Source: https://dotpart40compliancemanagement.com/tcm-training-support/
Timestamp: 2019-04-25 06:23:42+00:00

Document:
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.
Testing Site Certification. Letters and/emails are sent to testing sites requesting written verification of credentials.
“Testing” The Labs. Urine specimens for this purpose are purchased and sent to labs for processing. Results are collected and tabulated.
Review. Testing sites are sent emails/letters requesting written verification of BAT credentials. § 40.213 What training requirements must STTs and BATs meet?
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).
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?
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.
§ 40.17 LINK http://www.dot.gov/odapc/part40/40_17 Is an employer responsible for obtaining information from its service agents?
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?
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?
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.
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?
§ 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?
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?
Upon notification by client of pending litigation, relevant documentation will be collected and organized. Non-TCM clients pay hourly for Litigation Support.
§ 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?
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.
§40.121 LINK http://www.dot.gov/odapc/part40/40_121 Who is qualified to act as an MRO?
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).
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.
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?
§ 40.207 LINK http://www.dot.gov/odapc/part40/40_207 What is the effect of a cancelled drug 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?
§ 40.277 LINK http://www.dot.gov/odapc/part40/40_277 Are alcohol tests other than saliva or breath permitted under these regulations?
Procedure review as documented on CCF.
§40.67 LINK http://www.dot.gov/odapc/part40/40_67 —Role in directly observed collections.
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?
§ 382.305: LINK http://www.fmcsa.dot.gov/regulations/title49/section/382.305 Random testing.
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?
§ 382.307: LINK http://www.fmcsa.dot.gov/regulations/title49/section/382.307 Reasonable suspicion testing.
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?
§ 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?
Procedure review as documented on CCF. Obtain copies of medical records related to evaluation and treatment.
§ 40.171 LINK http://www.dot.gov/odapc/part40/40_171 How does an employee request a 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?
§ 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?

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