Panhandle Employers Service, Inc. DOT Drug and Alcohol Program Management Table of Contents

Transcription

1 Panhandle Employers Service, Inc. DOT Drug and Alcohol Program Management Table of Contents Implementation... 2 Designated Employer Representative (DER)... 2 Consortium/Third Party Administrator (C/TPA)... 3 Supervisor Training... 3 Testing Requirements... 4 Types of Tests... 5 Drug Pre-employment... 5 Alcohol Pre-employment... 5 Random... 6 Reasonable Suspicion/Reasonable Cause... 7 Post-Accident... 7 Return-to-Duty and Follow-up Notifying Employees of Testing Split Specimens Violation Actions SAP Return-To-Duty Process Drug and Alcohol Previous Employer Checks PES, Inc. Previous Employer Check Service Applicant Packet Employee Assistance Program (EAP) Updated Employee Lists Company Contact Information PES, Inc. Contact Information... 19

2 DOT Drug and Alcohol Program Management Implementation Review your DOT drug and alcohol plan(s). You may amend the disciplinary actions (Appendix C), located on the last page of the plan(s). However, the disciplinary actions must concur with DOT Regulations as well as your company s policy. If you choose to amend the disciplinary actions, you must include the amendments to the disciplinary actions in the back of your DOT Employee Notification/Acknowledgement packet as well. Make the plan(s) available for employees, supervisors, and Designated Employer Representative (DER) to view. Employee Training You must provide employees who perform DOT safety-sensitive functions materials that explain the DOT requirements. You must document that they received the materials. DOT Employee Notification Acknowledgement PES, Inc. has provided you with the training materials for your employees, located in your Plan Manual Packet (disc) under DOT Employee Notification Acknowledgement. Make copies of the notification packet and give them to employees who perform DOT safety-sensitive functions. DOT Employee Notification Receipt and Acknowledgement Form The first page of the DOT Employee Notification Acknowledgement must be signed by each employee that has received the DOT Employee Notification and returned to you to keep in their employee file. All current DOT employees and newly hired DOT employees must to sign the DOT Receipt/Acknowledgement Form to declare that they have received a copy of the drug and alcohol plan. Keep a copy of each signed Receipt/Acknowledgement in your employee files. Note: Disciplinary action must be applied uniformly in all cases; it must be the same for all employees who test positive for drugs or alcohol. Treating employees differently could result in charges of discrimination. Designated Employer Representative (DER) The DER is your key employee for many drug and alcohol program functions. The DER must be a company employee. DERs cannot be contractors or service agents. The only exception is when C/TPAs function as DERs for owner-operators. The DER gets test results and takes immediate action to remove employees from their safetysensitive duties when they violate drug and alcohol testing rules, such as testing positive or refusing a test. A company may have more than one DER to ensure adequate coverage on all shifts and at all locations, with perhaps a drug and alcohol program manager to coordinate the entire program and assure consistency among DERs. The company must give its service agents Panhandle Employers Service, Inc. Page 2 of 19

3 the DER contact information in case they need to speak immediately and directly with the DER. The DER should have knowledge of and authority to make decisions about the testing process and be able to answer questions about it. However, the primary job of the DER is to ensure the appropriate and timely removal of an employee who tests positive or refuses a test from safetysensitive duties. Consortium/Third Party Administrator (C/TPA) Your C/TPA is Panhandle Employers Services, Inc. PES, Inc. contracts with other services agents Medical Review Officer (MRO), laboratory, collectors, breath alcohol technicians (BAT), screening test technicians (STT) and assists you with your DOT drug and alcohol program. PES, Inc. will act as an intermediary in resolving collection site issues. PES, Inc. will use a scientifically valid method of making selections for random testing. PES, Inc. performs random selections quarterly. The PES, Inc. MRO provides test results within 24 hours from the time the specimen has been transported to the lab provided no problems arise from the collection/testing procedure forms completed in correctly by collector, or donor notification by MRO needed, etc. PES, Inc. will assist you if and when you are audited by the DOT. If you are to be audited, please let us know in advance so that we may assist you in preparing for the audit. Even though PES, Inc. will assist you in managing your program, you should take a handson approach. The best practice is to stay in touch with PES, Inc. to make sure we are keeping you in compliance. Another best practice is for you to audit the work of your service agents from time to time. PES, Inc. will audit collection sites and performs blind specimens. These audits are conducted on your behalf if you are a member of PES, Inc. consortium; however, by DOT regulations, you are responsible for this information. Call PES, Inc. on occasion and find out about recent audits of collection sites, your status, etc. PES, Inc. must comply and assist you to make sure your drug and alcohol program is compliant with DOT regulations. Supervisor Training Supervisor and other company officials must have some knowledge of reasonable suspicion and reasonable cause testing. The supervisors must receive one hour of indicators or probable drug use and one hour of indicators of probable alcohol use. The Federal Railroad Administration (FRA) requires supervisors to have at least one hour of post-accident training as well. If you have more than one employee, you must have a trained supervisor. (Example: You the owner and your single employee perform DOT functions. The owner must be trained.) In larger companies for every 50 employees, you must have at least one trained supervisor. (Example: If you have 350 employees, you must have seven trained supervisors.) If you are the owner-operator and the sole employee of your company, you do not have to be trained. Panhandle Employers Service, Inc. Page 3 of 19

