NEW GUIDANCE

FTA Drug and Alcohol Regulation Updates
Issue 28, page 3

     The FTA regulations require that any individual (employee or applicant) who has a positive drug test, a breath alcohol concentration of 0.04 or greater, or refused a test must be provided a list of Substance Abuse Professionals (SAP’s). If the employer has a zero tolerance policy and terminates the employee, the SAP obligation stops at the referral. The employer is not responsible for paying for the assessment or subsequent treatment.
     Most zero tolerance employers have little to no contact with their SAP’s and have no financial obligation or contract. Individuals that may have historically been named as an employer’s SAP have no financial incentive to undergo the required qualifications training or continuing education requirements and thus, are no longer qualified SAP’s. Many employers found through audits, reviews, and self assessments that the individuals that they thought were their SAP’s did not have the appropriate credentials and/or had little interest in being the employer’s SAP. Even systems with second chance policies may have difficulty obtaining a qualified SAP unless there are sufficient numbers of positive tests to justify the SAP’s effort.
     As a result, many systems have found themselves without qualified SAP’s and no means to encourage local professionals to become qualified. One solution to the problem is for zero tolerance systems and small second chance policy systems to identify SAP’s used by larger transit systems or DOT covered employers within their region. The SAP need only be within reasonable proximity to the employer and thus, could be located in the closest large metropolitan community.

Social Security Number on CCF

     The Federal Chain of Custody and Control Form (CCF) includes a field for the employee’s identification number to be completed. The identification number can be any number that uniquely identifies the individual and can be verified. Many employers use employee ID numbers or badge numbers, while others use state issued driver’s license numbers. Most, however, use employee social security numbers.
     Given recent issues and publicity regarding identity theft, many individuals are reluctant to provide their social security numbers on the CCFs. In some cases, employers have interpreted the refusal to provide a social security number as a refusal to test. This practice is inconsistent with Part 40 and should not be continued, even if under company policy, as it adds an additional requirement and has the effect of undermining DOT testing procedures.
     A missing social security number is not listed in Part 40 as a fatal flaw or as one that will cause a test to be cancelled if left uncorrected. The DOT Urine Specimen Collection Guidelines state on page 12, section 5, that the employee’s refusal to provide their social security number is not a refusal to test, but requires the collector to annotate it in the remarks section.
     If possible, employers are encouraged to use identification numbers other than social security numbers. If social security numbers continue to be used, employers should be aware that failure to provide a social security number can not be considered a test refusal.

DOT Validity Test NPRM Expected Soon

     On April 13, 2004, the Substance Abuse and Mental Health Administration (SAMHSA) established standards for determining the validity of urine specimens including specific gravity and creatinine cutoff levels. These standards are consistent with, but not the same as, those published in the DOT Interim Final Rule published on May 28, 2003 (See Updates, Issue 25). Consequently, the DOT is expected to publish a Notice of Proposed Rulemaking (NPRM) and a subsequent final rule making the DOT rule consistent with the SAMHSA standards. The NPRM is expected to be published prior to the end of the year, simultaneously with the DHHS Alternative Testing Final Rule (see article Page 2).

The information presented on this page should be used to update Chapters 7 and 9 of the revised
Implementation Guidelines.