections and Sub-sections of Part 40 that direct the employer to provide information describing the employer, employee, MRO, test specifics, etc. The Chain of Custody (CCF) and Alcohol Testing Form (ATF) are completed and provided. These forms are to be carried in the vehicle (cab).

5)     Cancellation Management

Drug and Alcohol Testing. Written verification of test cancellations are obtained and filed.

§ 40.273   LINK   http://www.dot.gov/odapc/part40/40_273  What is the effect of a cancelled alcohol test?

§ 40.275   LINK   http://www.dot.gov/odapc/part40/40_275  What is the effect of procedural problems that are not sufficient to cancel an alcohol test?

§ 40.208 LINK  http://www.dot.gov/odapc/part40/40_208   What problem requires corrective action but does not result in the cancellation of a test?

§ 40.209  LINK   http://www.dot.gov/odapc/part40/40_209  What procedural problems do not result in the cancellation of a test and do not require corrective action?

§40.267  LINK   http://www.dot.gov/odapc/part40/40_267   Cancellation of alcohol tests.

§ 40.161   LINK   http://www.dot.gov/odapc/part40/40_161   What does the MRO do when a drug test specimen is rejected for testing?     

6)     Certified Labs By State

Monitor Lab Utilization. List of certified labs is maintained and used to verify utilization. The HHS web site LINK  (http://www.workplace.samhsa.gov) contains a list by state of certified labs. The employer is responsible for service agent performance to include the use of certified labs.

Subpart Q – Roles and Responsibilities of Service Agents:

§ 40.341  LINK Must service agents comply with DOT drug and alcohol testing requirements? – See more at: LINK  http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.343  LINK  What tasks may a service agent perform for an employer? – See more at: LINK  http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.345  LINK  In what circumstances may a C/TPA act as an intermediary in the transmission of drug and alcohol testing information to employers? – See more at: http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf Q&A LINK Section 40.345 Questions and Answers

§ 40.347What functions may C/TPAs perform with respect to administering testing? – See more at: LINK  http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.349What records may a service agent receive and maintain? – See more at: LINK  http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.351What confidentiality requirements apply to service agents? – See more at: LINK   http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.353What principles govern the interaction between MROs and other service agents? – See more at: LINK  http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.355What limitations apply to the activities of service agents? – See more at: LINK  http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.17   LINK   http://www.dot.gov/odapc/part40/40_17   Is an employer responsible for obtaining information from its service agents?

7)     Collection Site Review

Collector Credential Check. Letters and/emails are sent to testing sites requesting written verification of credentials.

§ 40.41   LINK   http://www.dot.gov/odapc/part40/40_41   Where does a urine collection for a DOT drug test take place?

§40.43 LINK   http://www.dot.gov/odapc/part40/40_43  —Steps to prepare and secure collection sites.  

§ 40.61  LINK   http://www.dot.gov/odapc/part40/40_61  What are the preliminary steps in the collection process?

§ 40.67   LINK   http://www.dot.gov/odapc/part40/40_67   When and how is a directly observed collection conducted?

8)     Employer Compliance Responsibilities

Employers are provided with briefings regarding  Part 40 responsibilities

 9)     Compliance Records Check for New Employees

Employers provide names of prospective new hires to include prior employment records. Past employers are sent emails/letters/fax requesting verification of compliance.

§ 40.333   LINK   http://www.dot.gov/odapc/part40/40_333  What records must employers keep?

§ 40.349   LINK   http://www.dot.gov/odapc/part40/40_349   What records may a service agent receive and maintain?
§ 40.109  LINK   http://www.dot.gov/odapc/part40/40_109  What documentation must the laboratory keep, and for how long?

§ 40.323   LINK   http://www.dot.gov/odapc/part40/40_323    May program participants release drug or alcohol test information in connection with legal proceedings?

§ 40.329   LINK   http://www.dot.gov/odapc/part40/40_329   What information must laboratories, MROs, and other service agents release to employees?

§ 40.333  LINK   http://www.dot.gov/odapc/part40/40_333  What records must employers keep?

§ 40.349   LINK   http://www.dot.gov/odapc/part40/40_349    What records may a service agent receive and maintain?

10) Confidentiality Management

Document management procedures are reviewed. File storage and access procedures are reviewed. Employers are instructed as to when and how compliance information is shared.

§ 40.351   LINK   http://www.dot.gov/odapc/part40/40_351   What confidentiality requirements apply to service agents?

§40.321 LINK   http://www.dot.gov/odapc/part40/40_321   —General confidentiality requirement.

