Rural Transit Enterprises Coordinated, Inc. d/b/a RTEC DRUG AND ALCOHOL POLICY MANUAL. February 2016

Rural Transit Enterprises Coordinated, Inc. d/b/a RTEC DRUG AND ALCOHOL POLICY MANUAL February 2016 Wd/empl/d&a22

TABLE OF CONTENTS LETTER TO THE EMPLOYEE... 4 100 POLICY STATEMENT (655.15)... 5 105 CONTRACTOR/AGENCY INFORMATION... 6 110 POLICY COMMUNICATIONS (EMPLOYEE AWARENESS)... 6 115 CONTACT PERSON... 7 120 INFORMATION DISCLOSURE... 8 125 CONDITION OF EMPLOYMENT; REQUIRED PARTICIPATION... 9 130 EMPLOYEE CATEGORIES... 11 135 CIRCUMSTANCES FOR DRUG AND ALCOHOL TESTING... 12 140 MEDICAL REVIEW OFFICER (MRO)... 13 145 SUBSTANCE ABUSE PROFESSIONALS (SAP)... 13 150 EFFECTS OF ALCOHOL... 14 Workplace Issues:... 15 155 ALCOHOL TESTING... 15 160 IDENTIFICATION OF CONTROLLED SUBSTANCES (DRUGS)... 16 165 CONTROLLED SUBSTANCE SPECIMEN COLLECTION... 17 165A INSUFFICIENT VOLUME/SHY BLADDER... 17 165B SPLIT SAMPLE TESTS... 18 165C ADULTERATED TESTS... 19 165D OBSERVING SPECIMEN COLLECTION... 21 170 PRE-EMPLOYMENT DRUG TEST... 22 170A REASSIGNMENT DRUG TEST FOR TRANSFERS OR FOLLOWING LEAVE OF ABSENCE... 24 175 REASONABLE SUSPICION TESTING... 24 180 POST ACCIDENT TESTING (NON-FATAL)... 25 180 POST ACCIDENT TESTING (NON-FATAL) CONTINUED... 26 180A DESIGNATED CONTACT PERSON... 27 185 POST ACCIDENT TESTING (FATAL)... 29 190 RANDOM TESTING... 29 195 CONSEQUENCES OF THE USE OF DRUGS AND MISUSE OF ALCOHOL... 30 200 ADDITIONAL TRANSIT/EMPLOYER PROVISIONS... 31 205 OVER-THE-COUNTER & PRESCRIPTION DRUG POLICY SUMMARY... 32 SUMMARY OF DO'S AND DON'TS... 34 210 ATTACHMENTS... 36 POLICY APPROVAL BY THE GOVERNING BOARD... 37 NOTICE TO APPLICANT... 38 2

DRUG AND ALCOHOL FREE WORKPLACE ACT... 39 CONFIRMATION OF RECEIPT... 40 Release of Information Form -- 49 CFR Part 40 Drug and Alcohol Testing... 41 Testing Notification and Fact Sheet... 42 215 AMENDMENTS... 43 3

RURAL TRANSIT ENTERPRISES COORDINATED, INC. d/b/a RTEC 100 MAIN STREET MOUNT VERNON, KENTUCKY 40456 Telephone: 606-256-9835 Toll Free: 800-321-7832 Fax #: 606-256-4319 Letter to the Employee Subject:Drug and Alcohol Free Workplace RTEC operates a drug free and alcohol free workplace. It is our policy to prohibit drug use at all times by our safety-sensitive employees. In addition, alcohol consumption by our safety-sensitive employees is prohibited while performing, and for four (4) hours prior to performing safety-sensitive functions. Additionally, alcohol consumption is prohibited for eight hours following involvement in an accident or until employee is tested, whichever comes first. RTEC will conduct tests to determine whether employees have used alcohol or drugs. These written policies and procedures will apply to you based upon the job functions you perform at RTEC. To help you better understand our policy and procedures; the following information will be available at all times in RTEC's office: (1) Contact person, (2) Safety-sensitive employee categories, (3) When employees are required to be in compliance, (4) Prohibited behavior, (5) Circumstances when employee is tested, (6) Testing procedures, (7) Mandatory testing requirement for safety-sensitive functions, (8) Consequences of refusing to submit to a test, (9) Consequences of a verified positive drug test result, (10) Consequences of an alcohol concentration of 0.04 or greater, (11) Telephone numbers for Substance Abuse Professionals in the area, (12) Information concerning the effects of alcohol misuse. Thank you very much for your cooperation in implementing these important safety regulations. If you have any questions regarding the regulations or RTEC's policy and procedures, please contact Shirley L. Cummins or Dale Shelton at telephone 606-256-9835 or toll free (800) 321-7832. Sincerely, Shirley L. Cummins Executive Director 4