4 Supervisor Manual Included in your Plan/Manual Packet (disc) is a supervisor manual found in the file Supervisor Education Manual and Supervisor Education Test. The manual covers drug and alcohol signs, symptoms of use, and reasonable cause testing. The supervisors who will be making the decisions to do reasonable cause drug or alcohol testing are responsible for studying the manual and taking the test. Please instruct the supervisors taking the test to put their name and company name on the test before returning it to PES, Inc. We will grade the test, if the supervisor receives a passing grade, send the supervisor a certificate of completion. Mail, fax or the tests to: Panhandle Employers Services, Inc. 881 Casino Road; Nocona, TX Fax: [email protected] Note: Your company can be audited for supervisor training. Keep the graded tests and the Certificates of Completion in case you are asked to produce them. Testing Requirements DOT drug tests are conducted using urine specimens only. DOT alcohol screening tests are conducted using either breath or saliva. If the alcohol screen test is positive, a confirmation breath test must be performed within 30 minutes using Evidential Breath Testing Devices (EBTs) that only analyze breath. Due to the 30-minute confirmation requirement, PES, Inc. recommends using only EBTs for all alcohol testing. Exceptions In addition to urine testing for drugs, the Federal Railroad Administration (FRA) also requires blood specimens for post-accident testing. The United States Coast Guard (USCG) permits collection of blood specimens for its Serious Marine Incident (SMI) testing. DOT urine specimens are analyzed for the following drugs or drug metabolites: Marijuana metabolites (THC) Cocaine metabolites Phencyclidine (PCP) Amphetamines (includes Methamphetamine, MDMA, MDA, MDEA) Opiate metabolites (Codeine, Morphine, 6-acetylmorphine, and Heroin) You cannot test for any other drugs using a urine specimen collected for a DOT test. DOT specimens cannot be tested for other purposes either (a DNA test, for example). Collection Sites DOT drug testing kits and forms will be sent to a collection site nearest your location(s). Please refer to the Collection Sites Available form located in your Plan Packet (disc). When sending someone in for a DOT testing, be sure to fill out an Authorization Form located in the Plan Packet (disc) under Authorization Form. Send a Panhandle Employers Service, Inc. Page 4 of 19

5 copy of the completed form to PES, Inc. and send the completed form with your employee to the testing facility. Types of Tests You must give employees the following kinds of tests, when called for by DOT and USCG rules: Pre-employment Random Reasonable Suspicion/Reasonable Cause Post-accident Return-to-Duty Follow-up Drug Pre-employment You are required to: 1. Conduct a pre-employment drug test. 2. Receive from the MRO a negative test result on the pre-employment drug test for a person prior to hiring or prior to using that person in a safety-sensitive position for the first time. This requirement also applies when a current employee is transferring from a non-safety sensitive position to a safety-sensitive job for the first time. Alcohol Pre-employment Unless you are regulated by the USCG, you may conduct pre-employment alcohol testing under DOT authority, but only if two conditions are met: 1. The pre-employment alcohol testing must be accomplished for all applicants (and transfers), not just some; and 2. The testing must be conducted as a post-offer requirement, i.e., you must inform the applicant that he or she has the job if he or she passes a DOT alcohol test. The FAA has specific prior-to-hire and transfer into safety-sensitive function requirements. They also require employers to receive MRO written confirmation of negative pre-employment drug test results. Check FAA regulations for details. The FRA has a one-time pre-employment drug test requirement for each employee subject to the Hours of Service laws. Check FRA regulations for details. The FTA requires employees who have been removed from the random testing pool and out of work for 90 or more days to have pre-employment tests upon return. Panhandle Employers Service, Inc. Page 5 of 19

