1. DOT-Mandated Reasonable Suspicion Supervisors’ Training Suffolk County Water Authority February 8, 2012 Dr. Donna Smith, Regulatory Compliance Officer EDPM, Inc. EDPM, Inc., 505 20th Street North, Suite 1200, Birmingham, AL 35203-4610 800.833.4610 | www.edpm.com

2. 2 505 20 th Street North The Financial Center, Suite 1200 Birmingham, Alabama 35203-4610 205.326.3100 ▪ 800.833.9412 www.edpm.com

3. Workplace Impacts of Substance Abuse 3.5 X more workplace accidents 3.5 X more workplace accidents 2.7 X more absences 2.7 X more absences 3 X more medical benefits usage 3 X more medical benefits usage 10-20% decreased productivity 10-20% decreased productivity Increased loss/shrinkage Increased loss/shrinkage Higher incidence of workplace violence Higher incidence of workplace violence

4. DOT Drug & Alcohol Rules Prohibited conduct Prohibited conduct – Use of controlled substances/illicit drugs and/or alcohol while on company property or while on-duty – Testing positive for drugs or alcohol – Refusing to test (including adulterating or tampering with a drug/alcohol test) – Use of alcohol 4 hr. before duty (8 hrs. for flight crew) – Use of alcohol after an accident prior to alcohol test (8 hrs. )

5. Consequences of DOT Violation Immediate removal from safety-sensitive duty Immediate removal from safety-sensitive duty – Applicants cannot be hired Referral information on Substance Abuse Professionals must be provided by employer Referral information on Substance Abuse Professionals must be provided by employer Must complete return to duty process prior to resuming safety-sensitive duties Must complete return to duty process prior to resuming safety-sensitive duties For an alcohol test result of.02-.039 BrAC, employee must be temporarily removed from duty For an alcohol test result of.02-.039 BrAC, employee must be temporarily removed from duty – 24 hrs. for CDL employee; 8 hrs. for FRA; 8 hrs or retest of <0.02 for all others Additional disciplinary actions are up to employer

6. DOT Drug and Alcohol Testing Pre-employment drug testing Pre-employment drug testing – Post-offer alcohol testing is authorized, not required Reasonable cause/suspicion drug/alcohol testing Reasonable cause/suspicion drug/alcohol testing – Based on behavior, conduct or appearance Post-accident drug/alcohol testing Post-accident drug/alcohol testing – For DOT defined work-related accidents. Random drug/alcohol testing Random drug/alcohol testing – PHMSA & USCG do not have random alcohol testing Return to duty and follow-up drug/alcohol testing Return to duty and follow-up drug/alcohol testing – as part of DOT return to duty process

7. Testing Procedures Urine drug testing Urine drug testing Evidential breath alcohol testing for alcohol Evidential breath alcohol testing for alcohol Employees will complete custody and control forms to document every test Employees will complete custody and control forms to document every test Tests will be conducted by qualified, trained personnel Tests will be conducted by qualified, trained personnel Drug test results will be reported to the MRO and then to designated Company contacts Drug test results will be reported to the MRO and then to designated Company contacts Alcohol test results are reported by the alcohol technician to the Company representative Alcohol test results are reported by the alcohol technician to the Company representative

8. Drug Testing Urine specimen provided by employee in private toilet enclosure Urine specimen provided by employee in private toilet enclosure Specimens poured into two bottles-labeled and sealed in employee’s presence Specimens poured into two bottles-labeled and sealed in employee’s presence Analyzed at a SAMHSA-certified laboratory—2 tests performed on the specimen before reporting it as positive Analyzed at a SAMHSA-certified laboratory—2 tests performed on the specimen before reporting it as positive Laboratory results reported to physician MRO Laboratory results reported to physician MRO MRO will contact employee and conduct interview to determine if prescription medications or other medical factors explain the test result MRO will contact employee and conduct interview to determine if prescription medications or other medical factors explain the test result MRO reports final result to Company representative MRO reports final result to Company representative Employee has the right to have the “split specimen” tested at a second laboratory to reconfirm the original findings. Employee has the right to have the “split specimen” tested at a second laboratory to reconfirm the original findings.