100 POLICY STATEMENT (655.15) DRUG AND ALCOHOL POLICY Rural Transit Enterprises Coordinated, Inc., d/b/a RTEC 100 East Main Street, Mt. Vernon, Kentucky 40456 Telephone: 606-256-9835 The objective and purpose of Rural Transit Enterprises Coordinated, Inc. d/b/a RTEC Drug and Alcohol Policy are to ensure a safe, drug free and alcohol free working environment for the employees and customers we serve. It is our intention to prohibit drug use and alcohol misuse in the workplace. RTEC has a Zero-Tolerance Policy. A copy of the policy will be provided to every safety-sensitive employee. The policy will be in accordance with the provisions, requirements and regulations of the USDOT/Federal Transit Administration Drug and Alcohol Rule, 49 CFR Part 655, Prevention of Alcohol Misuse and Prohibited Drug Use in Transit Operations, as amended, and USDOT 49 CFR Part 40, Procedures for Transportation Workplace Drug and Alcohol Testing Programs, as amended; and US DOT/ Federal Motor Carrier Safety Administration Regulation, 49 CFR Part 382, Controlled Substances and Alcohol Use and Testing. The policy and/or provisions of RTEC will be italicized hereinafter. In an effort to coordinate public transportation services to the fullest extent possible, the Rural Transit Enterprises Coordinated, Inc. d/b/a RTEC with the approval of the Kentucky Transportation Cabinet - Office of Transportation Delivery (KYTC) may develop subcontracts for transportation services with the use of Federal Transit Administration (FTA) Section 5311 funds. The subcontractors will also be required to comply with these Regulations. RTEC, a recipient of funds through the KYTC and the Federal Transit Administration (FTA) is also required to develop policies that prohibit drug use and alcohol misuse in the workplace for its subcontracts. In order for RTEC to remain in compliance with the requirements, and its desire to ensure a safe, drug free and alcohol free working environment for the employees and customers it serves, RTEC requires agencies or subcontracts to comply with these policies. Therefore, all subcontracts cooperatively agree to comply with RTEC's Drug and Alcohol Policy under the requirements of FTA, or otherwise not share in the FTA funds. Comment: Currently, RTEC does not have subcontractors under FTA. RTEC may add comments to policies in the Drug and Alcohol Policy. RTEC s provisions and/or Federal Motor Carrier Safety Administration (FMCSA) requirements that differ from FTA requirements are herewith expressed in Italics. FMCSA & FTA testing will be US DOT compliant. All other testing that does not fall under DOT FMCSA or FTA testing will be considered and conducted as Non-DOT. The only time FMCSA rules concerning drug and alcohol testing would apply to an employer receiving FTA funds would be if a significant portion of the workforce spends more time driving for services that are not FTA funded or counted toward FTA funding. Those employees with a majority of FTA funded duties must be in an FTA compliant program, while those employees spending the majority of the time on non-fta-funded CDL related duties would be in a FMCSA compliant program. All employees may be combined in the same random testing pool provided the testing rate is the same, or the higher of the two rates published in the federal register for the calendar year is used. FTA s pre-employment, post-accident testing rules, training and education, etc. must be followed for any employee subject to FTA s 49 CFR Part 655 rules rather than FMCSA s 49 CFR Part 382 rules. 5

105 CONTRACTOR/AGENCY INFORMATION Policy: RTEC, the direct recipient of FTA funds is ultimately responsible for compliance with these regulations. If RTEC contracts with another agency or firm to provide safety-sensitive job functions, the agency through a contract arrangement is accountable for compliance with these regulations. However, since a direct recipient (RTEC) of FTA funds cannot distance themselves from the regulation by delegating all responsibility for compliance to the contractor/agency, RTEC will ensure the contractor/agency establishes compliant programs and then will monitor them over the course of the contract and take whatever steps it believes is necessary to ensure contractor compliance. At a minimum, the contractor will provide RTEC a copy of their policy; employee and supervisor training documentation; name, and location of the testing site, laboratory, MRO, BAT, and SAP; a description of their random selection process; quarterly management reports summarizing test results; and annual MIS reports. Implementation of the FTA mandated drug and alcohol program is not subject to bargaining, unless RTEC chooses not to accept FTA funding. The policy stated herein is subject to technical revisions and/or modification by the Federal government; thus changes/revisions by the agency. If the contractor/agency is unwilling to establish or maintain a program meeting RTEC's minimum requirement, RTEC (the recipient) will take action to remedy the situation as soon as possible or terminate the contract. When RTEC contracts with service providers that are already required to comply with Federal Motor Carrier Safety Administration (FMCSA) drug and alcohol testing regulations, these contractors must be able to segregate the employees that provide transit service from those that operate commercial vehicles. The employer is required to establish programs for each group of employees allowing for corresponding differences in the modal rules. If the contractor's employees operate both transit and commercial vehicles, the employer will determine which modal administration; FTA or FMCSA regulates the majority of the employees' safety-sensitive functions. Once determined, the employee will be subject to pre-employment and random testing under the regulatory authority of the primary modal administration. The FTA and FMCSA covered employees can be combined into one random pool, but the employer will distinguish between FTA and FMCSA tests for reporting purposes. It is possible to have one policy comply with both rules. However, the assignment of regulatory authority for reasonable suspicion and post-accident testing will depend on the function an employee is performing at the time of the incident. Procedure: RTEC is a recipient of FTA funds, therefore FTA is the primary modal program. Comment: RTEC employees will be subject to pre-employment and random testing under the regulatory authority of FTA, the primary modal administration. RTEC does not subcontract FTA funds. 110 POLICY COMMUNICATIONS (Employee Awareness) Policy: Safety-sensitive employees must be aware of RTEC's policy on prohibition of controlled 6

