Policy
Name:
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Substance Use Recovery and Workplace Safety Program
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Code/Rule
Reference
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Chapter 4123 of the Revised Code; OAC 4123-17-14; and OAC 4123-6-08.
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Effective
Date:
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May 1,
2022
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Approved:
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Rex
Blateri, Interim Chief of Employer Services
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Origin:
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Employer
Services
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Supersedes:
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Policy Revision Issued September 26, 2021.
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History:
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Revised May 1, 2022; September 26, 2021; February 18, 2021;
July 17, 2020. New Policy Issued September 19, 2019.
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Review
Date:
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May 1,
2027
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I. Policy Purpose
The Substance Use Recovery and Workplace
Safety Program (SURWSP) is a program that provides funding to assist employers in
hiring or retaining workers in recovery. The funds provide reimbursement for
employer written policy development and review relating to substance use issues;
employee and supervisor training; employee substance use testing to better
manage and retain workers in recovery; and free access to the employer wellness
program Better You, Better Ohio. The purpose of the program is to:
A.
Lessen the impact of
substance use disorders on Ohio’s workforce;
B.
Help Ohio’s
employers keep employees in recovery at work;
C.
Assist employers
hiring and managing employees in recovery; and
D.
Promote a safe and
healthy workforce.
II. Applicability
This
policy applies to all the following: BWC Employer Programs; BWC Division of
Safety and Hygiene (DSH); employers; and Alcohol, Drug Addiction and Mental
Health (ADAMH) boards with which BWC has a Memorandum of Understanding in
effect to administer SURWSP.
III. Definitions
Unless otherwise defined, all terms used
in this policy carry the same meaning as set forth in BWC Employer Services’ Drug-Free Safety Program policy.
A.
Second chance
agreement: a written agreement between an employer and employee, containing
the terms and conditions under which an employee who tests positive for a
substance for the first time may maintain their
employment and which includes elements such as:
1.
Referral
of the employee to a chemical dependency professional for an assessment;
2.
The
consequences to the employee for violating the terms of the agreement;
3.
The party
responsible for paying the costs of any substance use testing done pursuant to
the agreement; and
4.
The
duration of time the employee may be subject to follow-up substance use testing.
B.
State fiscal year: The fiscal year of the state begins on
the first day of July of each calendar year and ends at the close of the
thirtieth day of June of the succeeding calendar year.
IV. Program Requirements
A.
Eligibility criteria.
1.
Employers. To
qualify for reimbursement through SURWSP, the employer shall:
a.
Have a physical
office located in Ohio;
b.
Be current with
respect to all payments due BWC as defined in OAC 4123-17-14;
c.
Be current on the
payment schedule of any part-pay agreement into which the employer has entered
for payment of premiums or assessment obligations;
d.
Be in an active
policy status, in which an “active policy status” does not include an employer
with a coverage status of “no coverage” or “lapsed”; and
e.
Have reported actual
payroll for the preceding policy year and paid any premium due upon
reconciliation of estimated premium with actual premium. An employer is deemed
to have met this requirement if BWC receives the payroll report and the
employer pays the premium associated with the payroll report.
2. Client employers of either Professional
Employer Organizations (PEOs) or self-insured PEOs (SI PEOs).
a.
For a client
employer of either a PEO or SI PEO, the client employer is eligible so long as:
i.
The client employer
meets all the criteria in sections IV.A.1.a through IV.A.1.d above; and
ii.
If the client
employer has entered into a PEO agreement with a self-insured PEO, the client
employer is reporting payroll for workers’ compensation purposes under the
client employer’s policy number.
b.
For a PEO’s
employees that are not subject to a PEO agreement, a PEO is eligible so long
as:
i.
The PEO
independently meets all the criteria in sections IV.A.1.a through IV.A.1.d
above; and
ii.
The PEO is not self-insured.
3.
Client employers of either
Alternative Employer Organizations (AEOs) or self-insured AEOs (SI AEOs).
a.
For a client
employer of an AEO, the client employer is eligible so long as:
i.
The client employer
meets all the criteria in sections IV.A.1.a through IV.A.1.d above; and
ii.
The client employer
has not entered into an AEO agreement with a self-insured AEO.
b.
For an AEO’s
employees that are not subject to an AEO agreement, an AEO is eligible so long
as:
i.
The AEO
independently meets all the criteria in sections IV.A.1.a through IV.A.1.d
above; and
ii.
The AEO is not self-insured.