9. Alcohol Testing If initial test detects alcohol (0.02 BAC), a confirmation breath test is conducted after 15 minutes. If second test is 0.04 or greater it is a positive test. If initial test detects alcohol (0.02 BAC), a confirmation breath test is conducted after 15 minutes. If second test is 0.04 or greater it is a positive test. – DOT rules allow use of a saliva or non-evidential breath device for the initial test. – Confirmation test must always use an EBT Any test result less than 0.02 is a negative. Any test result less than 0.02 is a negative. Mouthwash, cough syrup, cold medicines, breath sprays, if used according to directions, will not produce a positive confirmation test Mouthwash, cough syrup, cold medicines, breath sprays, if used according to directions, will not produce a positive confirmation test Breath alcohol test will not detect acetone, ketones, and other biologically produced substances Breath alcohol test will not detect acetone, ketones, and other biologically produced substances Breath alcohol test is equal to a blood alcohol test Breath alcohol test is equal to a blood alcohol test

10. Reasonable Suspicion Testing Procedures Observe employee; isolate him/her away from work area and coworkers Observe employee; isolate him/her away from work area and coworkers Request another supervisor/manager to observe/interact with employee Request another supervisor/manager to observe/interact with employee Complete supervisory checklist/reasonable suspicion documentation Complete supervisory checklist/reasonable suspicion documentation Escort employee to testing site Escort employee to testing site Retain copies of testing forms Retain copies of testing forms Arrange to have employee transported home Arrange to have employee transported home Employee cannot return to work until negative test results are received. Employee cannot return to work until negative test results are received.

11. Reasonable Suspicion Testing DefinitionCriteriaProcedures

12. Reasonable Suspicion - Definition o Reasonable suspicion: is based on observations of an individual is based on observations of an individual  Contemporaneous—just before, during, or after duty period  What the supervisor sees, hears or smells is based on objective, documented criteria is based on objective, documented criteria  Capable of being expressed as signs or symptoms of possible use of drugs/alcohol o Reasonable suspicion testing: is used to “rule out” or eliminate alcohol or drug use as a cause of the individual’s behavior or appearance is used to “rule out” or eliminate alcohol or drug use as a cause of the individual’s behavior or appearance is not a diagnostic tool is not a diagnostic tool

13. Reasonable Suspicion Decision to test must be based on supervisor’s observations (whenever possible 2 supervisors/managers should observe employee) Decision to test must be based on supervisor’s observations (whenever possible 2 supervisors/managers should observe employee) Supervisor making observations must have completed training in RS testing Supervisor making observations must have completed training in RS testing Observations must be specific, contemporaneous and articulable, and must be documented on the Supervisor’s Checklist Observations must be specific, contemporaneous and articulable, and must be documented on the Supervisor’s Checklist Should test within 2 hours, discontinue after 8 hours Should test within 2 hours, discontinue after 8 hours

15. The Problem Employee Workplace signs of substance abuse include: Workplace signs of substance abuse include: – chronic lateness – excessive absences – decreased productivity – poor performance – problem interactions with others Time and attendance problems and changes in performance and productivity levels cannot trigger a reasonable suspicion test Time and attendance problems and changes in performance and productivity levels cannot trigger a reasonable suspicion test

16. Supervisor’s Role  Identify the specific observations of employee behavior and appearance  Confront the employee concerning the requirement to undergo a test  Fully explain the consequences of the employee’s refusal to comply  Supervisor does not need to identify the specific drug associated with the behavior or appearance  Supervisor should be alert to changes in the employee’s usual behavior and appearance

17. Confronting the Employee o Confronting the employee is the most difficult task o Confrontation should remain focused on employee behavior and appearance o RS test should be explained as a means to “rule out” prohibited drug/alcohol use o Do not accuse the employee of being “drunk”, “high” or under the influence of alcohol or drugs