substances and alcohol misuse in the workplace. Procedure: (1) Employees will be made aware of the RTEC Drug and Alcohol Policy and the effect it will have on them. A notification letter and a copy of the policy will be given to each employee. Applicants and current employees will sign and date an agreement to pre-employment drug testing and participation in RTEC's Drug and Alcohol Program (Attachment II). (2) During the orientation of a new safety-sensitive employee, he/she will receive a minimum of two hours of training on the effects of drugs and alcohol. Ongoing awareness will be reinforced during training, meetings, and continuing dialogue between management and employees as well as through displays, newsletters, bulletin board announcements, and informational pamphlets to serve as reminders and reinforce the key points of the entire policy. RTEC's Policy Manual will be kept updated as FTA Regulations may change. Amendments to RTEC's policy will be provided to the employee. (3) A copy (Attachment III) of the Drug-Free Workplace Act governing FTA regulations is provided to each employee. Each employee will sign and date an Agreement. (4) Each employee will sign and date a confirmation of receipt (Attachment IV) of the Drug and Alcohol Policy Manual. Comment: All employees and companies who stand in the shoes of RTEC are expected to gain a full understanding and knowledge of the Drug and Alcohol Policy of RTEC. Each employee and agency will fully cooperate in the event a test is prompted. Failure of an agency to properly carry out the obligations toward this policy may result in the loss of FTA, KYTC funds or the receipt of funds under agreement with RTEC. Failure of an employee to fully cooperate with testing procedures and this policy will be considered as a refusal to be tested and grounds for discharge of the employee. In cases of subcontracts, the subcontracting agency assumes the role of RTEC within these policies. 115 CONTACT PERSON Policy: RTEC will identify its contact person in the event there are questions regarding the Drug and Alcohol Program. Procedure: C. Dale Shelton II is the Designated Employer Representative (DER) who represents RTEC as a contact for Drug and Alcohol Program employee inquiries. In the absence of C. Dale Shelton II, Mat Getsi or Shirley L. Cummins represents RTEC as a contact for Drug and Alcohol Program inquiries. Questions about the drug and alcohol program may be addressed to the above individuals at the telephone numbers: 606-256-9835 and (800) 321-7832, or to the RTEC office, 100 Main St., Mt. Vernon, Kentucky 40456. 7

This list of contact persons' names, office location and telephone numbers will be posted on each bulletin board at the RTEC office and the bulletin boards of each agency under contract with RTEC for FTA funds. Posting will also reflect any new contact person(s) for our Drug and Alcohol Program. The following individuals/supervisors are trained to recognize controlled substance abuse and alcohol misuse in the workplace for Reasonable Suspicion Testing Purposes (Additional Staff Supervisors may also be trained in Reasonable Suspicion): Shirley L. Cummins Dale Shelton Matthew Getsi 120 INFORMATION DISCLOSURE Policy: Employers are required to maintain records in a secure manner so that disclosure of information to unauthorized persons does not occur. Each transit system's drug and alcohol policy will clearly define to whom and under what circumstances testing records will be released. The regulations state the following circumstances under which information can be released: 1. To a third party only as directed by specific written instruction of the employee; 2. To the decision-maker in a lawsuit, grievance, or other proceeding initiated by or on behalf of the employee tested; 3. To subsequent employer upon receipt of written request from the employee; 4. To the employee, upon written request; 5. To the National Transportation Safety Board during an accident investigation; and 6. To the DOT or any DOT agency with regulatory authority over the employer or any of its employees or to a state oversight agency authorized to oversee rail fixed-guideway systems. Procedure: An employee's request for release of information will specifically identify the person to whom the information is to be released, the circumstances under which the release is authorized, and the specific kind of information to be released, (i.e., results of any DOT-mandated drug tests). A separate release must be signed each time information is to be disclosed. This includes the release of information to the employees' representative. In a case where records are subpoenaed in criminal or civil suits, required for inspection by the state highway patrol, or state transportation board, or other freedom of information statutes, RTEC will first consult with its legal staffs regarding the jurisdiction over these records before they are released. RTEC will obtain consent from each applicant for a safety-sensitive position to obtain test results from their previous DOT-covered employers for the previous two years (CFR Part 40.25). The DOT has 8

developed and published a standardized form to be used for this purpose and we have included a copy in this policy as Attachment V. DOT covered employers that do not release information when requested are in direct violation of the rule. If employers subsequently find that an applicant previously tested positive or violated a DOT rule, the employer may not assign the applicant safety-sensitive job duties until the employee has successfully completed the return-to duty process as outlined in Part 40 Subpart O. Comment: RTEC does not provide rehabilitation or return to duty testing, therefore it is RTEC's policy that applicants for a safety-sensitive job duty who have a record of a drug or alcohol related offense during the previous five (5) years (indicated by the applicant's statement, previous work history, public record, or verified by the background check) will be disqualified from hire. The drug and alcohol testing records are maintained confidentially in locked files at RTEC under the direction of the Drug and Alcohol Program Manager. An employee file will not be released without a written request of the individual with specific instructions of whom to release the information, or under other circumstances as required by the FTA as listed above. 125 CONDITION OF EMPLOYMENT; REQUIRED PARTICIPATION Policy: Participation in RTEC's prohibited alcohol and substance testing program is a requirement of each safety-sensitive employee and, therefore, is a condition of employment prescribed by 49 CFR Part 655, Federal Transit Administration. (1) Employees are prohibited from engaging in unlawfully manufacturing, distributing, dispensing, possessing, or using alcohol and controlled substances in the workplace consistent with the Drug Free and Alcohol Free Workplace Act of 1988. (2) Possession of drugs or alcohol on transit vehicles, in any transit facilities, or work premises is prohibited. (3) Prohibited employee conduct includes using alcohol while performing safety-sensitive functions, using alcohol, within four (4) hours prior to performing safety-sensitive functions, performing a safety-sensitive function with an alcohol concentration 0.04 or greater, using alcohol within eight (8) hours following an accident which requires employee to take an alcohol test. (4) Employees can be tested before, during, or immediately after safety sensitive duty for alcohol. Use and ingestion of prohibited drugs are prohibited at all times. Testing for prohibited drugs can occur at all times and days of the on-duty work period. (5) A refusal to take the drug or alcohol test is considered as a positive test. The following incidents will constitute a refusal to take a test: a. Inability to provide sufficient quantities of breath or urine to be tested without a valid medical explanation, b. Tampering with or attempting to adulterate the specimen or not reporting to the collection site in the time allotted, or c. Leaving the scene of an accident without a valid reason or leaving collection site before tests have been conducted. 9

