1. Scenarios from Webster Lake Bus Co. (WLB) All scenarios appearing in this presentation are fictitious. Any resemblance to real situations is purely coincidental. 1

2. Scenario Categories Policy & Training Pre-employment Testing & Previous-employer Checks Random Testing Post-accident Testing Reasonable-suspicion Testing Return-to-duty & Follow-up Testing Refusals & Procedural (Part 40) Problems MIS Contractor & Vendor Oversight

3. Minor changes were made to the WLB drug and alcohol policy (e.g. “mass transit” was replaced w/ “public transportation”). Revised policy statement can be disseminated without board/official approval Only major changes need to be resubmitted for approval (e.g., second-chance to zero tolerance) 3

4. WLB’s 60-minute employee education program includes the effects and consequences of alcohol misuse Requirement: 60 minutes of training on the effects and consequences of prohibited drug use Can include alcohol and/or policy, but must be additional 4

5. WLB heard that FTA regulations favor a zero tolerance policy FTA rules neither dictate nor “favor” this FTA requirement: no one who violates a rule can perform covered functions again until completing the SAP return-to-duty process 5

6. A pre-employment test was cancelled because of a “fatal flaw,” but WLB allowed the employee to begin driving a bus Immediately remove the employee from s.s. duties and send for another pre-employment test Do not allow the employee to continue to perform s.s. duties until a verified negative result is received Collector w/ fatal flaw must receive error correction training within 30 days 6

7. WLB’s DAPM continually gets no response to a request for an applicant’s past drug and alcohol information Document good-faith effort Report company to FTA if routinely non- responsive 7

8. WLB is told they have to pay for an applicant’s past drug and alcohol information No one may withhold this information from the requesting employer 8

9. In response to an inquiry from a new employer about a former WLB employee, can WLB provide information that they received from other employers in the past? Yes: It is not a violation of Part 40 or DOT agency rules if you provide information about the employee’s DOT drug and alcohol tests obtained from former employers that date back more than two years (Sept. 2001 ODAPC Q&A) 9

10. An employee leaves WLB for an extended period of time, but returns within two years Seek to obtain information from any other employers for whom the employee performed safety-sensitive duties since the employee last worked for WLB 10

11. An applicant admits to testing positive on a pre-employment test one year before applying The applicant cannot perform safety-sensitive duties until and unless they can document the successful completion of the return-to-duty process 11

12. WLB conducts non-DOT pre-employment alcohol tests of safety-sensitive employees Pre-employment alcohol testing must be performed using the procedures set forth in 49 CFR Part 40 12

13. If an applicant fails a FTA pre- employment test, WLB does not provide them with a SAP referral WLB is required to provide to each employee (including an applicant or new employee) who violates a DOT drug and alcohol regulation a listing of SAPs readily available to the employee 13 V IOLATE DOT DRUG AND ALCOHOL REGULATION SAP REFERRAL

14. WLB is in danger of failing to meet the minimum testing rate near the end of the year Complete testing for all selected employees Generate a new list to fulfill minimum requirements 14

15. An employee selected for a random alcohol test rarely performs safety- sensitive duties WLB can designate an employee to perform safety sensitive functions as they see fit 15 DOT A LCOHOL T ESTING JUST BEFORE DURING JUST AFTER

16. WLB’s DAPM is selected for a random test 1) The DAPM receives the selection list and, upon seeing their name, proceeds immediately to the collection site, or 2) The TPA forwards this information to a supervisor who will notify the DAPM 16

17. WLB makes monthly random selections that include exact days for the employee to be tested. An employee is absent on the scheduled day. An absent employee “must be tested when they return to work provided the employee returns before the next random selection list is generated.” 17

18. WLB considers specific job functions when making random selections (i.e. dispatchers may only be selected for a certain amount of tests each selection period) Each employee must have an equal chance of being selected each time selections are made Employers cannot modify/divide selection lists 18

19. WLB’s DAPM heard they may not test above the random testing rates 25 percent for drugs and 10 percent for alcohol are required minimum annual percentage rates These rates can be exceeded 19

20. WLB operates a 06:00 – 22:00 schedule; but the DAPM only works 08:30 – 17:00 Random testing must be spread throughout all hours Set up a contingency plan 20

21. Brake failure clearly contributed to an accident. The mechanic responsible for the repairs won’t be in for another 10 hours Send the mechanic for a drug test, only Document the reasons the alcohol test was not administered 21

22. No FTA post-accident threshold was met, is a decision making form still filled out? In this case there is no requirement to document the decision not to test 22

23. A taxi company, used by WLB for paratransit service, has a driver involved in an accident while carrying a non- paratransit passenger The taxi driver would not be subject to FTA post-accident testing 23

24. A supervisor wants to bring an operator back to the depot to look at the video, so a post-accident determination can be made This practice creates an unacceptable delay in post-accident testing 24

25. An accident occurs. No FTA threshold was met and the operator could be completely discounted; but the supervisor smells alcohol on the drivers breath Conduct a reasonable suspicion interview A reasonable suspicion test is required if the trained official has reasonable suspicion to believe that the covered employee has used a prohibited drug and/or engaged in alcohol misuse 25

