FOLEY CARRIER SERVICES, LLC FTA DRUG AND ALCOHOL PROGRAM MANUAL

FOLEY CARRIER SERVICES, LLC FTA DRUG AND ALCOHOL PROGRAM MANUAL Disclaimer: This manual has been prepared with care for the use of your Designated Employer Representatives, Supervisors, and Managers. It is not, however, designed to be comprehensive or to provide legal, accounting, or other professional services. In addition, due to the ever-changing nature of State and/or Federal laws and regulations, the information presented is subject to change without notice. This manual is licensed to client and may only be used by Foley Carrier Services, LLC s clients in good standing. Any modified document derived from any item herein must retain Foley Carrier Services' copyright information. Client has no ownership rights to this manual, forms or any derived products. Version 4.2 Revised 6/14/2011 11/21/11 1

TABLE OF CONTENTS SECTION I - GENERAL PROGRAM INFORMATION... 6 I A. THE DRUG AND ALCOHOL PROGRAM MANUAL... 7 1. SECTIONS OF THE MANUAL... 7 2. WHEN YOU NEED HELP... 8 I B. RESPONSIBILITIES... 9 1. EMPLOYER RESPONSIBILITIES... 9 2. DRUG AND ALCOHOL PROGRAM MANAGER (DAPM) AND DESIGNATED EMPLOYER REPRESENTATIVE (DER) (DAPM/DER)... 9 3. MEDICAL REVIEW OFFICER (MRO)... 11 4. SUBSTANCE ABUSE PROFESSIONAL (SAP)... 12 Qualification Training... 13 Continuing Education... 13 Documentation... 13 5. CONSORTIUM/THIRD PARTY ADMINISTRATOR (C/TPA)... 14 I C. GENERAL PROGRAM MANAGEMENT... 16 1. WHO NEEDS TO BE IN THIS PROGRAM... 16 2. WHEN A COVERED EMPLOYEE HAS MULTIPLE EMPLOYERS... 17 3. MULTIPLE DOT OPERATING AGENCIES... 18 4. MAINTAINING CONFIDENTIALITY... 18 5. RELEASING CONFIDENTIAL INFORMATION... 19 6. THE CONTROLLED SUBSTANCES AND ALCOHOL INQUIRY... 20 7. RESPONDING TO A CONTROLLED SUBSTANCES AND ALCOHOL INQUIRY... 20 8. OTHER DOT-AUTHORIZED PROVISIONS... 21 I-D. SETTING UP AND MAINTAINING A CONFIDENTIAL FILING SYSTEM... 22 1. CONFIDENTIAL COVERED EMPLOYEE FILE... 22 Section I. Employer:... 26 Section II. Covered Employees... 27 Section III. Drug Testing Data... 27 Section IV. Alcohol Testing Data... 28 I-E. ADVANCED GUIDE TO ISSUING YOUR POLICY... 30 1. THREE VERSIONS OF THE STANDARD POLICY... 30 2. PRELIMINARY DECISION... 31 3. FOLEY S RECOMMENDED POLICY... 31 4. FIRST TERMINATION POLICY... 32 5. NO EMPLOYER CONSEQUENCES POLICY... 32 6. ADDITIONAL EMPLOYER AUTHORIZED REQUIREMENTS... 33 7. IF NO MODIFICATIONS ARE NECESSARY... 34 8. MODIFYING YOUR POLICY... 35 9. ADDITIONAL POLICY SERVICES... 35 10. EMPLOYEE NOTIFICATION... 36 11. EMPLOYEE TRAINING... 37 12. LICENSING AND COPYRIGHT INFORMATION... 37 I F. HIRING A COVERED EMPLOYEE... 39 1. JOB OFFER CONTINGENCY... 39 2. APPLICANT NOTIFICATION OF DOT REQUIREMENTS... 39 3. PERFORMANCE REVIEW - DRIVING TEST... 40 4. HAVE APPROPRIATE FORMS COMPLETED... 40 2