Procedure: Participation in RTEC's prohibited alcohol and substance testing program is a requirement of each safety-sensitive employee and, therefore, is a condition of employment. Under Part 40.191(a) the following behaviors constitute a test refusal: (1) Fail to appear for any test (except a pre-employment test) within a reasonable time, as determined by the employer; (2) Fail to remain at the testing site until the testing process is complete; (3) Fail to provide a urine specimen for any required drug test; (4) Failure to permit the observation or monitoring of the specimen collection when required to do so; (5) Failure to provide a sufficient amount of urine when directed and there is no adequate medical explanation for the failure; (6) Failure to take a second test when directed to do so by the employer or collector; (7) Failure to undergo a medical examination when directed to do so by the MRO or employer; (8) Failure to cooperate with any part of the testing process (e.g., refuse to empty pockets when directed by the collector, behave in a confrontational way that disrupts the collection process, fail to wash hands after being directed to do so by the collector); (9) Failure to follow the observer s instructions during an observed collection including instructions to raise your clothing above the waist, lower clothing and underpants, and to turn around to permit the observer to determine if you have any type of prosthetic or other device that could be used to interfere with the collection process; (10) Possess or wear a prosthetic or other device that could be used to interfere with the collection process; (11) Admit to the collector or MRO that you adulterated or substituted the specimen. Also, if the MRO verifies an adulterated/substituted sample, this is considered a refusal to submit to a test. A refusal to submit to a drug or alcohol test will be treated the same as a positive test result. As an employee, you are considered to have refused to take an alcohol test if you: (1) Fail to appear for any test (except a pre-employment test) within a reasonable time, as determined by the employer, consistent with applicable DOT agency regulations, after being directed to do so by the employer. This includes the failure of an employee (including an owner-operator) to appear for a test when called by a C/TPA; (2) Fail to remain at the testing site until the testing process is complete; Provided, That an employee who leaves the testing site before the testing process commences for a pre-employment test is not deemed to have refused to test; (3) Fail to provide an adequate amount of saliva or breath for any alcohol test required by this part or DOT agency regulations; Provided, That an employee who does not provide an adequate amount of breath or saliva because he or she has left the testing site before the testing process commences for a pre-employment test is not deemed to have refused to test; (4) Fail to provide a sufficient breath specimen, and the physician has determined, through a required medical evaluation, that there was no adequate medical explanation for the failure; (5) Fail to undergo a medical examination or evaluation, as directed by the employer as part of the insufficient breath procedures outlined at 40.265(c); (6) Fail to sign the certification at Step 2 of the ATF or (7) Fail to cooperate with any part of the testing process. (40.261) During a pre-employment drug test, RTEC will consider the following as not eligible for hire, but not considered as positive: (1) Failure to appear, (2) Failure to remain at site prior to commencement of test, and (3) Aborting the collection before the test commences. During a pre-employment drug test, if the MRO requires an applicant to undergo a medical examination as part of the verification process for opiates, and the applicant fails to undergo the examination, the MRO will consider this a test refusal if a contingent offer of employment has been made. If a contingent offer of employment has not been 10

made, the MRO will report the test as cancelled. Comments: RTEC's safety-sensitive employees will be informed of the Drug and Alcohol Policy and the conduct expected of them. The Program Manager will answer questions regarding the policy, along with a written copy of the policy Manual. RTEC will not hire or continue to employ an individual who refuses to participate or refuses to be tested in the Drug & Alcohol program it has established. Refusal to submit to a drug or alcohol test is considered as unwilling to participate (which is a condition of employment) in the program and a violation of the policy and not eligible for employment. An employee will be considered to have refused a drug or alcohol test if he/she fails to cooperate with any part of the testing process (49 CFR part 40.191 and Part 40.261). Employees who are convicted of a drug or alcohol related offense would be in violation of this Drug and Alcohol Policy. Compliance with this policy is a condition of employment. Participation in the verification process of confirmed positive test results is required. 130 EMPLOYEE CATEGORIES Policy: All employees who perform safety-sensitive functions will be subject to the testing provisions set forth in the FTA regulations (49 CFR Part 655). FTA has determined that safety-sensitive functions are performed by those who: 1. Operate revenue service vehicles including when not in revenue service, 2. Operate non-revenue service vehicles that require drivers to hold CDLs, 3. Dispatch or control revenue service vehicles, 4. Maintain revenue service vehicles or equipment used in revenue service except for contractors to Section 5311 transit agencies, 5. Provide security and carry a firearm, 6. Supervisors who perform any of the above functions. (Supervisors of employees in these categories but who do not themselves perform these functions are excluded.) 7. Any individual who volunteers to perform these services only when required to hold a CDL or receives remuneration in excess of their actual personal expenses incurred while engaged in the volunteer activity. Procedure: Employees who perform safety-sensitive job functions are required to participate in the Drug and Alcohol Program outlined within this Manual. 11