§40.327  LINK   http://www.dot.gov/odapc/part40/40_327 —Confidentiality and release of information.

Subpart P – Confidentiality and Release of Information:

§ 40.321What is the general confidentiality rule for drug and alcohol test information? – See more at: http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.323May program participants release drug or alcohol test information in connection with legal proceedings? – See more at: http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.327When must the MRO report medical information gathered in the verification process? – See more at: http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.329What information must laboratories, MROs, and other service agents release to employees?Q&ASection 40.329 Questions and Answers – See more at: http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.331To what additional parties must employers and service agents release information? – See more at: http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.333What records must employers keep?Q&ASection 40.333 Questions and Answers – See more at: http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

 

11) Dilute Specimen Management

Procedures for managing and documenting dilute specimens are reviewed and their occurrence documented. Dilute specimen. A urine specimen with creatinine and specific gravity values that are lower than expected for human urine.

§40.197 LINK   http://www.dot.gov/odapc/part40/40_197 —Actions following report of a dilute specimen.

§ 40.93   LINK   http://www.dot.gov/odapc/part40/40_93   What criteria do laboratories use to establish that a specimen is dilute or substituted?

§ 40.155   LINK   http://www.dot.gov/odapc/part40/40_155   What does the MRO do when a negative or positive test result is also dilute?

12)  Drug Testing Management

Review of MRO procedures

§ 40.167   LINK   http://www.dot.gov/odapc/part40/40_167   How are MRO reports of drug results transmitted to the employer?

§ 40.163   LINK   http://www.dot.gov/odapc/part40/40_163   How does the MRO report drug test results?

13)  Forms Management

Review of each event in the collection and testing process and verification of correct form usage.

§ 40.205   LINK   http://www.dot.gov/odapc/part40/40_205   How are drug test problems corrected?

§ 40.227   LINK   http://www.dot.gov/odapc/part40/40_227   May employers use the ATF for non-DOT tests, or non-DOT forms for DOT tests?

Subpart D – Collection Sites, Forms, Equipment and Supplies Used in DOT Urine Collections

§ 40.41Where does a urine collection for a DOT drug test take place? – See more at: http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.43What steps must operators of collection sites take to protect the security and integrity of urine collections? – See more at: http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf Q&A  Section 40.43 Questions and Answers

§ 40.45What form is used to document a DOT urine collection?Q&ASection 40.45 Questions and Answers – See more at: http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.47May employers use the CCF for non-Federal collections or non-Federal forms for DOT collections? – See more at: http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.49What materials are used to collect urine specimens? – See more at: http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

§ 40.51What materials are used to send urine specimens to the laboratory? – See more at: http://www.dot.gov/odapc/part40#sthash.VmYqo4ef.dpuf

14)  Litigation Support

Upon notification by client of pending litigation, relevant documentation will be collected and organized. Non-TCM clients pay hourly for Litigation Support. 

15)  MIS Report Submission

Report preparation.

§ 40.26   LINK   http://www.dot.gov/odapc/part40/40_26   What form must an employer use to report Management Information System (MIS) data to a DOT agency?

16)  Monitored Collection Management

Review collection procedures as reported on each Chain of Custody (CCF).

§ 40.69     LINK   http://www.dot.gov/odapc/part40/40_69  How is a monitored collection conducted? §40.69—Role in monitored collections.

17)  MRO Credential Verification

Letters and/emails are sent to MRO requesting written verification of credentials. Subpart G – Medical Review Officers and the Verification Process  

§40.121  LINK   http://www.dot.gov/odapc/part40/40_121  Who is qualified to act as an MRO?

18)  MRO Services

For Negative and Positive Lab Results as set forth under “MRO Responsibilities”. TCM clients receive MRO services regardless of who is used to collect specimens or function as a Third Party Administrator (TPA).

19)  Needs Assessment and Program Design

Discussions/meetings with new clients to determine compliance program needs. Every client has a unique set of circumstances that affect the structure and management of their substance abuse prevention program. HEC acknowledges this and works to understand and document those differences and then reflect those differences in the design and development of policy and procedures. The client’s written policy documents the unique requirements of each client.

20)  Non-Fatal Flaws Management, Drug and Alcohol Testing Problem Correction

Letters/emails, fax to service providers requesting clarification and corrective action as necessary.

§40.209  LINK   http://www.dot.gov/odapc/part40/40_209  —Actions following and consequences of non-fatal flaws in drug tests.

§40.275  LINK   http://www.dot.gov/odapc/part40/40_275  —Actions in “non-fatal flaw” situations in alcohol tests.