18. Alcohol Misuse Signs & Symptoms

19. Effect of Alcohol Alcohol is a drug Alcohol is a drug Alcohol acts as a stimulant Alcohol acts as a stimulant Alcohol’s overall effect is a sedative or depressant Alcohol’s overall effect is a sedative or depressant Alcohol’s effects vary from individual to individual Alcohol’s effects vary from individual to individual Alcohol’s effects on an individual vary from occasion to occasion Alcohol’s effects on an individual vary from occasion to occasion Alcohol is measured in the blood during the absorption, peak and elimination phases of alcohol metabolism Alcohol is measured in the blood during the absorption, peak and elimination phases of alcohol metabolism The higher the BAC, the more pronounced the effects of alcohol The higher the BAC, the more pronounced the effects of alcohol

20. Alcohol Facts BAC is based on individual’s body weight, amount of alcohol consumed, and the time period over which it was consumed BAC is based on individual’s body weight, amount of alcohol consumed, and the time period over which it was consumed – A 170-lb. person metabolizes approximately 1½ drinks per hour, or BAC decreases at a rate of 0.015 per hour One Drink One Drink – 12 ounces of beer – 4½ ounces of wine – 1 to 1½ ounces of 80-86º liquor Alcohol concentration is measurable during absorption, peak, and elimination phases Alcohol concentration is measurable during absorption, peak, and elimination phases

21. Alcohol Concentrations Peak BAC based on alcohol drinks per hour

22. Alcohol Elimination 170 lb male eliminates.015 g/mL per hr 170 lb male eliminates.015 g/mL per hr 2 drinks per hr for 7 hrs; 2 drinks per hr for 7 hrs; Stops drinking at 1 AM Stops drinking at 1 AM 2 AM=.190 BAC; asleep 2 AM=.190 BAC; asleep 3 AM=.175 BAC 3 AM=.175 BAC 4 AM=.160 BAC 4 AM=.160 BAC 5 AM=.145 BAC 5 AM=.145 BAC 6 AM=.130 BAC; alarm goes off 6 AM=.130 BAC; alarm goes off 7AM=.115 BAC; drives to work 7AM=.115 BAC; drives to work 8 AM=.100 BAC; starts work 8 AM=.100 BAC; starts work 12 Noon=.040 BAC; Under the influence; violation of policy 12 Noon=.040 BAC; Under the influence; violation of policy

23. Alcohol Elimination: Number of hours to 0.00 BAC This is the approximate number of hours to zero BAC from the time drinking began.

24. Discussion: Part of brain with different responses to alcohol Part of brain with different responses to alcohol General slowing of various functions, some earlier than others General slowing of various functions, some earlier than others

25. Mental (.02 -.04) Mental functions affected by Alcohol Use Cognitive functions are first effected Cognitive functions are first effected Individual is unaware of impact at low levels (.02-.04) Individual is unaware of impact at low levels (.02-.04) Judgment, computation, decision making, short term memory retrieval Judgment, computation, decision making, short term memory retrieval

26. Mental (.02 -.04) Sensory (.04 -.06) Alcohol affects sensory perception Vision - decreased object tracking, night an peripheral vision background Hearing - diminished acuity, ability to sort background noise Smell - decreased sensitivity and selectivity Taste - decreased sensitivity and selectivity

27. Mental (.02 -.04) Sensory (.04 -.06) Speech & Fine Motor (.08 -.10) Psychomotor Functions Speech is one of the earliest motor skills to be affected Speech changes may include over-enunciation, slurring, or exaggerated speech patterns Coordination, reflexes and fine motor dexterity are diminished Reaction times are slower, movements appear delayed or reta rded

28. Mental (.02 -.04) Sensory (.04 -.06) Speech & Fine Motor (.08 -.10) Gross Motor (.10 -.25) Gross Motor Skills Gross motor skills are one of the last categories of functioning to be effected Gross motor skills are one of the last categories of functioning to be effected Most noticeable area is gait Most noticeable area is gait Head movements, spatial relationships and torso movements are effected Head movements, spatial relationships and torso movements are effected