The following is a list of the safety-sensitive job functions and corresponding position titles that identifies which employees are specifically covered: Comment: 1. Drivers/Substitute Drivers of Section 5311 Vehicles and CDL Holders, 2. Dispatchers, Substitute Dispatchers, and Schedulers who control the movement of revenue service vehicles, 3. Mechanics, except third party contracts 4. Maintenance Supervisors who perform safety-sensitive duties, and 5. Supervisors who perform the above safety-sensitive job functions. RTEC does not use volunteers. Non-safety sensitive employees are also required to participate in the Drug and Alcohol Free Workplace and will be subject to testing under reasonable suspicion. All RTEC employees are subject to Non-DOT drug & alcohol testing. 135 CIRCUMSTANCES FOR DRUG AND ALCOHOL TESTING Policy: The Federal Transit Administration requires that drug and alcohol tests be given to safety-sensitive employees in specific circumstances. (1) Drug Tests are performed under the following circumstances: a. Pre-employment; (Including assignment or reassignment to a safety-sensitive job function) b. Reasonable suspicion; c. Post-accident; and d. Random; The Federal Transit Administration requires that drug and alcohol tests be given to safety-sensitive employees in specific circumstances when an employer retains an employee following the receipt of a positive test. However, with RTEC s policy of immediate termination of employment following the receipt of a positive drug test, Return to Duty and Follow-Up Testing are not applicable to RTEC. (2) Blind Sample Tests: In addition to the above types of testing, transit systems are also required to perform blind sample testing as a quality assurance measure for the testing laboratory (40.31). (3) Alcohol Tests are performed under the following circumstances: a. Reasonable suspicion; b. Post-accident; c. Random; 12

Procedure: The procedures for drug and alcohol testing are further outlined within this policy. Blind sample testing is conducted by the drug and alcohol substance abuse management company under an Agreement with the State's Consortium which RTEC is a member. Comment: Return to Duty and Follow Up testing is not applicable to RTEC employees or its contractors with the established policy to immediately terminate the employment of an employee who has a confirmed positive drug test result or an alcohol concentration level of 0.04 or greater. 140 MEDICAL REVIEW OFFICER (MRO) Policy: The FTA regulation requires that all drug testing laboratory results will be reviewed by a qualified Medical Review Officer (MRO). The purpose of this review is to verify and validate test results. An MRO is defined in the regulation as a licensed physician responsible for receiving laboratory results generated by an employer's drug testing program who has knowledge of substance abuse disorders and has appropriate medical training to interpret and evaluate an individual's confirmed positive test result together with his or her medical history and any other relevant biomedical information. RTEC shall strictly adhere to all standards of confidentiality and assure all employees that testing records and results will be released only to those authorized by the FTA rules to receive information. Procedure: RTEC is represented by a Substance Abuse Management Company under an agreement with the State's Consortium which RTEC is a member. The Management Company provides the MRO services as required by the FTA Rule. The MRO will contact RTEC's Program Manager(s) who is specifically identified as the contact person(s) to receive confidential records and employee test results. 145 SUBSTANCE ABUSE PROFESSIONALS (SAP) Policy: The drug and alcohol testing regulations require that individuals who test positive or refuse to take a test be referred to a Substance Abuse Professional (SAP) for assessment. The SAP's fundamental responsibility is to provide a comprehensive face-to-face assessment and clinical evaluation to determine if the employee needs assistance resolving problems associated with alcohol use or 13

prohibited drug use and to recommend a treatment program and direct the employee's follow-up testing program. The Federal Register defines a SAP as A licensed physician (Medical Doctor or Doctor of Osteopathy); or one of the following; a licensed or certified psychologist; a licensed or certified social worker; a licensed or certified employee assistance professional; a state-licensed or certified marriage and family therapist, or an addiction counselor (Certified by the National Association of Alcoholism and Drug Abuse Counselors Certification Commission or by the International Certification Reciprocity Consortium/Alcohol and other Drug Abuse). All must have knowledge of and clinical experience in the diagnosis and treatment of alcohol and controlled substances-related disorders. Individuals that do not meet these requirements cannot serve as SAPs. The Agency/Company may employ individuals that are SAPs, but the agency program cannot be considered the SAP; SAPs will be specific individuals. (40.281) Procedure: In the event any employee receives a verified positive drug test result, an alcohol test result of 0.04 or greater, or refuses to submit to a test, or any other activity that violates the regulations, that employee should be evaluated by a Substance Abuse Professional (SAP). RTEC recommends and refers the individual (at their own expense), to a Substance Abuse Professional (SAP) at one of the following locations: Paul D. Dalton, MS, LPCC, CRC, CADC 501 Darby Creek Road Suite # 11 Lexington, KY 40509 859-338-0466 Phone 859-294-0802 Fax 150 EFFECTS OF ALCOHOL Physically, alcohol enters the bloodstream almost immediately, circulates to the brain and all the organs, and depresses the central nervous system, slowing thought processes, reflexes, and other physical skills. Mentally, its effects vary. In small doses, the user may feel relaxed, talkative, happy, excited. In larger doses, the person often feels confused, moody, angry, or unhappy. Larger doses result in unconsciousness, coma, and even death. Dangers include physical harm such as addiction, damage to the brain, liver and other organs harm to babies whose mother's abuse alcohol during pregnancy, overdose and death. Drinking and driving is the greatest cause of fatal crashes. 14

