Source: https://dotpart40compliancemanagement.com/tcm-training-support/?unapproved=13909&moderation-hash=0592441750dcb4985795dfd25f88b1f4
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Document Index: 443523812

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TCM Training Support – A WordPress Site
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?
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?
§ 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
§ 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?
§ 40.207 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?
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
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.
32) Shy-Lung Event Management
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?
§ 40.175 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
35) Employers Actions Following Positive Test
Provide guidance in accordance with the following:
§ 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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