26. WLB believes that the deployment of airbags constitutes “disabling damage” Disabling damage means damage severe enough that it "precludes departure of [the] motor vehicle from the scene of the accident in its usual manner…" 26

27. - A driver scrapes a building, bending the window frames (which shatters six windows) and damages two body panels - The employee drives the bus back to the depot and informs their supervisor No DOT post-accident test A non-DOT post-accident test under employer authority can be performed 27

28. A driver injured himself getting out of the drivers seat. After his shift, he visited WLB’s occupational health/collection site to be checked out. The driver requested a post-accident test, and the collection site obliged. Take corrective actions to prevent this from happening again This should not be reported on a MIS form 28

29. WLB does not consistently document delays in reasonable suspicion alcohol testing Delays in alcohol testing of two/eight hours must be documented Accurate interview/determination times assure that the regulations are correctly followed 29

30. WLB did not comply with the SAP’s follow-up testing schedule; many tests have not been performed The plan needs to be completed as written – even if it goes past the original time frame 30

31. An employee in WLB’s follow-up program is absent for an extended period WLB must pause follow-up testing until safety- sensitive duties are resumed The 60-month duration of follow-up testing may sometimes extend beyond five calendar years 31

32. WLB wants to include alcohol for an employees follow-up testing plan; but the SAP only prescribed drug testing No one is allowed to change the SAP’s plan in any way Except the SAP 32

33. WLB used an employee’s random test as a substitute for a follow-up test No other type of test can substitute for follow-up tests 33 Follow-up Test Random Test

34. WLB insists the SAP make a fitness for duty determination to return an employee to safety sensitive duties This is the employer’s responsibility 34

35. A collector calls WLB seeking assistance because an employee is refusing to follow instructions Ensure that the employee understands the ramifications Remind the collector to thoroughly document the circumstances surrounding the event in the remarks section of the CCF 35

36. WLB’s collection site is not complying with Part 40 Report the service agent to the program manager of the FTA Consider changing collection services 36

37. WLB has no access to an approved EBT It is necessary to come up with a real solution for timely alcohol testing Cannot rely solely on saliva kits or screening-only devices Small systems with no other alternatives may need to purchase an approved EBT 37

38. WLB receives test results on a fax machine located in the middle of the dispatch office The MRO, C/TPA and employer must ensure the security of the transmission and limit access to any transmission, storage, or retrieval systems 38

39. WLB learned that a confirmed alcohol test of 0.042 was conducted on a poorly-maintained EBT Poor calibration practices and/or poor accuracy check records are the most frequent errors causing alcohol tests to be overturned in court Ensure proper and consistent calibration checks 39

40. An applicant leaves the collection site after the collector fills out Step 1 of the CCF. The collector calls the transit system to report a refusal. This is not a refusal For pre-employment tests, the collection process starts only when the donor receives the collection container 40

41. A non-DOT CCF or ATF is used for a DOT test Collector creates a signed statement stating: 41 the incorrect form contains all the information needed for a valid DOT drug test the incorrect form was used inadvertently the steps taken to prevent this in the future

42. WLB discovers incorrect MRO information on its testing forms. Immediately contact the TPA or testing laboratory and request a new supply of accurate CCFs. 42

43. WLB is notified that a follow-up test was not conducted under direct observation Immediately remove the employee from safety- sensitive duties and send them for a directly observed follow-up test 43

44. WLB wishes to conduct both DOT and non-DOT tests following an accident The DOT urine collection must be accomplished before any non-DOT collection Non-DOT collection must use non-federal forms, and a separate void 44 DOT TESTNON-DOT TEST

45. If an employee asks to have the split specimen tested, WLB demands the employee pay before testing moves forward Payment arrangements for the split specimen should be worked out in advance The decision of who pays is left to the employer and employees. It is the employer’s responsibility to ensure the split test takes place without delay and regardless of who pays 45

46. An officer uses a device that is not on the NHTSA CPL: no EBT is available, and the screening result is 0.03 Make a safety decision if the screening test suggests alcohol use WLB cannot take any further action 46

47. WLB found an error on their MIS form after they had submitted it MIS forms can be resubmitted Log back in (using the same username and password) and make the changes 47 Log into http://damis.dot.govClick the option to edit your dataClick the Wrap-Up screen

48. WLB’s collection site consistently delays sending the employer copy of the CCF Provide collection site with SASEs Consider setting up a scan/email system 48

49. WLB’s employees spend too much time in the collection site’s waiting room Stress to the collection site that these tests are federally mandated and are important to public safety Make appointments if possible 49

50. Are WLB’s maintenance contractors covered by 49 CFR Part 655? 50 If WLB is a recipient of 5311 funding (as opposed to 5307/5309) NOT COVERED Ad hoc maintenance contractor NOT COVERED If WLB is a 5307/5309 funded system - and operating in an area w/ population of more than 200k COVERED Maintenance subcontractor (a contractor to a covered maintenance contractor) NOT COVERED