6 The USCG requires employees who have not been subject to random drug testing for at least 60 days of the last 185 days to be pre-employment tested. Random Random tests are the key part of your program since they deter employees from using drugs and misusing alcohol. Each DOT Agency sets the random rates for drug and alcohol testing in the industry it regulates. These testing rates are minimums. If you choose to set higher random testing rates for your company, notify PES, Inc. If a DOT Agency requires a drug testing rate of 50% and an alcohol testing rate of 10%, then an employer with 100 safety-sensitive employees would have to ensure that 50 or more random drug tests and 10 or more random alcohol tests are conducted during the calendar year. This doesn t necessarily mean that you will give random drug tests to 50 different employees or random alcohol tests to 10 different employees. Some employees might be picked and tested more than once, and others not at all. Each time there is a random selection, all employees have an equal chance to be selected and tested. That s the deterrent factor! What makes random testing so effective is the element of surprise. Whereas employees know they will be tested, they are never quite sure when. You should have procedures in place to ensure that each employee receives no advanced notice of random selection. PES, Inc. will send your designated company representative the random selection list with a due date by which the random testing must completed. The random selection list is generated by computer and by a scientific method. You must not pick someone out and send them in for a random test. You must perform the random tests for the subjects that are generated by a scientific method. There are two exceptions to this rule; if a selected employee is on long term leave or is no longer employed, please request PES, Inc. to select an alternate employee. You must not choose who the alternate will be. Alternates are chosen by computer generation as well. Random selection tests must be completed in a timely manner, within the quarter in which they were generated. Your company s employees may be placed in a consortium pool consisting of other employees who perform the same type of DOT Agency functions, or they may be placed in a company individual pool consisting only of your company employees. If you wish to alter the pool that your employees are in, it is best to do this at the end of the calendar year so that your statistical data is accurate. Please notify PES, Inc. if you wish to alter your pool status. Upon notification, be sure to allow enough time for supervisors to schedule the tests and ensure that collection sites are open for testing. Employees should not be tested while on vacation or off duty. Random alcohol testing may only be performed when the employee is coming on duty, on duty, or just going off duty. Alcohol is a legal substance and employees may consume alcohol on their own time. For further information regarding on call employees, please refer to your DOT alcohol plan(s). Panhandle Employers Service, Inc. Page 6 of 19

7 Annual minimum DOT random rates required: DOT Agency Random Drug Testing Rate Random Alcohol Testing Rate Federal Aviation Administration (FAA) 25% 10% Federal Motor Carrier Safety Administration 50% 10% (FMCSA) Federal Railroad Administration (FRA) 25% 10% Federal Transit Administration (FTA) 25% 10% Pipeline & Hazardous Materials Safety 25% N/A Administration (PHMSA) United States Coast Guard (USCG) 50% N/A Reasonable Suspicion/Reasonable Cause You are required to conduct a test for drugs or alcohol (or both) if a trained supervisor or trained company official believes or suspects an employee is under the influence of drugs or alcohol (or both). The supervisor or company official must have been trained to recognize the signs and symptoms of drug and alcohol use. Testing cannot be required based solely on a guess or hunch or complaint from another person or phone call tip. The suspicion must be based on specific observations by the supervisor or company official concerning the employee s current appearance, behavior, speech, and smell that are usually associated with drug or alcohol use. The reasonable suspicion/reasonable cause observations of the supervisor or company official must be documented. The FRA requires two supervisors at least one of whom is trained and on site to make the testing determination. The FAA does not require the determination to be face-to-face. Post-Accident You are required by the DOT Agencies and the USCG to conduct drug and alcohol tests following qualifying accidents. The following describes the different DOT Agency accident qualifications. I. FMCSA: A post-accident test shall be performed following an accident when: A. A fatality occurred B. The driver was cited for a moving traffic violation and the accident involved bodily injury to any person, who as a result of the injury, receives medical treatment away from the scene of the accident, or C. The driver was cited for a moving traffic violation and one or more motor vehicles incurred disabling damage as a result of the accident, requiring the Panhandle Employers Service, Inc. Page 7 of 19

