Total Compliance Management Services

Thirty Five Compliance Management Services

Supporting DOT Part 40 Regulations - Drug and Alcohol Use

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

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.

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?

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 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 What is the effect of a cancelled alcohol test?  § 40.275 What is the effect of procedural problems that are not sufficient to cancel an alcohol test?    § 40.208 What problem requires corrective action but does not result in the cancellation of a test?  § 40.209 What procedural problems do not result in the cancellation of a test and do not require corrective action?   §40.267 Cancellation of alcohol tests. § 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 (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 Must service agents comply with DOT drug and alcohol testing requirements? § 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 Where does a urine collection for a DOT drug test take place?   §40.43—Steps to prepare and secure collection sites.          § 40.61 What are the preliminary steps in the collection process?           § 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 What records must employers keep?  § 40.349 What records may a service agent receive and maintain?
§ 40.109 What documentation must the laboratory keep, and for how long? § 40.323 May program participants release drug or alcohol test information in connection with legal proceedings? § 40.329 What information must laboratories, MROs, and other service agents release to employees? § 40.333 What records must employers keep? § 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 What confidentiality requirements apply to service agents? §40.321—General confidentiality requirement. §40.327—Confidentiality and release of information. Subpart P – Confidentiality and Release of Information.

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—Actions following report of a dilute specimen. § 40.93 What criteria do laboratories use to establish that a specimen is dilute or substituted? § 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 How are MRO reports of drug results transmitted to the employer?       § 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 How are drug test problems corrected? § 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

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. A recent case cost our client several hundreds of dollars for support – it happens.

15) MIS Report Submission – Report preparation. § 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 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 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—Actions following and consequences of non-fatal flaws in drug tests. §40.275—Actions in “non-fatal flaw” situations in alcohol tests. §40.191 What is a refusal to take a DOT drug test, and what are the consequences? § 40.193 What happens when an employee does not provide a sufficient amount of urine for a drug test? § 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 What happens when an employer receives a report of a dilute specimen? § 40.199 What problems always cause a drug test to be cancelled? § 40.201 What problems always cause a drug test to be cancelled and may result in a requirement for another collection? § 40.203 What problems cause a drug test to be cancelled unless they are corrected? § 40.205 How are drug test problems corrected? § 40.207 What is the effect of a cancelled drug test? § 40.208 What problem requires corrective action but does not result in the cancellation of a test? § 40.261 What is a refusal to take an alcohol test, and what are the consequences? § 40.263 What happens when an employee is unable to provide a sufficient amount of saliva for an alcohol screening test? § 40.265 What happens when an employee is unable to provide a sufficient amount of breath for an alcohol test? § 40.267 What problems always cause an alcohol test to be cancelled? § 40.269 What problems cause an alcohol test to be cancelled unless they are corrected? § 40.271 How are alcohol testing problems corrected? § 40.273 What is the effect of a cancelled alcohol test? § 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—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 What steps must operators of collection sites take to protect the security and integrity of urine collections? § 40.173 Who is responsible for paying for the test of a split specimen? § 40.223 What steps must be taken to protect the security of alcohol testing sites? § 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: 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: 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: 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 What is a refusal to take a DOT drug test, and what are the consequences? § 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: Reasonable suspicion testing.

29) Return To Duty Monitoring – MRO monitoring and verification. Review random pool lists and testing records. § 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 § 40.285 When is a SAP evaluation required? § 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 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 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 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 How does an employee request a test of a split specimen? § 40.173 Who is responsible for paying for the test of a split specimen? § 40.175 What steps does the first laboratory take with a split specimen? § 40.23 What actions do employers take after receiving verified test results? §40.187—Action concerning split specimen test results. § 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 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 May an employer stand down an employee before the MRO has completed the verification process? § 40.137 On what basis does the MRO verify test results involving marijuana, cocaine, amphetamines, or PCP?  § 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 May the MRO change a verified drug test result? § 40.155 What does the MRO do when a negative or positive test result is also dilute? § 40.163 How does the MRO report drug test results? § 40.167 How are MRO reports of drug results transmitted to the employer? § 40.293 What is the SAP’s function in conducting the initial evaluation of an employee?

 

Compliance Management Services includes all 35 services listed above for a fixed price per random pool member. Price, pennies a day, is dependent on volume – the number of employees in a DOT and Non-DOT pool. Other compliance management related services, i.e., Supervisor Training, Post Accident, Reasonable Suspicion, Follow-up and Pre – Employment drug screens are available at additional cost. Collection costs can vary significantly dependent on service provider and are not included in fixed monthly charge.

 

Copyright © 2015 Health Enhancement Center

Health Enhancement Center
8615 Commerce Drive
Easton, MD 21601
Jim Proctor, President
410-822-8690 (office)
410-822-9434 (fax)

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