§40.191  LINK   http://www.dot.gov/odapc/part40/40_191   What is a refusal to take a DOT drug test, and what are the consequences?

§ 40.193   LINK   http://www.dot.gov/odapc/part40/40_193   What happens when an employee does not provide a sufficient amount of urine for a drug test?

§ 40.195   LINK   http://www.dot.gov/odapc/part40/40_195   What happens when an individual is unable to provide a sufficient amount of urine for a pre-employment follow-up or return-to-duty test because of a permanent or long-term medical condition?

§ 40.197   LINK   http://www.dot.gov/odapc/part40/40_197   What happens when an employer receives a report of a dilute specimen?

§ 40.199  LINK   http://www.dot.gov/odapc/part40/40_199  What problems always cause a drug test to be cancelled?

§ 40.201  LINK   http://www.dot.gov/odapc/part40/40_201  What problems always cause a drug test to be cancelled and may result in a requirement for another collection?

§ 40.203   LINK   http://www.dot.gov/odapc/part40/40_203   What problems cause a drug test to be cancelled unless they are corrected?

§ 40.205  LINK   http://www.dot.gov/odapc/part40/40_205  How are drug test problems corrected?

§ 40.207   LINK   http://www.dot.gov/odapc/part40/40_207   What is the effect of a cancelled drug test?

§ 40.208  LINK   http://www.dot.gov/odapc/part40/40_208  What problem requires corrective action but does not result in the cancellation of a test?

§40.261   LINK   http://www.dot.gov/odapc/part40/40_261  What is a refusal to take an alcohol test, and what are the consequences?

§ 40.263  LINK   http://www.dot.gov/odapc/part40/40_263   What happens when an employee is unable to provide a sufficient amount of saliva for an alcohol screening test?

§ 40.265  LINK   http://www.dot.gov/odapc/part40/40_265   What happens when an employee is unable to provide a sufficient amount of breath for an alcohol test?

§ 40.267   LINK   http://www.dot.gov/odapc/part40/40_267   What problems always cause an alcohol test to be cancelled?

§ 40.269   LINK   http://www.dot.gov/odapc/part40/40_269   What problems cause an alcohol test to be cancelled unless they are corrected?

§ 40.271 LINK   http://www.dot.gov/odapc/part40/40_271    How are alcohol testing problems corrected?

§ 40.273   LINK   http://www.dot.gov/odapc/part40/40_273   What is the effect of a cancelled alcohol test?

§ 40.277  LINK   http://www.dot.gov/odapc/part40/40_277   Are alcohol tests other than saliva or breath permitted under these regulations?

21)  Observed Collection Management

Procedure review as documented on CCF.

§40.67  LINK   http://www.dot.gov/odapc/part40/40_67 —Role in directly observed collections.

 22)  Policy Adoption and Employee Acceptance

Follow-up to determine policy distribution and obtain copies of employee acceptance forms. TCM clients are provided with written policy including the review of existing policy. 

§ 40.43   LINK   http://www.dot.gov/odapc/part40/40_43  What steps must operators of collection sites take to protect the security and integrity of urine collections?

§ 40.173   LINK   http://www.dot.gov/odapc/part40/40_173   Who is responsible for paying for the test of a split specimen?

§ 40.223   LINK   http://www.dot.gov/odapc/part40/40_223 What steps must be taken to protect the security of alcohol testing sites?

§ 40.21  LINK   http://www.dot.gov/odapc/part40/40_21   May an employer stand down an employee before the MRO has completed the verification process?

23)  Post-Accident Testing Management

Procedure review as documented on CCF. Obtain copies of all documentation. FMCSA Part 382 CONTROLLED SUBSTANCES AND ALCOHOL USE AND TESTING

§ 382.303:   LINK   http://www.fmcsa.dot.gov/regulations/title49/section/382.303 Post-accident testing

24)  Random Pool Management

Contact with employer to ensure accurate maintenance of random pool membership. Distribution of quarterly random testing lists. Recording of all test results. Verification of yearly random rates.  FMCSA Part 382 CONTROLLED SUBSTANCES AND ALCOHOL USE AND TESTING

§ 382.305: LINK   http://www.fmcsa.dot.gov/regulations/title49/section/382.305  Random testing.

25)  Random Rates

All DOT Modes – Monitor changes issued by DOT.  FMCSA Part 382 CONTROLLED SUBSTANCES AND ALCOHOL USE AND TESTING

§ 382.305: LINK   http://www.fmcsa.dot.gov/regulations/title49/section/382.305  Random testing.

26)  Records System Management

Insuring that clients maintain a separate record keeping system to track compliance management. Employer Client site visits to review records management procedures.