8 II. motor vehicle to be transported away from the scene by a tow truck or other motor vehicle. PHMSA: An incident reportable under Part 191 involving gas pipeline facilities or LNG facilities or an accident reportable under Part 195 involving hazardous liquid pipeline facilities. A post-accident drug and alcohol test will be required after the following: A. An accident on a gas pipeline or LNG facility, as defined in Part 191.3, is an incident as follows: 1.An event that involves a release of gas from a pipeline or liquefied natural gas, liquefied petroleum gas, refrigerant gas, or gas from an LNG facility and that results in one or more of the following consequences: a. A death, or personal injury, necessitating inpatient hospitalization; or b. Estimated property damage, including cost of gas lost, to the operator or others, or both, of $50,000 or more ($5,000 or more for intrastate operators/contractors in Oklahoma and New Mexico), including loss to the operator and others, or both, but excluding cost of gas lost; c. Unintentional estimated gas lost of three million cubic feet or more; 2.An event that results in an emergency shutdown of an LNG facility. Activation of an emergency shutdown system for reasons other than actual emergency does not constitute an incident. 3.An event that is significant, in the judgment of the operator, even though it did not meet the criteria of paragraphs (1) or (2) B. Accident requiring a report is defined in Part as a release of the hazardous liquid or carbon dioxide transported resulting in any of the following: 1.Explosion or fire not intentionally set by the operator. 2.Release of 5 gallons (19 liters) or more of hazardous liquid or carbon dioxide, except that no report is required for a release of less than 5 barrels (0.8 cubic meters) resulting from a pipeline maintenance activity if this release is: a. Not otherwise reportable under this section; b. Not one described in Section (a)(4) c. Confined to company property or pipeline right-of-way; and Panhandle Employers Service, Inc. Page 8 of 19

9 III. d. Cleaned up promptly 3.Death of any person. 4.Personal injury necessitating hospitalization. 5.Estimated property damage, including cost of clean-up and recover, value of lost product, and damage to the property of the operator or others, or both, exceeding $50,000. FRA regulations (49CFR ) require blood and urine specimens from all surviving covered service personnel when they are directly involved in a qualifying accident or incident. Tissues are also collected, in addition to urine and blood from any fatality involving an on-duty railroad employee (direct or contractual employee). Events requiring FRA post-accident testing include (note regulatory exceptions will be followed): A. Major Train Accident involving any rail equipment accident with reportable damages in excess of the current reporting threshold under 49 CFR Part 225 and one or more of the following: 1.A fatality (any fatality). 2.A release of hazardous materials from railroad lading that results in an evacuation or reportable injury caused by the hazmat release. 3.Damage to railroad property of $1 Million or more. B. Impact Accident involving reportable damage in excess of the current reporting threshold that results in: 1.A reportable injury; or 2.Damage to railroad property of $150,000 or more. C. Fatal Train Incident involving any on-duty railroad employee where damages do not exceed the current reporting threshold. The railroad supervisor(s) on the scene will make timely determinations as to the event being a qualifying event and which covered service employees (if any) are required to be tested according to the rule. The railroad will identify the appropriate personnel who must be tested and then ensure that specimens are collected and shipped. Specimens for any FRA post-accident testing will be collected using procedures required in Part 219 Appendix C. The railroad s FRA post-accident specimen kits must be used. Specimens will be collected, packaged, and shipped via express courier service by the railroad. The shipping address is: Quest Diagnostics 3175 Presidential Drive; Atlanta, GA (Monday through Saturday) Panhandle Employers Service, Inc. Page 9 of 19