29. Mental (.02 -.04) Sensory (.04 -.06) Speech & Fine Motor (.08 -.10) Gross Motor (.10 -.25) Balance (.25 -.35) Balance (.25 -.35) Balance and Navigation Balance is controlled by the inner ear Balance is controlled by the inner ear Alcohol intoxication vertigo (room spin) Alcohol intoxication vertigo (room spin) Nausea and vomiting Nausea and vomiting Balance and Navigation Balance is controlled by the inner ear Balance is controlled by the inner ear Alcohol intoxication vertigo (room spin) Alcohol intoxication vertigo (room spin) Nausea and vomiting Nausea and vomiting

30. Mental (.02 -.04) Sensory (.04 -.06) Speech & Fine Motor (.08 -.10) Gross Motor (.10 -.25) Balance (.25 -.35) Balance (.25 -.35) Life Threatening BAC Levels Brain stem involvement Slowing of autonomic nervous system functions Coma (respiratory and cardiovascular function depressed) Death (respiratory and cardiovascular systems failure) Life Threatening BAC Levels Brain stem involvement Slowing of autonomic nervous system functions Coma (respiratory and cardiovascular function depressed) Death (respiratory and cardiovascular systems failure) Brain Stem (.35 -.45) Brain Stem (.35 -.45)

31. Signs of Alcohol Intoxication o 0.02 - 0.08 Odor of alcohol on breath Odor of alcohol on breath Poor judgment, increased risk taking behavior Poor judgment, increased risk taking behavior Decreased reasoning ability, forgetfulness Decreased reasoning ability, forgetfulness Slower reflex reactions Slower reflex reactions

32. Signs of Alcohol Intoxication o 0.08 and above Clumsiness, staggering, unsteady gait Clumsiness, staggering, unsteady gait Poor coordination, slowed reflex, diminished reaction times Poor coordination, slowed reflex, diminished reaction times Bloodshot eyes, impaired tracking ability Bloodshot eyes, impaired tracking ability Slurred speech patterns Slurred speech patterns Exaggerated emotion, excitement, belligerent attitude Exaggerated emotion, excitement, belligerent attitude Disheveled clothing, poor personal grooming Disheveled clothing, poor personal grooming Flushed complexion, sweating Flushed complexion, sweating

33. Alcohol Odor Alcohol and alcohol byproducts give off a characteristic, distinct odor when being metabolized Alcohol and alcohol byproducts give off a characteristic, distinct odor when being metabolized Odor of alcohol persists on the breath following alcohol use as the alcohol is being metabolized in the body Odor of alcohol persists on the breath following alcohol use as the alcohol is being metabolized in the body Individuals often try to mask the odor by using breath fresheners, mints, etc. Individuals often try to mask the odor by using breath fresheners, mints, etc.

34. Multiple Signs and Symptoms Many signs and symptoms of alcohol or drug use can be due to other causes Many signs and symptoms of alcohol or drug use can be due to other causes A good “rule of thumb” is document at least two symptoms A good “rule of thumb” is document at least two symptoms – odor of alcohol on breath is the most definitive sign of recent alcohol use If signs and symptoms are associated with either alcohol or drug use, you should conduct both urine and breath tests If signs and symptoms are associated with either alcohol or drug use, you should conduct both urine and breath tests

35. Reasonable Suspicion Testing Signs & Symptoms of Drug Use

36. Illicit Drugs Testing for marijuana, cocaine, amphetamines, opiates, and PCP Testing for marijuana, cocaine, amphetamines, opiates, and PCP – Amphetamines includes amphetamine, methamphetamine, MDMA (Ecstasy) – Opiates includes morphine, codeine, & heroin Drugs are detectable in the urine long after the acute intoxication phase Drugs are detectable in the urine long after the acute intoxication phase Marijuana is detectable for several days after use and is cumulatively stored in the body Marijuana is detectable for several days after use and is cumulatively stored in the body Positive thresholds ensure that passive exposure or unknowing ingestion does not produce a positive drug test Positive thresholds ensure that passive exposure or unknowing ingestion does not produce a positive drug test

37. Impact of Illicit Drugs Mental and motor functioning are affected for many hours after use of the drug Mental and motor functioning are affected for many hours after use of the drug – Some studies show measurable motor and mental functioning impact for up to 24 hours after marijuana use – Stimulant drug use (cocaine, amphetamines) often contributes to sleep deprivation which impacts mental and motor functioning – Sedative drugs slow motor and mental functioning for hours after use Observable effects (physical signs and symptoms, speech, motor functioning)of drug use are often not present for more than a few hours after use. Observable effects (physical signs and symptoms, speech, motor functioning)of drug use are often not present for more than a few hours after use.