Alcohol is a major factor in many divorces and in family, school and job problems. Alcohol abuse is often a factor in crimes and violence. Workplace Issues: Alcohol is eliminated at a constant rate (approximately an hour and a half for every one serving of alcohol) and only TIME will work to eliminate alcohol from the body. Alcohol begins to hit the brain in as little as 3 minutes and can lead to decreased attention and judgment with impairment and increased reaction time. A person who is legally intoxicated is 6 times more likely to have an accident than a sober person. 155 ALCOHOL TESTING Policy: FTA Regulation (49 CFR part 655) requires breath alcohol testing on safety-sensitive employees. The breath specimen will be collected through the use of an evidential breath-testing device (EBT) that is approved by the National Highway Traffic Safety Administration (NHTSA). A Breath Alcohol Technician (BAT) will perform the test. Only individuals qualified as Screen Test Technicians (STT) are permitted to perform initial alcohol screens with non-evidential testing devices. FTA Regulation prohibits any employer from allowing an employee with an alcohol concentration of 0.04 or greater to perform any safety-sensitive duties until he/she has been evaluated by an SAP and has passed a return to duty test. An employee with an alcohol concentration of 0.02 or greater but less than 0.04 will be removed from duty for eight (8) hours or until a retest shows an alcohol concentration of less than 0.02. Reference is made to Evidential Breath Testing Device (EBT) (40.53). Alcohol tests should be conducted at a site (Reference 40.57) that provides privacy to the individual being tested. The testing site will be secured with no unauthorized access at any time the EBT is unsecured or when testing is occurring. The BAT will conduct only one test at a time and will not leave the testing site while the preparations for testing or test itself are in progress. If an alcohol testing site fully meeting all the visual and aural privacy requirements is not readily available, it is permissible for a reasonable suspicion or post-accident test to be conducted at a site that partially meets these requirements. The BAT shall conduct the test in a manner that provides the employee with privacy to the greatest extent practicable. Reference is made to Breath Alcohol Technician (BAT) (40.51). RTEC shall identify the individual(s) that will serve as agency BATs. The direct supervisor of an employee to be tested for alcohol misuse will not serve as the BAT for that employee. 15

In addition to using a BAT through other sources, RTEC has the following staff that is certified and will serve as BAT: C. Dale Shelton II and Freda Parsons. RTEC reserves the right to train additional staff to serve as BATs. Procedure: (1) An employee must not consume alcohol while performing a safety-sensitive function, four hours prior to performing a safety-sensitive function, and up to eight hours following an accident or until the employee undergoes a post-accident test, whichever occurs first. (2) The BAT will instruct the employee to blow forcefully into the mouthpiece for at least six (6) seconds or until an adequate amount of breath has been obtained. Delaying Screen Test to allow mouth alcohol to dissipate is NOT allowed. Following the screening test, the BAT will show the employee the result displayed on the EBT or the printed result. If result of the test is less than 0.02, no further testing is required and the test will be reported to the employer as a negative test. Employee may return to his safety-sensitive position. If the result of the screening test is an alcohol concentration of 0.02 or greater, confirmation test will be performed. The confirmation test will be conducted at least 15 minutes but not more than 30 minutes after completion of the initial test. During this wait time the BAT will instruct the employee not to eat, drink, put anything into his or her mouth, or belch. The BAT will explain the reason for the wait to the employee and that the wait is to benefit the employee. The BAT or other employer representative must observe the employee during the waiting period. Comment: Test results of an alcohol concentration of 0.04 or greater shall result in immediate termination of the employee involved. 160 IDENTIFICATION OF CONTROLLED SUBSTANCES (Drugs) Policy: Under the FTA drug testing regulation for safety-sensitive employees, RTEC is required to conduct laboratory testing of urine specimens for five types of drugs (655.15). Identification of either a drug or its metabolite in the urine indicates use of the drug in the recent past. The FTA regulation requires testing for the following prohibited drugs or their metabolites: 1. Marijuana (THC), 2. Cocaine, 3. Opiates (e.g. heroin, morphine, codeine), 4. Phencyclidine (PCP), 5. Amphetamines (e.g. racemic amphetamine, dextroamphetamine, methamphetamine, MDMA[Methylenedioxymethamphetamine] Ecstasy, MDA [Methylenedioxyamphetamine] &MDEA [Methylenedioxyethylamphetamine] amphetamine analogues) All drug testing under the DOT/FTA regulations will be completed in a laboratory certified by the Department of Health and Human Services (DHHS). 16

