1. Ed VanderPloeg Lori DeCoste Atlanta, GA - 2015

2.  Session topics/format ◦ Functions and required elements of the policy ◦ Mechanics of developing a policy ◦ Policy Review Exercise ◦ Don’t leave early – there is a special surprise in the last 10 minutes! ◦ Q & A – as we proceed, or at the end  Session goal ◦ Equip everyone in the room to write a compliant policy, or analyze and fix a non-compliant policy 2

3.  Provide clear, concise guidance to employees regarding the DOT/FTA substance-abuse prevention program ◦ Rights ◦ Responsibilities (i.e., when testing will be done) ◦ Prohibited actions  Function as a guide for the DAPM for program implementation  Protect the employer in case of employee objections/grievance following a positive test or other regulatory violation 3

4.  Comply with 49 CFR 655.15 and 655.16 ◦ Section 655.15: “The local governing board of the employer or operator shall adopt an anti-drug and alcohol misuse policy statement.” ◦ Section 655.16: “Each employer shall provide written notice to every covered employee and to representatives of employee organizations of the employer’s anti-drug and alcohol misuse policies and procedures.” 4

5.  Describe the categories of covered employees (i.e., define safety-sensitive function) ◦ Operating a revenue service vehicle, whether in or out of service ◦ Maintaining a revenue service vehicle or equipment used in revenue service ◦ Controlling the dispatch or movement of a revenue service vehicle 5

6.  Describe the categories of covered employees (i.e., define safety-sensitive function) – cont. ◦ Operating a non-revenue service vehicle that requires a CDL ◦ Carrying a firearm for security purposes ◦ Volunteers: Must drive a vehicle that requires a CDL, or be compensated in excess of actual costs incurred, in order to be considered safety-sensitive 6

7.  Describe Prohibited Behaviors - Drugs ◦ Employees are prohibited from using the five listed drugs at all times; an employee may be tested for these drugs any time while on duty  Marijuana  Cocaine  Amphetamines  Opiates  Phencyclidine 7

8.  Describe Prohibited Behaviors - Alcohol ◦ No performance of safety-sensitive function while having an alcohol concentration of 0.04 or greater ◦ No usage four hours before performing, while performing, or while on-call to perform a safety- sensitive duty ◦ No usage for eight hours following an accident or until a post-accident alcohol test is performed 8

9.  Describe Circumstances of Testing ◦ Pre-Employment ◦ Random ◦ Post-Accident ◦ Reasonable Suspicion ◦ Return-to-Duty / Follow-Up ◦ State that random, follow-up, and reasonable suspicion alcohol testing is only permissible just before performing a safety-sensitive function, during that performance, or just after that performance 9

10.  Pre-Employment Testing ◦ Verified negative test result required before first performance of safety-sensitive duty ◦ If out of safety-sensitive duty for 90+ days and out of random pool, a DOT pre-emp test with verified negative result required before resuming SS duty ◦ Applicant who previously failed or refused a DOT pre- employment test must show evidence of having completed SAP referral/evaluation/treatment process ◦ Alcohol testing (if done) will be performed for all covered positions and follow Part 40 requirements 10

11.  Random Testing ◦ Selections will be made using a scientifically valid method ◦ Each employee will have an equal chance of selection each time selections are made (i.e., no discretion by supervisors) ◦ Testing will be unannounced and immediate ◦ Testing will be reasonably spread (i.e., conducted on all days and hours throughout the year) 11

12.  Post-Accident Testing - Thresholds ◦ Fatality (testing mandatory) ◦ Immediate medical treatment away from scene (testing required unless employee discounted) ◦ Disabling damage to one or more vehicles (testing required unless employee discounted) 12

13.  Post-Accident Testing – Requirements ◦ Driver, as well as any other covered employee(s) whose performance could have contributed to the accident, subject to testing ◦ Employee must remain readily available ◦ Testing is stayed while employee assists in resolution of the accident or receives medical attention 13

14.  Reasonable Suspicion Testing ◦ Determination will be made by a trained supervisor ◦ Contemporaneous observation of physical signs and symptoms of possible drug/alcohol use required 14

15.  Return-to-Duty and Follow-up Testing ◦ Will be conducted in accordance with process set forth in Part 40, Subpart O ◦ All tests will be conducted under direct observation 15