B.
Ineligible
employers. The following employers are not eligible for participation in SURWSP:
1.
Employers not
meeting the eligibility requirements laid out in section IV.A. above;
2.
Self-insuring
employers;
3.
State agencies,
including state institutions of higher education and state hospitals;
4.
Client employers of SI
PEOs that report payroll for workers’ compensation purposes under the SI PEO’s
policy number; and
5.
Client employers of SI
AEOs.
C.
Operation of program.
1.
General requirements.
a.
Employers
participating in SURWSP shall pay for expenses upfront, as defined below, and
apply for reimbursement of those expenses.
b.
Reimbursement is
available on a first come, first served basis while funding and BWC resources
are available. The program and funding may be suspended at any time.
c.
Employers shall
provide documentation of itemized expenses including, but not limited to,
service invoices and proof of payment. Proof of payment documentation must
clearly link the service provided, the invoice for the service from the vendor,
and the date on which the service was paid. Acceptable documentation to verify proof
of payment for the service provided is both the employer’s paid invoice and one
of the following:
i.
Cancelled check
(front and back);
ii.
Detailed receipt of
payment from the vendor;
iii. Banking record (statement or email
verification of payment);
iv.
Credit card
statement;
v.
Employer system
generated payment information, such as ledger entry, payment record, or warrant
report, listing the associated vendor and invoice number; or
vi.
Another form of
payment of sufficient verity to confirm the expenditure.
d.
BWC may permit
reimbursement of services performed retroactive to July 1, 2019, regardless of
the date the employer was initially enrolled or the date SURWSP became
available to the employer. This retroactivity shall end effective July 1, 2022,
such that on or after that date expenses shall be reimbursable only as provided
in section IV.C.1.e below.
e.
Effective July 1,
2022, expenses must be submitted for reimbursement within one year of the date
the service was provided to qualify for reimbursement.
f.
BWC does not permit
reimbursement of bundled charges. All service invoices accompanying requests
for reimbursement shall be itemized.
g.
Reimbursement requests
for the development or review of written policies relating to substance use
issues require submission of a copy of the invoice along with proof of payment.
The employer must submit a copy of written policies upon request by either the participating
ADAMH board or BWC.
h.
Reimbursement requests
for employee and supervisor training require submission of proof of attendance,
curriculum, a copy of the invoice, and proof of payment.
i.
Reimbursement
requests for substance use testing.
i.
Reimbursement
requests for substance use testing require submission of a copy of the invoice
along with proof of payment.
ii.
Upon request by
either the ADAMH board or BWC, the employer must submit:
a)
A copy
of the employer’s written
substance use policy; or
b)
A copy of the
employer’s second chance agreement.
iii.
The employer must
submit a copy of the chain of custody form identifying the employee tested upon
request by either the participating ADAMH board or BWC. Appendix C is an
example of a chain of custody form.
j.
An employer is subject to denial of
reimbursement, or recoupment of funds reimbursed, if the employer is unable to
provide documents requested either by the participating ADAMH board or BWC in
conjunction with a specific reimbursement request.
2.
In counties for
which the corresponding ADAMH board and BWC have a Memorandum of Understanding
in effect, the ADAMH board shall administer the program directly with eligible
employers located in such counties. The SURWSP web page contains a list of participating counties with
the contact information of the corresponding local ADAMH board.
a.
BWC shall initially
award funds to an ADAMH board up to $200,000 at one time. Contingent upon sufficient
program funds remaining and the submission of a satisfactory application, BWC shall
award additional funding to the participating ADAMH board when its previously
awarded funding falls below $10,000.
b.
At its sole
discretion, BWC may choose to pilot an alternate mechanism for funding an ADAMH
board through a Memorandum of Understanding.
c.
A participating
ADAMH board shall report at least quarterly to BWC detailing specific use of
funds. The reporting requirements are provided in Appendix A of this policy.
d.
Eligible employers
seeking reimbursement shall submit such expenses to the corresponding ADAMH
board.
e.
Prior to submitting
a reimbursement request to the ADAMH board, the employer must provide the board
with a W-9. Additionally, the employer should contact that ADAMH board for full
details regarding any local administrative filings which must be completed
before the board can process the reimbursement request.
f.
Upon termination of
a Memorandum of Understanding between BWC and an ADAMH board participating in SURWSP,
if the board has a remaining unexpended, unreimbursed, or unencumbered balance
of transferred funds, the remaining balance of transferred funds, as determined
through a final BWC audit, shall be returned to BWC.