10 (Sunday) Fax: IV. USCG Marine Casualty or Accident: A. Any casualty or accident involving any vessel other than a public vessel that: 1.Occurs upon the navigable waters of the United States, its territories or possessions; 2.Involves any United States vessel wherever such casualty or accident occurs; or 3.With respect to a foreign tank vessel operating in waters subject to the jurisdiction of the United States, including the Exclusive Economic Zone (EEZ), involves significant harm to the environment or material damage affecting the seaworthiness or efficiency of the vessel. B. The term marine casualty or accident applies to events caused by or involving a vessel and includes, but is not limited to, the following: 1.Any fall overboard, injury, or loss of life of any person. 2.Any occurrence involving a vessel that results in: a. Grounding; b. Stranding; c. Foundering; d. Flooding; e. Collision; f. Allision; g. Explosion; h. Fire; i. Reduction or loss of a vessel s electrical power, propulsion, or steering capabilities; j. Failures or occurrences, regardless of cause, which impair any aspect of a vessel s operation, components, or cargo k. Any other circumstance that might affect or impair a vessel s seaworthiness, efficiency, or fitness for service or route; or 3.Any incident involving significant harm to the environment. Panhandle Employers Service, Inc. Page 10 of 19

11 4.Any occurrences of injury or loss of life to any person while diving from a vessel and using underwater breathing apparatus. 5.Any incident described in (a). Panhandle Employers Service, Inc. Page 11 of 19

12 The following table summarizes post-accident time-frames and specimens that MUST be collected: DOT Agency Specimen Type Time Frame for Collection FMCSA, FAA, FTA, PHMSA, USCG Urine for drug testing Up to 32 hours from time of event. FMCSA, FAA, FTA, PHMSA Saliva or breath for alcohol screening; breath for alcohol Within 2 hours, but cannot exceed 8 hours from time of FRA USCG confirmation testing. Urine for drug testing. Blood for drug and alcohol testing. Breath, Saliva, or Blood for alcohol testing. event. Up to 4 hours from time of even, but may exceed time frame to collect specimen in every case, a blood and urine specimen must be collected. Within 2 hours of the event. Up to 8 hours may be allowed if there are safety concerns to be addressed. The supervisor at the scene of the accident/event should know the testing criteria and make a good faith effort decision to test or not test based on the information available at the time. The supervisor may consult with others, but the supervisor is the person who has to make the decision. If the testing cannot happen within the required time, the supervisor must document the reasons. This documentation is done on the Supervisor Written Record found in your Plan Packet (disc). Any employee required to be tested who needs medical assistance, must get the needed medical assistance first. Post Accident Collection Sites If your company needs a DOT post-accident test at a different collection site than you normally visit, please call PES, Inc. (940) for assistance to find a collection site near the accident. We have someone on call after hours that can help you find a site. PES, Inc. recommends that you keep DOT post-accident drug testing kits in your vehicles or available on location. However, if you do not keep kits in your vehicles or on location, you must rely on a collection site to alter a drug testing form to perform your post-accident testing. The process of altering drug testing forms is not always accurate and could cause your post-accident test to be cancelled. If you need DOT post-accident drug testing kits, please notify PES, Inc. by using the Post-accident Kits form within your Plan Packet (disc). Return-to-Duty and Follow-up When an employee tests positive or refuses a test or violates other provisions of DOT Agency and USCG testing regulations, that employee cannot work again in DOT safety-sensitive positions until successfully completing the SAP(Substance Abuse Professional) return-to duty requirements in Part 40. If you have an employee test positive, refer to the Positive Protocol Panhandle Employers Service, Inc. Page 12 of 19

