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Reginald C. Reese VP, Safety and Risk Management.

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1 Reginald C. Reese VP, Safety and Risk Management

2 AUTHORITY TO TEST U.S. Department of Transportation (DOT) in 49 CFR Part 40, Part 382 and Part 655, as amended. – Federal regulation and compliance. Federal Transit Authority – FTA, Recipients of FTA funding FMCSA – Federal Motor Carrier Safety Administration – Everybody else… Drug and Alcohol Policy – FTA compliant policy. Additional requirements and/or disciplinary actions established under Keolis own authority are entered in ITALICS. These sections are to be considered regulations under corporate authority, and are enforceable.

3 AUTHORITY TO TEST Policies and Procedures Manual – One purpose of the Keolis Policies and Procedures is to communicate how Keolis and its employees will comply with or exceed applicable drug and alcohol regulations. In some cases, the provisions of these policies and procedures require Keolis employees to meet higher performance standards than those established by federal regulation. Drug and Alcohol procedures are included in each applicable section as corporate doctrine.

4 ACRONYMS, DEFINITIONS AND ABREVIATIONS TPA = Third Party Administrator – Concentra… or another Our service agent which provides and coordinates the provision of a variety of drug and alcohol testing services. Concentra may also be your employee health care provider. DAPM = Drug and Alcohol Program Manager DER = Designated Employer Representative SAPA = Substance Abuse Program Administrator An employee authorized by the employer to manage and monitor the drug and alcohol testing program. This person may make required decisions in the testing and evaluation process, maintain required records, update policy and procedures, and monitor contractors and vendors. The DAPM may also receive test results and other communications for the employer, consistent with the requirements of 49 CFR Part 655.

5 ACRONYMS, DEFINITIONS AND ABREVIATIONS MIS Report = Management Information Systems Report - Annual summary of drug and alcohol testing for the preceding period (month, quarter, semi annual or year). MRO = Medical Review Officer - A person who is a licensed physician and who is responsible for receiving and reviewing laboratory results generated by an employer's drug testing program and evaluating medical explanations for certain drug test results. BAT = Blood Alcohol Technician – Person who assists and instructs employees in the alcohol testing process and who operate an EBT = Evidential Breath Testing – Device through which blood alcohol content is measured through breath samples

6 ACRONYMS, DEFINITIONS AND ABREVIATIONS SAP = Substance Abuse Professional – Assigned by our EAP A person who evaluates employees who have violated a DOT drug and alcohol regulation and makes recommendations concerning education, treatment, follow- up testing, and aftercare. Life Solutions is our corporate Employee Assistance Program for most locations.

7 WHAT’S AT STAKE? Federal Compliance Contract Compliance Your Client’s Compliance with the FTA Local Budget Impact Employee Confidence TOTAL COMPLIANCE IS NOT COMPLICATED AT ALL!

8 MY ROLE AS CORPORATE DAPM (Drug and Alcohol Program Manager) I represent our corporation to ensure compliance with all applicable D & A Program regulations, collectively as a corporation, and as they concern individual properties. Represent you to our corporate TPA (Concentra, or whatever TPA you have been assigned by your client) to facilitate your needs. Represent Concentra’s needs to the individual properties and DERs on matters of policy and process. I am authorized to act as your corporate compliance representative, and one of your resources. I work with and for you, whether your TPA is Concentra or not!

9 REASONABLE SUSPICION Regulation: The testing referral will be made by a trained supervisor or company official based upon specific, contemporaneous, and articulable observations concerning the appearance, behavior, speech, or body odor of the employee. Train your dispatchers and other front line employees who may be in a position to initiate a reasonable suspicion “alert” in the absence of a supervisor. At the very least, rehearse the procedures by which an employee is processed for reasonable suspicion observation and testing. Practice the reasonable suspicion scenarios BEFORE they happen. Time and process are critical in these cases. This is no time for “guessing”.

10 PRE EMPLOYMENT TESTING Remember that there is another “pre-employment” test circumstance…….. “ When a covered employee or applicant has not performed a safety-sensitive function for 90 consecutive calendar days regardless of the reason, and the employee has not been in the employer’s random selection pool during that time, the employer shall ensure that the employee takes a pre employment test with a verified negative result.” –655.14 This is NOT a “return to duty” test!

11 POST ACCIDENT TESTS “Accident” according to the FTA’s definition is an occurrence associated with the operation of a vehicle if, as a result……..(fatality, medical transport or tow) Notice that the definition is not specifying a collision? We must test in cases of….. Fatality Disabling damage to any vehicle Injuries requiring immediate medical treatment away from the scene FTA Post-Accident DRUG and ALCOHOL test is required unless you determine, using the best information available at the time of the decision, that the employee’s performance can be completely discounted as a contributing factor to the accident. Any reason for discounting the employee’s performance as a contributing factor to the accident MUST be documented. ESCORT THE EMPLOYEE TO THE COLLECTION SITE!!

12 ALCOHOL TESTING Any safety sensitive employee found to have an alcohol concentration of 0.02 or greater but less than 0.04 will not perform, nor be permitted to perform, a safety-sensitive function for at least 8 hours following administration of the breath alcohol test, or if the employee was re-tested, the result was less than 0.02.

13 RANDOM POOL ADMINISTRATION Timely submissions Cleaned out, new roster sent quarterly or monthly “One stop” notification document prep is recommended Bracket time for sending each donor according to their duty schedule (in accordance with random spreading) Tests to take place during all times of operation Plan your spread BEFORE starting tests Time “sent” on notification form (know the time it should take for the employee to report) Check to see if TPA loaded the BAT results into the system. If not, load the BAT results. Track process using database Run Random Completion Reports (File) Check for vacations, leaves, unavailability before processing Document reasons why an employee cannot be tested

14 RANDOM TEST PLANNING 9 EMPLOYEES TESTED THE FIRST QUARTER OF 2012* *Times to send the employees selected should be projected here according to the employee’s schedule.