3.
In counties for which
the corresponding ADAMH board and BWC do not have a Memorandum of Understanding
in effect, BWC shall administer the program directly with eligible employers
located in these counties.
a.
Employers seeking
reimbursement shall submit such expenses to BWC.
b.
Employers must
complete both of the following to obtain reimbursement. Reimbursement requests
submitted by an employer not completing either of the following shall be
denied.
i.
Register as a
supplier with the State of Ohio. Full details in how to register can be found
at the State of Ohio’s Supplier Portal website.
ii.
Fill out and return
the SURWSP Agreement Form to BWC. The form can be found on the SURWSP web page.
D.
Reimbursable
expenses.
1.
Local ADAMH boards and
BWC shall reimburse for direct costs as follows. A summary of reimbursable
expenses can be found in Appendix B of this policy.
a.
Employer substance
use policy development and review.
i.
Consultation and
development of an initial policy, or review and revision of an existing policy,
is reimbursable for the actual cost, up to a maximum of $2,000 in total for the
state fiscal year in which the service was provided and may include external
legal review of the policy. In-house legal counsel costs and expenses are not
reimbursable.
ii.
Except as provided
for in section IV.C.1.d above, a review of policies and procedures does not
qualify as a reimbursable expense if the employer was reimbursed under SURWSP
for the initial development or review of the policies and procedures within the
previous twelve months.
b.
Employee and supervisor
training.
i.
Training costs,
including “train the trainer” costs, are reimbursable for the actual cost, up
to a maximum of $5,000 in total for a state fiscal year. Except for “train the
trainer” instructional aids, training materials are not reimbursable.
ii.
A qualified
substance abuse professional, as defined in BWC Employer Services’ Drug-Free Safety Program, must conduct the training sessions or
be involved in designing required content. Additionally, the substance abuse
professional must be available to answer questions the presenter cannot answer.
c. Substance use testing. SURWSP permits
reimbursement for testing of any current or prospective employee for alcohol
and drugs.
i.
BWC permits
reimbursement for pre-employment, post-accident, random, reasonable suspicion,
return-to-duty, and follow-up substance testing under the following
circumstances:
a)
Lab tests, including
pre-employment, post-accident, random, reasonable suspicion, return-to-duty,
and follow-up substance use testing are eligible for reimbursement at the
actual cost of the test up to $100.
b)
A maximum of $1,500
in total reimbursable costs for drug testing for a state fiscal year applies.
ii.
Substance use testing
must use the federal testing model promulgated by the United States Department
of Transportation and use a United States Department of Health and Human
Services certified laboratory, collection site, and Medical Review Officer.
iii. To qualify for reimbursement of substance
use testing costs, an employer must satisfy at least one of the following
conditions:
a)
The employer is
currently participating in the Drug-Free Safety Program at the Advanced Level;
b)
The employer’s
written substance use policy affirmatively demonstrates that when an employee
tests positive for substance use for the first time, the employer may offer referral
of an employee for assistance with their substance use issue in lieu of
termination; or
c)
The employer’s
written policy addressing substance use affirmatively demonstrates the employer
may offer a second chance agreement to an employee testing positive for the
first time in lieu of termination.
iv.
Notwithstanding section
IV.D.1.c.iii above, an employer’s written policy addressing substance use may allow
for termination as a potential consequence of the first positive test result when
the employee:
a)
Holds a
safety-sensitive position identified in the employer’s policy;
b)
Causes a workplace event
that results in injury, illness, or property damage, or that could have
resulted in injury, illness or property damage; or
c)
Has an occupational
license suspended or revoked as a result of substance use which is statutorily required
to perform the job duties of the position.
v. Employees may be terminated for other
causes, e.g., violations of other company rules, in accordance with the
employer’s written policy.
vi.
The reimbursable
drug test requirements outlined in this section do not supersede any other laws
or BWC policies, including but not limited to post-accident drug testing; claim
procedures; or the employee termination provisions in
section IV.C.3.d. of the Drug Free Safety Program policy for employers
participating in the Advanced Level of that program.
2.
BWC’s Better You, Better Ohio! program helps small employers in
high-risk industries offer their workforce a structured health and wellness
program at no cost. BWC permits any employer in SURWSP to be eligible for the
Better You, Better Ohio! program, regardless of industry or size.