13 located in your Plan Packet (disc). Follow the instruction in the protocol. The SAP Referral service will help you get the necessary forms to your employee. After successfully completing the SAP requirements, the employee may be eligible to return to work. But, before and employer can return the person to work in a safety-sensitive job, an SAP must determine that the employee successfully complied with the recommended treatment and education. The employee must then have a return-to-duty test under direct observation and the test result must be negative. The SAP will also develop the employee s follow-up testing plan, outlining for the employer the number and frequency of follow-up testing that will take place. Please forward the SAP s follow-up testing plan to PES, Inc. PES, Inc. will assist you in ensuring that the employee is tested according to the SAP s follow-up plan. These tests can be for drugs or alcohol or both. The SAP must direct at least six follow-up tests in the first 12 months after the person returns to safety sensitive duties. However, the SAP can direct more tests and may extend them for up to five years. Note: Follow-up tests must be unannounced. You cannot let the employee know anything about your SAP s plan for follow-up testing. You cannot substitute other tests (such as random testing) for follow-up testing. Return-to-duty and follow-up testing must be under direct observation. Direct observation must be performed by a same sex person. If your employee is male, then the person directly observing the urination must be male. If the collection site does not have a male collector, a male DER or male supervisor from your company must directly observe the collection. The collector should inform you of the procedures. FRA- Under FRA regulations, locomotive engineers are subject to both drug and alcohol follow-up tests in the first 12 months. Notifying Employees of Testing Every employee should be discreetly notified that they have to go for a test. Testing must be conducted in strict confidence with only a limited number of company officials having knowledge of the selection. You should have procedures in place to ensure that each employee receives no advanced notice of selection. Be sure to allow enough time before notification for supervisors to schedule for administration of the test and to ensure that collection sites are open for testing. How long do I give them? When an employee is notified, he or she must proceed immediately to the collection site. Contrary to the urban legends circulating among some employees, immediately does not mean two hours. Immediately means that after notification, all the employee s actions must lead to an immediate specimen collection. Panhandle Employers Service, Inc. Page 13 of 19

14 Best Practices Procedures If possible, accompany employees to collection sites. Do not allow employees to go unescorted to their lockers, personal vehicles, or work stations after notification. When possible, arrange to have collectors and BATs come to the work site to collect specimens without alerting employees to their presence. If collections are off site and unescorted, establish an expected time of arrival by filling in the time notified on the Authorization Form. Make it clear to your employees that there are consequences for failing to appear for any test within a reasonable time. That consequence would be Refusal to test which is treated just like a positive result. Exception For pre-employment and return-to-duty testing, ensure that the applicant or employee knows the specific date, time, and location of the test. Pre-employment and returnto-duty tests are not deemed refusal unless the collection process has begun and they leave the testing facility. Split Specimens At the collection site, a collector will pour an employee s urine into two separate bottles Bottle A (the primary) and Bottle B (the split). The collector sends both to the laboratory where Bottle A gets tested. If the MRO reports the employee s test result as positive or as a refusal to test because it was adulterated or substituted, the MRO will offer the employee an opportunity to have Bottle B (the split) tested at another laboratory. The split test is an independent way to determine if the primary test results were accurate. The employee has 72 hours to request the split test. Upon getting the request, the MRO must immediately have the primary laboratory send the split to another HHS-certified laboratory for testing. Congress gave the employee the right to have the split tested, so if the employee asks to have the split tested, the test must happen no matter who pays for it. No one can insist on payment before the test occurs. However, either you or the employee will ultimately pay. It is your responsibility to get the test accomplished without delay and regardless of who pays. Cost: PES, Inc. will bill the employer $ per drug tested for the split specimen. For example, if your employee s primary test was positive for marijuana and cocaine, PES, Inc. will bill you $ for the split specimen tested. Some employers make a decision to pay for the split testing; others have agreements to share the cost with the employee. We know of other employers who agree to pay if the split specimen fails to reconfirm the primary specimen s results; but the employee pays if the split result turns out to be same as the primary result. Payment can be also taken from the employee s paycheck, even if it is the last paycheck with you. But under no circumstances can you hold up a split from being tested while waiting for payment. Panhandle Employers Service, Inc. Page 14 of 19