 27)  Refusal To Provide Specimen Procedures Review – Procedure review as documented on CCF.

§ 40.191   LINK  http://www.dot.gov/odapc/part40/40_191   What is a refusal to take a DOT drug test, and what are the consequences?  

§ 40.261     LINK   http://www.dot.gov/odapc/part40/40_261  What is a refusal to take an alcohol test, and what are the consequences?

28)  Reasonable Suspicion Testing Management

Procedure review as documented on CCF and contemporaneous notes. FMCSA Part 382 CONTROLLED SUBSTANCES AND ALCOHOL USE AND TESTING

§ 382.307: LINK   http://www.fmcsa.dot.gov/regulations/title49/section/382.307   Reasonable suspicion testing.

29)  Return To Duty Monitoring

MRO monitoring and verification. Review random pool lists and testing records.

§ 40.293  LINK  http://www.dot.gov/odapc/part40/40_293  What is the SAP’s function in conducting the initial evaluation of an employee?

30)  SAP Counseling Management

Maintain copies of SAP documentation

§ 40.21      LINK  http://www.dot.gov/odapc/part40/40_21  When is a SAP evaluation required?

§ 40.287     LINK   http://www.dot.gov/odapc/part40/40_287 What information is an employer required to provide concerning SAP services to an employee who has a DOT drug and alcohol regulation violation?

§ 40.289     LINK   http://www.dot.gov/odapc/part40/40_289  Are employers required to provide SAP and treatment services to employees?

31)  Shy Bladder Event Management

Procedure review as documented on CCF. Obtain copies of medical records related to evaluation and treatment.

§ 40.193     LINK   http://www.dot.gov/odapc/part40/40_193   What happens when an employee does not provide a sufficient amount of urine for a drug test?

32)  Shy-Lung Event Management

Procedure review as documented on CCF. Obtain copies of medical records related to evaluation and treatment.

§ 40.265     LINK   http://www.dot.gov/odapc/part40/40_265   What happens when an employee is unable to provide a sufficient amount of breath for an alcohol test?

33)  Split Specimen Testing Management

Procedure review as documented on CCF. Subpart H – Split Specimen Tests

§ 40.171      LINK  http://www.dot.gov/odapc/part40/40_171   How does an employee request a test of a split specimen?

§ 40.173      LINK  http://www.dot.gov/odapc/part40/40_173  Who is responsible for paying for the test of a split specimen?

§ 40.175      LINK  http://www.dot.gov/odapc/part40/40_175  What steps does the first laboratory take with a split specimen?

§ 40.23      LINK  http://www.dot.gov/odapc/part40/40_23   What actions do employers take after receiving verified test results?

§40.187    LINK  http://www.dot.gov/odapc/part40/40_187 —Action concerning split specimen test results.

§ 40.183     LINK   http://www.dot.gov/odapc/part40/40_183  What information do laboratories report to MROs regarding split specimen results?

34)  Stand-Down Policy

Assist in policy development and DOT acceptance

§ 40.21      LINK  http://www.dot.gov/odapc/part40/40_21   May an employer stand down an employee before the MRO has completed the verification process?

35) Employers Actions Following Positive Test

Provide guidance in accordance with the following:

§ 40.21     LINK   http://www.dot.gov/odapc/part40/40_21  May an employer stand down an employee before the MRO has completed the verification process?

§ 40.137     LINK  http://www.dot.gov/odapc/part40/40_137   On what basis does the MRO verify test results involving marijuana, cocaine, amphetamines, or PCP?

§40.133      LINK  http://www.dot.gov/odapc/part40/40_133  Without interviewing the employee, under what circumstances may the MRO verify a test result as positive, or as a refusal to test because of adulteration or substitution, or as cancelled because the test was invalid?

§ 40.149      LINK  http://www.dot.gov/odapc/part40/40_149  May the MRO change a verified drug test result?

§ 40.155      LINK  http://www.dot.gov/odapc/part40/40_155  What does the MRO do when a negative or positive test result is also dilute?

§ 40.163     LINK   http://www.dot.gov/odapc/part40/40_163  How does the MRO report drug test results?

§ 40.167      LINK  http://www.dot.gov/odapc/part40/40_167  How are MRO reports of drug results transmitted to the employer?

§ 40.293     LINK   http://www.dot.gov/odapc/part40/40_293  What is the SAP’s function in conducting the initial evaluation of an employee?

 

Copyright © 2015 Health Enhancement Center

Health Enhancement Center
8615 Commerce Drive
Easton, MD 21601
Jim Proctor, President
410-822-8690 (office)
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