Participation in the Better You, Better Ohio! program is subject to the rules
and policies of the Better You, Better Ohio! program.
3.
The Drug-Free Safety Program Directory
Listing provides a vendor
list of companies and individuals
qualified to supply services related to DFSP and SURWSP. However, employers are
not required to choose a vendor from the list for services rendered to qualify
as reimbursable through SURWSP.
4.
An employer expense
for which reimbursement has already been paid, or for which reimbursement is
pending, through a DFSP Safety Grant is ineligible for reimbursement through
SURWSP.
5.
Record Keeping and
Audit.
a.
BWC reserves the
right to audit employer use of program funds, whether received through an ADAMH
board or directly from BWC, and to recover overpayments and misappropriated or
improperly expended funds.
b.
The employer shall maintain
and retain for a period of three (3) years after reimbursement sufficient
records, papers, books, and documents in such form to fully substantiate the
delivery, value, necessity, and appropriateness of goods and services for each
specific reimbursement it receives through this program.
c.
BWC reserves the
right to recover overpayments and misappropriated or improperly expended funds
by one or more of the following methods:
i.
Billing the employer
for the funds received;
ii.
Forwarding the
employer’s information to the Office of the Attorney General for collection;
iii.
Set-off;
iv.
Recoupment; or
v.
Other
administrative, civil, or legal remedies.
E.
Non-reimbursable
indirect costs. BWC does not permit reimbursement for indirect costs including,
but not limited to, the following expenses:
1.
In-house consulting,
development, legal, or training staff;
2.
Consultant, broker,
third-party administrator (TPA), or consortium participation fees;
3.
Salaries or wages
for staff conducting services or training;
4.
Non-pertinent charges
concomitant with policy development, legal review, education, or training, including
but not limited to duplicating costs, training materials, room rental,
equipment rental or purchase, food, or mileage;
5.
Administrative fees
and surcharges; or
6.
Late or cancellation
fees.
F.
Removal / exit from
program
1.
Participation in
SURWSP is voluntary.
2.
BWC may disqualify
an employer participating in SURWSP if it misrepresents information when
submitting a request for reimbursement. An employer misrepresenting information
on the request for reimbursement will be required to repay any misappropriated
funds to BWCs.
G.
Resolution of
complaints.
1.
Employer complaints
regarding SURWSP determinations as contained in Section IV. of this policy are
processed under the General Employer Complaint Policy.
2.
BWC has not
identified any program-specific extenuating circumstances that apply to SURWSP.
Appendix A
Reporting Requirements
ADAMH
boards shall report, at least quarterly, the following information to BWC:
A.
Policy development
and review data required for each employer:
1.
Employer name and
policy number;
2.
Total reimbursement
for policy development and review; and
3.
Consulting vendor(s)
or external legal counsel.
B.
Training reimbursement
data required for each employer:
1.
Employer name and
policy number;
2.
Total reimbursement
for employee training;
3.
Total reimbursement
for supervisor training; and
4.
Training vendor(s).
C.
Drug testing
reimbursement data required for each employer:
1.
Employer name and
policy number; and
2.
Total reimbursement
for drug testing.
Appendix B
Reimbursable Expenses Chart
Employer policy development and review, including any external
legal review of the policy
Required documentation
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Actual cost up to a total state fiscal year maximum of
$2,000 for policy development or review
·
Invoice from
vendor.
·
Proof of payment
to vendor.
·
Copy of old and
new policies, if requested.
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Employee and supervisor training
Required documentation
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Actual cost up to a total state fiscal year maximum of $5,000
for employee and supervisor training
·
Invoice from
vendor.
·
Training
curriculum.
·
Proof of
attendance.
·
Proof of payment
to vendor.
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Drug testing
Required documentation
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Actual cost up to a maximum of $100
for a lab drug test, including pre-employment, post-accident, random,
reasonable suspicion, return-to-duty, and follow-up testing.
Total state fiscal year maximum of
$1,500 applies
·
Invoice from
vendor.
·
Proof of payment
to vendor.
·
Copy of workplace
substance use policy, if requested.
·
Copy of second
chance agreement, if requested.
·
Copy of the chain
of custody form if requested.
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Reimbursement shall be the actual cost up to the amount
specified for each of the above properly documented services, subject to the
parameters contained within Section IV.D of this policy.
BWC reserves the right to audit
employer use of program funds, whether received through an ADAMH board or
directly from BWC, and to recover overpayments and misappropriated or
improperly expended funds.
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