38. Appearance Signs and Symptoms o Appearance changes due to drug use range from subtle to extreme o Personal grooming often deteriorates or dramatic changes in hairstyle, clothing may occur o Eyes are very susceptible to the effects of drugs: eye movements such as tracking ability are affected eye movements such as tracking ability are affected pupil size is altered pupil size is altered bloodshot, watery or unfocused eyes bloodshot, watery or unfocused eyes o Profuse sweating, the chills, flushed or pallid complexion may be dues to the effects of the drugs o Marijuana has a distinct odor when smoked that clings to the user’s breath and clothing

39. Personality Changes Personality changes are the most difficult to specify Personality changes are the most difficult to specify Supervisor needs to be alert to changes in the employee’s usual personality traits or expression Supervisor needs to be alert to changes in the employee’s usual personality traits or expression Personality changes due to drug use often are sudden and dramatic Personality changes due to drug use often are sudden and dramatic

40. Speech Patterns o Stimulants create rapid, pressured speech patterns o Narcotics produce slow, thick, slurred speech o Hallucinogens may produce nonsense, fantasy speech

41. Social Interaction Changes Changes in social interaction are not specific to the drug Changes in social interaction are not specific to the drug Changes in social interaction vary from individual Changes in social interaction vary from individual Supervisors should be alert to changes in the employee’s usual patterns of interacting with others Supervisors should be alert to changes in the employee’s usual patterns of interacting with others

42. Psychomotor Changes Stimulants speed up the body’s motor activity Stimulants speed up the body’s motor activity Sedatives or narcotics slow down motor functions Sedatives or narcotics slow down motor functions Hallucinogens may produce bizarre motor movements Hallucinogens may produce bizarre motor movements Marijuana delays reaction times, impairs eye- hand coordination and creates unsteadiness Marijuana delays reaction times, impairs eye- hand coordination and creates unsteadiness

43. ….In Conclusion DOT Drug and Alcohol Testing Rules DOT Drug and Alcohol Testing Rules – Prohibited drug and alcohol conduct – Drug and alcohol testing procedures Reasonable Suspicion Testing Reasonable Suspicion Testing – Definition and criteria – Procedures and documentation Signs and symptoms of alcohol misuse Signs and symptoms of alcohol misuse Signs and symptoms of prohibited drug use Signs and symptoms of prohibited drug use

44. …..A Reminder Supervisors are responsible for assessing and evaluating their employees’ compliance with the DOT drug and alcohol standards on an ongoing basis Supervisors are responsible for assessing and evaluating their employees’ compliance with the DOT drug and alcohol standards on an ongoing basis Reasonable Suspicion testing is an essential tool for helping to determine an employee’s fitness for duty and for facilitating workplace safety Reasonable Suspicion testing is an essential tool for helping to determine an employee’s fitness for duty and for facilitating workplace safety

45. Want more info? Latest Posts Baseline Drug Testing Sets the Standard Mephedrone's effects similar to cocaine; no drug test yet available So You Think You Can Drug Test? Factor #5: Disciplinary Consequences California's Proposition 19 Defeated Medical Marijuana Industry Booming MI Looks at Implementing Road-Side Drug Testing Federal Government's Response to California Proposition 19 So You Think You Can Drug Test? Factor #4: Random Testing So You Think You Can Drug Test? Factor #3: Testing Panels Alberto Contador Possible Positive Drug Test Subscribe to EDPM’s Blog: http://blog.edpm.comhttp://blog.edpm.com EDPM, Inc, 505 20th Street North, Suite 1200, Birmingham, AL 35203-4610 800.833.4610 | www.edpm.com

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