15 RANDOM TESTING Regulation: Random alcohol tests will occur just before, during, or just after the employee performs safety-sensitive work. Employees are required to proceed immediately to the collection site upon notification of their random selection. If the employee states that he/she cannot report for a random test after being notified, inform the employee that this will be considered and refusal to test, and could result in termination. Yes, you as the employer have some discretion here, but be aware of setting precedence.

16 Employee is immediately removed from safety sensitive duties. Once the MRO sends you the results, you have a confirmed positive. Contact HR, proceed with termination (under “zero tolerance” policy). In letter of termination, the employee must be advised of SAP services available to them. (Should they choose to utilize these services, the employee is responsible for the cost, as they will be terminated. Contact HR if there is a question on benefits.) Ask your HR department to give you formatted language for a substance related termination. POSITIVE TEST

17 (Scenario) An employee who has tested positive is contacted by the MRO and the MRO has issued a positive result. The employee insists that the split sample be tested. Your Question: The employee has a right to have the split test conducted. What do I do with this employee until the split results are determined?

18 You still have a “POSITIVE” test result. Process it for what it is. Questions: Has it been over 72 hours since the MRO spoke to the employee? Did the employee make the request to the MRO during the conversation? From the regulations: §40.171 How does an employee request a test of a split specimen? (a) As an employee, when the MRO has notified you that you have a verified positive drug test or refusal to test because of adulteration or substitution, you have 72 hours from the time of notification to request a test of the split specimen. The request may be verbal or in writing. POSITIVE TEST

19 (a) As the employer, you are responsible for making sure (e.g., by establishing appropriate accounts with laboratories for testing split specimens) that the MRO, first laboratory, and second laboratory perform the functions noted in 40.175 - 40.185 in a timely manner, once the employee has made a timely request for a test of the split specimen. (b) As the employer, you must not condition your compliance with these requirements on the employee's direct payment to the MRO or laboratory or the employee's agreement to reimburse you for the costs of testing. For example, if you ask the employee to pay for some or all of the cost of testing the split specimen, and the employee is unwilling or unable to do so, you must ensure that the test takes place in a timely manner, even though this means that you pay for it. Contact your TPA, and inform them that the employee is requesting the split specimen be tested. Have the COC number and all identifying information ready for the TPA.

20 (c) As the employer, you may seek payment or reimbursement of all or part of the cost of the split specimen from the employee (e.g., through your written company policy or a collective bargaining agreement). This part (regulation) takes no position on who ultimately pays the cost of the test, so long as the employer ensures that the testing is conducted as required and the results released appropriately. POSITIVE TEST

21 RECORD KEEPING INSPECTABLE ITEMS RECORDS MAINTAINED FOR ONE (1) YEAR: 1.Records of Verified Negative Drug Test Results 2.Keolis copy of custody and control forms RECORDS MAINTAINED FOR TWO (2) YEARS: 1. Records Related to the Collection Process 2. Education and Training Records

22 RECORD KEEPING INSPECTABLE ITEMS RECORDS MAINTAINED FOR THREE (3) YEARS Information from previous employers concerning drug and alcohol test results RECORDS MAINTAINED FOR FIVE (5) YEARS: 1.Records of Covered Employee Verified Positive Drug Test Results 2. Covered Employee Referrals to Substance Abuse Professional for Return To Duty and Follow Up 3. Annual MIS Reports.

23 COLLECTION SITE PROTOCOLS Should contain (at a minimum): Primary/Alternate Company Contacts Communication Methods (Fax, Phone, Email, Physical Address) Circumstances Requiring Authorization/Communication TPA Contact Information How BAT results are to be forwarded to our location How COC copy is to be forwarded to our location Daily “last test” time (the last time of day an employee can be sent and expect to have at test finished before site closes).

24 PRESCRIPTION MEDICATION Prescription / Non-Prescription forms must be completed by a Physician, Physician Assistant, Pharmacist, or Registered Nurse. (Completed forms) must be turned in to the Substance Abuse Program Administrator prior to the beginning of the shift. If the Substance Abuse Program Administrator is not available, forms must be turned in to the appropriate Department Manager, Senior Supervisor, or Foreman on duty Ensure the form is fully accessible to all employees. Employees are accountable to report, but the company must provide the form with which to do so. What happens when no form is provided upon reporting the medication use?

25 PRESCRIPTION MEDICATION Contact our TPA/MRO if side effects of the medication are not clearly indicated. Employees will not be allowed to perform any safety sensitive function until the Substance Abuse Program Administrator or the MRO has made a determination. Safety is first, always. Consequences can be devastating!!

26 FUELERS AND UTILITY EMPLOYEES Safety Sensitive or Not? ( 1 ) Operating a revenue service vehicle, including when not in revenue service; ( 2) Operating a non revenue service vehicle, when required to be operated by a holder of a Commercial Driver's License; (3) Controlling dispatch or movement of a revenue service vehicle; (4) Maintaining (including repairs, overhaul and rebuilding) a revenue service vehicle or equipment used in revenue service.

27 POLICY Give out copies or not? 655.15 – Policy Statement Content The local governing board of the employer or operator shall adopt an anti-drug and alcohol misuse policy statement. The statement must be made available to each covered employee, and shall include the following…… 655.16 Requirement to Disseminate Policy 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.

28 Open for Questions…… Thank you for all you do every day!

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