15 Violation Actions What must I do when an employee tests positive, or refuses a test, or has some other violation of DOT Agency or USCG regulations? You must immediately remove the employee from safety-sensitive functions and give the employee a list of qualified SAPs. The Positive Protocol is located in your Plan Packet (disc). Follow the instructions on the protocol by calling the SAP Referral Service. They will make sure your SAP meets all the DOT s Part 40 qualification requirements. Note: When an applicant fails or refuses a pre-employment DOT test, you cannot let the applicant perform safety-sensitive duties for you, and you must provide a SAP listing to the applicant. Can I fire an employee who tests positive or refuses a test? That is your decision, subject to your policies and applicable legal or collective bargaining requirements. DOT rules don t decide this for you. The same goes for other personnel decisions other disciplinary action, hiring, suspensions, or leaves of absence. What the DOT rules require is that no one who violates a rule can perform safety-sensitive functions again until successfully completing the SAP return-to-duty process. SAP Return-To-Duty Process The SAP makes a face to face clinical assessment and evaluation to figure out what assistance is needed by the employee to resolve problems with drug use and alcohol misuse. Next, the SAP refers the employee to an appropriate program for education or treatment, or both. Following that, the SAP conducts another face to face evaluation, the follow-up evaluation, to determine if the employee actively participated in the program and has demonstrated successful compliance with the initial assessment and evaluation recommendations. For this review, the SAP must have conferred with the education and treatment program and should have any reports and materials they provided for review. The SAP will provide you with reports about the initial evaluation and the follow-up evaluation. The follow-up evaluation report will contain the SAP s plan for follow-up testing. Forward the SAP s plan for follow-up testing to PES, Inc. PES, Inc. will assist you in the follow-up scheduling and testing requirements. Drug & Alcohol Previous Employer Checks DO NOT confuse criminal background checks and MVR s with drug and alcohol previous employer (background) checks! Before you hire or transfer someone into a safety-sensitive position, you must check the person s DOT drug and alcohol testing history. Each person must give you written consent by signing each release form in order to seek the information from the other employers. The Panhandle Employers Service, Inc. Page 15 of 19

16 person must list all previous and current employers within the last two, three, or five years, as appropriate. If the person doesn t do so, or refuses to sign the release form, you cannot allow the person to perform safety-sensitive functions. The release must be specific to each applicable DOT Administration and each previous employer and must not be a blanket release form. For example, it must not have multiple employers on one release form; it must be employee-specific; it must be employer-specific; and it must be time-period specific. If possible, you must obtain and review the testing history before the employee first performs safety-sensitive functions for you. If this is not feasible, you must obtain and review the information as soon as possible. However, you must not permit the employee to perform safety-sensitive functions after 30 days from the date on which the employee first performed safety-sensitive functions unless you have obtained, or made and documented a good faith effort to obtain, the information from previous employers. If the information you receive from the previous employer shows that the person violated DOT rules, you must ensure that the employee has successfully completed the DOT return-to-duty process before permitting the person to perform safety-sensitive duties. If the employee was hired before August 2001, they are grandfathered in and a previous employer (background) check is not necessary. However, if an employee was hired after August 2001, they should have a previous employer (background) check completed. If the new hire has not worked in a DOT covered position in the past, he/she must still complete the release forms required, indicate the employee has not worked in a previous DOT covered position and have the employee sign the release form(s). You must not overlook this step; if audited by the DOT, you could be fined and will be required by the DOT auditor to complete the previous employer (background) checks. The drug and alcohol previous employer (background) check release forms are DOT Agency specific and are located in your Plan Packet (disc). FMCSA (CDL driver): Two FMCSA drug and alcohol previous employer (background) check release forms are required. Only use the FMCSA labeled forms for your DOT drivers. Complete both release forms FMCSA Authorization to Release DOT Drug/Alcohol Test Results and Release Safety Performance History for each driver and each previous employer. The FMCSA administration requires the company to check for drug and alcohol information from previous employers for the past three years. PHSMA (Pipeline employee): One PHMSA drug and alcohol previous employer (background) check release form is required. Use only the PHMSA labeled form for your employees that perform PHMSA (pipeline job) functions. Complete one release form PHMSA Authorization to Release DOT Drug/Alcohol Test Results for each PHMSA (pipeline) employee and each previous employer. PHSMA requires the employer to check for drug and alcohol information from the previous employers for the past two years. FAA (Aviation employee): One FAA drug and alcohol previous employer (background) check release form is required. Use only the FAA labeled form for your employees that Panhandle Employers Service, Inc. Page 16 of 19