16.  Identify Actions that Constitute a Refusal to Test ◦ Failure to appear in a timely fashion (except for pre- employment tests) ◦ Failure to remain until the testing process is complete ◦ Failure to attempt to provide a breath or urine specimen 16

17.  Identify Actions that Constitute a Refusal to Test – cont. ◦ Failure to provide a sufficient quantity of urine or breath without a valid medical explanation ◦ Failure to undergo a medical evaluation as required by the MRO or DER ◦ Failure to cooperate with any part of the testing process ◦ Failure to permit monitoring or observation for drug testing 17

18.  Identify Actions that Constitute a Refusal to Test – cont. ◦ Failure to follow an observer's instructions to raise and lower clothing and turn around during a directly- observed test ◦ Possessing or wearing a prosthetic or other device used to tamper with the testing process 18

19.  Identify Actions that Constitute a Refusal to Test – cont. ◦ Failure to take a second test as directed by the collector or employer for drug testing ◦ Admitting the adulteration or substitution of a specimen to the collector or MRO ◦ Verification of a test by the MRO as adulterated or substituted 19

20.  Identify Actions that Constitute a Refusal to Test – cont. ◦ Refusal to sign the certification at Step 2 of the ATF ◦ Failure to remain readily available following an accident 20

21.  Describe Consequences of a Non-Negative Test Result ◦ Positive or refused drug or alcohol test: employee will be removed immediately from his or her safety- sensitive function and referred to a qualified substance abuse professional 21

22.  Describe Consequences of a Non-Negative Test Result – cont. ◦ Alcohol test of 0.02 or greater and less than or equal to 0.039: employee will be removed immediately from his or her safety-sensitive function for at least 8 hours or until the beginning of their next scheduled shift, whichever is longer, or until a re-test shows a BAC of less than 0.02 22

23.  Required “Administrative” Elements of a Compliant Policy ◦ List all covered job titles (i.e., safety-sensitive positions) ◦ Identify the contact person who will answer questions about the drug and alcohol program (by name or title/position) ◦ Differentiate FTA requirements from any additional employer-specific elements ◦ May include Drug Free Workplace Act provisions, but they must be so identified 23

24.  Required “Administrative” Elements of a Compliant Policy – cont. ◦ Include a statement that all drug and alcohol testing will be conducted in accordance with 49 CFR Part 40 procedures (i.e., protect the employee and the integrity of testing process) ◦ Include a statement that each covered employee is required to submit to drug and alcohol tests administered in accordance with Part 655 24

25.  Required “Administrative” Elements of a Compliant Policy – cont. ◦ Documentation of policy approval/adoption (i.e., effective date, signatures) ◦ No provisions in the policy may be inconsistent with or have the effect of thwarting the FTA regulations ◦ Documentation of distribution to safety-sensitive employees 25

26.  Long enough to be compliant (i.e., include all of the elements we’ve discussed thus far)  Good policies can be as short as 12-15 pages or as long as 50 – it’s all a matter of style  Issues with longer policies: ◦ Increases the chance that something will be worded incorrectly or confusingly ◦ Decreases the chance that employees will actually read it 26

27.  Start from scratch – the auditors’ policy review checklist can be found on the FTA website ◦ http://transit- safety.fta.dot.gov/DrugAndAlcohol/Tools/ http://transit- safety.fta.dot.gov/DrugAndAlcohol/Tools/ ◦ Checklist can be used to conduct your own policy review while you write 27

28.  Obtain a model policy from another similar transit provider, Best Practices Manual, or auditor: edit, customize, finalize, adopt ◦ Finished product must actually describe local policies (e.g., 2nd chance vs. zero tolerance) ◦ Must do a complete entity name search-and-replace throughout document 28

29.  Spend 5 minutes reviewing the handout  Group Discussion to follow (6-8 minutes) 29

30.  Your policy is the bedrock upon which your entire drug and alcohol program rests…so it is well worth your time to get it right  49 CFR Part 655 dictates the specific elements that need to be included  Don’t just file it away once it is done: ◦ Learn it completely ◦ Review it frequently ◦ Update it as needed 30

31.  Lori will unveil a very exciting new development in the world of policy writing  10 minute demonstration  http://transit-safety.fta.dot.gov/DrugAndAlcohol/Tools/ http://transit-safety.fta.dot.gov/DrugAndAlcohol/Tools/ 31

32.  Lori and Ed are available to answer questions now, or feel free to track us down later 32