Procedure: The Substance Abuse Management Company representing RTEC under an agreement with the State's Drug and Alcohol Consortium will use only those laboratories certified by HHS under the National Laboratory Certification Program as meeting the minimum standards of Subpart C of the HHS Mandatory Guidelines for Federal Workplace Drug Testing Programs. A Positive Result is a result reported by an HHS-certified laboratory when a specimen contains a drug or drug metabolite equal to or greater than the cutoff concentrations. A Negative Result is a result reported by an HHS-certified laboratory to an MRO when a specimen contains no drug or the concentration of the drug is less than the cutoff concentration for the drug or drug class and the specimen is a valid specimen. (For specific requirements, refer to 49 CFR, part 40 as amended) 165 CONTROLLED SUBSTANCE SPECIMEN COLLECTION Policy: Collection Site: All urine specimens will be collected at an appropriate collection site. A collection site is defined (40.3) as a place designated by RTEC and the Statewide Drug and Alcohol Committee as a place where individuals present themselves for the purpose of providing a specimen of their urine to be analyzed for the presence of drugs. Regardless of the collection site location, it will meet the Department of Transportation guidelines established in Procedures for Transportation Workplace Drug and Alcohol Testing Program (49 CFR part 40). The site will have a privacy enclosure for urination, a toilet, a suitable clean writing surface and a water source for hand washing, which if practicable, will be outside the privacy enclosure or capable of water shut-off by collector. The use of Instrumented Initial Testing Facilities (IITFs) will not be allowed for DOT testing. Collection Site Personnel: The collection site personnel are responsible for the integrity of the specimen collection and transfer process, and for ensuring the dignity and privacy of the donor. In addition to using a Collection Site through other sources, RTEC has the following staff that is certified and will serve as D.O.T. Collectors and Collector Instructors: C. Dale Shelton II and Freda Parsons. RTEC reserves the right to train additional staff to serve as D.O.T. Collectors. Collection Process: (For specific requirements, refer to 49 CFR, part 40 as amended) 165A Insufficient Volume/Shy Bladder Policy: The collection process, once initiated, must be completed. Without a medical explanation, the individual's inability to provide sufficient volume is considered a refusal to be tested. Procedure: (1) If an individual is unable to provide sufficient volume (45 ml) of urine for a drug test, the 17

collection site technician shall instruct the individual to drink not more than 40 ounces of fluids, and after a period of up to three hours, again attempt to provide a complete sample. The collection site is required to allow an individual up to 3 hours to provide a sufficient specimen following an initial attempt that resulted in an insufficient volume. The collector will ensure that the donor is monitored throughout the three-(3) hour period. (2) The fluids will be administered at reasonable intervals throughout the three hour period. The three-hour clock begins to run after the donor returns from the restroom and provides either no specimen or specimen of insufficient quantity. (3) If the individual is still unable to produce sufficient volume within 3 hours of their first initial attempt, the collection process must stop and the collection site will notify the employer. (4) The employer will refer the individual for a medical examination to be conducted as soon as possible. The exam will be performed to determine if the individual's ability to provide sufficient volume is medically genuine. The physician who performs the examination will be a licensed physician who is acceptable to RTEC's Medical Review Officer. (40.193(c)) (5) The physician is required to provide the MRO with a brief written statement indicating whether or not the insufficient specimen was within a high degree of probability the result of a genuine medical condition. (The statement should not include detailed information on the medical condition of the individual.) (6) The MRO will notify the employer in writing of the medical examination conclusion. (7) If there is no valid medical explanation for an inability to provide a sufficient specimen, it will be considered a refusal to be tested and will be reported to the employer as a refusal to test. (40.193) Comment: The Federal Register (40.25) states that a medical condition includes an ascertainable physiological condition (e.g., a urinary system dysfunction) or a documented pre-existing physiological disorder, but does not include unsupported assertions of situational anxiety or dehydration. 165B Split Sample Tests Policy: During the collection process for controlled substance testing, a Split Specimen Collection will be conducted. A Split Specimen Collection is a collection in which the urine collected is divided into two separate specimen bottles, the primary specimen (Bottle A) and the split specimen (Bottle B). Within 72 hours after being informed by the MRO of a verified positive test, the employee may request a test of the split sample. Employees have the option of having an analysis of the split sample performed at a separate DHHS laboratory should the primary specimen test result be verified positive. Employees do not have access to a test of their split specimen following an invalid result. 18