17 perform FAA job functions. Complete one release form FAA Authorization to Release DOT Drug/Alcohol Test Results for each Aviation employee and each previous employer. FAA requires the employer check for drug and alcohol information from previous employers for the past five years. FRA (Railroad employee): One FRA drug and alcohol previous employer (background) check release form is required. Use only the FRA labeled form for your Railroad employees. Complete one release form FRA Authorization to Release DOT Drug/Alcohol Test Results for each Railroad covered employee and each previous employer. FRA requires the employer check for drug and alcohol information from previous employers for the past five years. FTA (Transit employee): One FTA drug and alcohol previous employer (background) check release form is required. Use only the FTA labeled form for your Transit employees. Complete one release form FTA Authorization to Release DOT Drug/Alcohol Test Results for each Transit employee and each previous employer. FTA requires the employer check for drug and alcohol information from previous employers for the past two years. USCG (Coast Guard employee): One USCG drug and alcohol previous employer (background) check release form is required. Use only the USCG labeled form for your employees that perform Coast Guard functions. Complete one release form USCG Authorization to Release DOT Drug/Alcohol Test Results for each Coast Guard employee and each previous employer. USCG requires the employer check for drug and alcohol information from previous employers for the past two years. Note: Complete one set of release forms per employee per employer. No blanket release forms. If your employee performs more than one DOT Agency job function, they must fill in and sign all the required Agency release forms. For example, if Jane Doe is a DOT driver and works on a pipeline, Jane Doe must fill in two FMCSA release forms and one PHMSA release form per employer. PES, Inc. Previous Employer (Background) Check Service PES, Inc. offers drug and alcohol previous employer (background) check service for an additional cost. If you did not request that service when signing up but you still wish to use our services, please notify PES, Inc. by phone (940) , by at [email protected], or by fax at (940) You will still need to have your employees sign and fill in the release forms, but we will send them to the previous employer(s) and report the completed documentation to you for your records. We will charge you $12.50 per employer request letter sent. For example, if your employee has three previous employers, we will send three letters and charge you $ If you wish to perform the drug and alcohol previous employer (background) checks yourself, we will provide you with the release forms to do so with your Plan Packet (disc). Panhandle Employers Service, Inc. Page 17 of 19

18 Applicant Packet You should include the following items to your application packet: 1. DOT Employee Notification Packet (be sure to get signed receipt/acknowledgement) 2. Drug and Alcohol Previous Employer Check release forms (DOT Agency specific), one for every employee and every previous employer Employee Assistance Program (EAP) The employee assistance program contains phone numbers of agencies that may be used by your employees for assistance with substance abuse or alcohol misuse. You may also have your own EAP in place. Your EAP information is included in your DOT Employee Notification Acknowledgement Packet located in your Plan Packet (disc), given to each DOT employee. This is a mandatory DOT requirement. Updated Employee Lists Do not forget to send Panhandle Employers Services an updated employee list every quarter. A current list of your employees will be sent to you in the last week of every quarter via your chosen method per your application or media update. Please update this list every quarter, even if you had no changes. The list should be submitted to PES, Inc. between the following dates: December 22 nd January 2 nd March 24 th April 1 st June 24 th July 1 st September 24 th October 1 st If you have a list of employees on your computer with the correct information, that is certainly acceptable as long as the requested information is included. Keep in mind, this is your way of informing PES, Inc. of new employees and terminated employees. In order to select the most accurate number of random tests, we must update these lists every quarter. If your updated employee list is consistently late or not received by PES, Inc., PES, Inc. will terminate service. Please submit updated employee lists by one or more of the following methods: Ground Mail: PES, Inc., 881 Casino Road; Nocona, TX Fax: [email protected] Company Contact Information Drug and Alcohol information is extremely confidential and PES, Inc. respects the confidential matters of employees and employers. In order to maintain confidentiality, PES, Inc. will only speak to previously specified contacts with consortium members. PES, Inc. will only send confidential information to designated contacts for companies. If your company has changed contacts, DERs, program managers, addresses, fax numbers, mailing addresses, you Panhandle Employers Service, Inc. Page 18 of 19

19 must notify PES, Inc. in order to maintain confidentiality and still receive needed information. Contact information must be submitted by a current contact listed with PES, Inc. and in writing from that current contact. If you have changes to your contacts or your contacts media, please fill in the Update Contact Information form located in your Plan Packet (disc), sign and forward to PES, Inc. by one or more of the following methods: Ground Mail: PES, Inc., 881 Casino Road; Nocona, TX Fax: [email protected] PES, Inc. Contact Information Never hesitate to contact PES, Inc. if you have any questions or if you are in doubt. Panhandle Employers Services, Inc. 881 Casino Road Nocona, TX Phone: Fax: [email protected] Thank you for using Panhandle Employers Services and we look forward to working with you in the future. Panhandle Employers Service, Inc. Page 19 of 19