If the test of the split sample fails to confirm the presence of the drug(s) or drug metabolite(s), or the sample is unavailable or non-testable, the MRO shall cancel the test and report the cancellation and the reasons for it to the employer and the employee. The donor/employee will be retested or not depending on the circumstances per the instructions of the MRO, and immediately under Direct Observation procedures, after receiving notification for retesting from the MRO (40.201). Procedure: All requests for split specimen analysis will be processed by the transit system's MRO without regard to financial considerations. The employer may recover the costs after the analysis has been completed. The MRO will attempt to notify the employee of test results. If the employee cannot be reached by the MRO, the employer will attempt to reach the employee. After making reasonable efforts to contact the employee, within 14 days after the MRO receives the test results, the MRO will subsequently forward the results of the split sample to the employer. Comment: The employee should remain available to the MRO and employer until test results are received. The employee who requests an analysis of the split sample is required to participate in the verification process. The initial cost of the split sample test is borne by the employer, but will be recovered from the individual. If notice of a positive drug screen result is received from the MRO on the primary test, the employee will be relieved of his or her duties, pending the result of the split sample. (40.23 (a) and 655.61) If a negative test is received from the MRO, then the employee will be immediately reinstated and receive his/her regular rate of pay for the time lost. However, if a positive test result is received, the employee will be referred to the SAP for an evaluation. It is RTEC's policy to immediately terminate the employment of an employee who receives a positive drug test. 165C Adulterated Tests Policy: Specimen validity testing is the evaluation of the specimen to determine if it is consistent with normal human urine. The purpose of validity testing is to determine whether certain adulterants or foreign substances were added to the urine, if the urine was diluted, or if the specimen was substituted. Specimen validity testing will be conducted on all urine specimens provided for testing under DOT authority. Consequently, RTEC will consult with the MRO to determine the course of action that should be taken if abnormal results are obtained. 19

The DOT has identified the following categories of abnormal results: (1) Diluted Specimen: A Diluted Specimen is a urine specimen with creatinine and specific gravity values that are lower than expected for human urine. The DOT requires the MRO to treat laboratory reported negative-dilute results with creatinine levels greater than or equal to 2 mg/dl but less than or equal to 5 mg/dl as negative-dilutes that require immediate recollections under direct observation. A Diluted Specimen with creatinine levels more than 5 mg/dl and less than 20 mg/dl does not require action by RTEC and is not reason to require the donor to submit to another specimen collection unless the test is Pre-Employment. If the test is Pre-Employment, RTEC will order a second collection, but NOT under Direct Observation. RTEC will follow the recommendation of the MRO. Should this second test result in a negative dilute result, the test will be considered a negative and no additional testing will be required unless directed to do so by the MRO. (2) Specimen not suitable: If a specimen is not suitable for laboratory analysis, but the presence of adulterants is not substantiated, the MRO should contact the employee to identify any medical explanation for the unsuitability. Without an acceptable explanation, another specimen will be collected under direct observation by a person of the same gender. RTEC will follow the recommendation of the MRO. (3) Adulterated Specimen: A specimen that has been altered, as evidenced by test results showing either a substance that is not a normal constituent for that type of specimen or showing an abnormal concentration of an endogenous substance. This test result should be interpreted as a positive test with corresponding consequences. (4) Substituted Specimen: A specimen will be considered Substituted if it has been determined to have creatinine and specific gravity values that are so diminished or so divergent that they are not consistent with normal human urine. Specimens with creatinine levels of less than 2.0 mg/dl are substituted. (5) Invalid: An invalid drug test means the result reported by an HHS-certified laboratory in accordance with the criteria established by HHS Mandatory Guidelines when a positive, negative, adulterated, or substituted result cannot be established for a specific drug or specimen validity test. Employees do not have access to a test of their split specimen following an invalid result. Procedure: RTEC will consult with the MRO to determine the course of action that should be taken if abnormal results are obtained (i.e., request additional information/analysis at additional cost). Comment: Any attempt to alter the test results of a specimen is an adulterated test. During Pre-Employment screening, if the test result is Diluted Specimen with creatinine levels more than 5 mg/dl and less than 20 mg/dl, RTEC will require the donor to submit to an unannounced recollection, 20

but NOT under Direct Observation. If the 2 nd Collection result is Negative Dilute, a third recollection is NOT permitted. RTEC will follow the recommendation of the MRO. 165D Observing Specimen Collection Direct Observed collections are required in the following circumstances: (1) Anytime the employee is directed to provide another specimen because the temperature on the original specimen was out of the accepted temperature range of 90 F - 100 F; (2) Anytime the employee is directed to provide another specimen because the original specimen appeared to have been tampered with. (3) Anytime a collector observes materials brought to the collection site or the employee s conduct clearly indicates an attempt to tamper with a specimen. (4) Anytime the employee is directed to provide another specimen because the laboratory reported to the MRO that the original specimen was invalid and the MRO determined that there was not an adequate medical explanation for the result. (5) Anytime the employee is directed to provide another specimen because the MRO determined that the original specimen was positive, adulterated or substituted, but had to be cancelled because the test of the split specimen could not be performed. Procedure: The direct observation will be by a collection site person of the same gender as the employee being tested. (40.67 (c)) In the following circumstances, RTEC s DER will direct an immediate collection under direct observation with no advance notice to the employee, if: (1) The laboratory reported to the MRO that a specimen is invalid, and the MRO reported to the DER that there was not an adequate medical explanation for the result; or (2) The MRO reported to the DER that the original positive, adulterated, or substituted test result had to be cancelled because the test of the split specimen could not be performed. (3) The laboratory reported to the MRO that the specimen was negative-dilute with a creatinine concentration greater than or equal to 2 mg/dl but less than or equal to 5 mg/dl, and the MRO reported the specimen to you as negative-dilute and that a second collection must take place under direct observation (see 40.197(b)(1)).The DER and/or Collector will explain to the employee the reason for a directly observed collection. The direct observation will be by a collection site person of the same gender as the employee being tested. The collector and observer will adhere to the regulations on Direct Observation outlined in 49 CFR Part 40. The manner in which direct observation testing will be conducted has been re-defined to ensure that prosthetic devices may not be successfully and easily 21