5. PRE-EMPLOYMENT TESTING... 40 6. CONTROLLED SUBSTANCES AND ALCOHOL INQUIRY... 41 7. PERFORMING THE CONTROLLED SUBSTANCES AND ALCOHOL INQUIRY... 41 8. NOTIFY FOLEY... 42 9. COVERED EMPLOYEE RETURNS FROM LAY-OFF/LEAVE... 43 I-G. THE DRUG AND ALCOHOL PROHIBITIONS... 44 1. ALCOHOL CONCENTRATION... 44 2. ON-DUTY USE... 45 3. PRE-DUTY USE... 45 4. USE FOLLOWING AN ACCIDENT... 45 5. REFUSAL-TO-SUBMIT... 45 6. CONTROLLED SUBSTANCES USE... 46 7. CONTROLLED SUBSTANCES TESTING... 46 8. ACTUAL KNOWLEDGE... 46 9. DOT AND FTA CONSEQUENCES OF A VIOLATION... 46 10. WHAT TO DO IF AN INDIVIDUAL VIOLATES THE PROHIBITIONS... 47 I-H. RETURN-TO-DUTY PROCESS... 49 1. REMOVAL FROM SAFETY-SENSITIVE DUTIES... 49 2. INITIAL SAP EVALUATION... 49 3. TREATMENT AND/OR EDUCATION... 49 4. FOLLOW-UP EVALUATION... 50 5. RETURN-TO-DUTY TEST... 50 6. FOLLOW-UP TESTING PROGRAM... 51 7. RECORD MAINTENANCE... 51 I-I. TERMINATING AN INDIVIDUAL... 52 1. REVIEW YOUR POLICY... 52 2. PROVIDE REQUIRED INFORMATION... 52 3. PROPER DOCUMENTATION... 52 4. RECORD MAINTENANCE... 52 SECTION II - CONTROLLED SUBSTANCES AND ALCOHOL TESTING... 53 II-A. GENERAL TESTING INFORMATION... 54 1. AMERICANS WITH DISABILITIES ACT... 54 2. REQUIRED TESTS... 54 3. INTEGRITY OF THE TESTING PROCESS... 54 4. BLIND SPECIMEN TESTING PROGRAM... 55 II-B. PRE-EMPLOYMENT TESTING... 56 1. PRE-EMPLOYMENT ALCOHOL TESTING... 56 2. PRE-EMPLOYMENT DRUG TESTING... 56 3. NON-NEGATIVE PRE-EMPLOYMENT DRUG TEST RESULT... 56 4. WHEN A PRE-EMPLOYMENT REFUSAL IS NOT A REFUSAL-TO-TEST... 57 II-C. POST-ACCIDENT TESTING... 58 1. CONDUCTING FTA POST-ACCIDENT TESTING... 58 2. PROCEDURE FOR THE COVERED EMPLOYEE... 59 3. GOVERNMENTAL AUTHORITIES CONDUCTING TESTS... 59 4. INJURED COVERED EMPLOYEE... 59 5. POST-ACCIDENT TESTING DELAYS... 60 II-D. REASONABLE-SUSPICION DRUG AND ALCOHOL TESTING... 61 1. REASONABLE-SUSPICION TRAINING FOR SUPERVISORS... 61 2. ELEMENTS OF REASONABLE-SUSPICION TESTING... 62 3

3. DOCUMENTATION OF REASONABLE-SUSPICION TESTS... 63 4. ALCOHOL TESTING DURING THE HOURS OF COMPLIANCE... 63 5. REMOVAL FROM DUTY... 63 6. SPECIAL STEPS IN REASONABLE-SUSPICION TESTING... 64 7. REASONABLE-SUSPICION TESTING DELAYS... 64 II-E. RANDOM TESTING... 65 1. NOTIFICATION OF RANDOM SELECTIONS... 65 2. ALTERNATE SELECTIONS NOT ALLOWED... 66 3. UNFULFILLED RANDOM SELECTIONS... 66 II-F. RETURN-TO-DUTY TESTING... 67 II-G. FOLLOW-UP TESTING... 68 II-H. COLLECTION SITE(S)... 69 1. DESIGNATED MEDICAL FACILITIES... 69 2. SERVICES OFFERED AT EACH MEDICAL FACILITY... 69 II-I. SENDING AN INDIVIDUAL FOR TESTING... 70 1. SCHEDULE AN APPOINTMENT... 70 2. DOCUMENTATION... 70 3. WHAT THE DONOR NEEDS TO BRING FOR TESTING... 71 4. WHAT THE DONOR NEEDS TO KNOW... 71 II-J. COLLECTION PROCEDURE... 72 1. PRIVACY... 72 2. ROUTINE COLLECTIONS - DRUG... 72 3. MONITORED COLLECTION - DRUG... 74 4. DIRECTLY OBSERVED COLLECTION - DRUG... 74 5. REPORTING PROCEDURES... 75 6. SHY BLADDER... 75 7. TESTING OF THE SPLIT SPECIMEN... 76 8. ROUTINE COLLECTIONS - ALCOHOL... 77 9. SHY LUNG... 79 II-K. REFUSAL-TO-SUBMIT... 80 SECTION III - FORMS... 82 III-A. SHORTCUT TO USING THE FORMS... 83 Checklist for Employee s Confidential Drug and Alcohol File... 84 Instructions for Inquiry for Alcohol and Controlled Substances Information from Previous Employer... 85 Inquiry for Alcohol and Controlled Substances Information from Previous Employer... 86 Acknowledgement of Receipt and Review of Employer s Controlled Substances and Alcohol Policy and Educational Materials... 88 Supervisor Reasonable-Suspicion Training Certificate... 89 Reasonable-Suspicion Testing Checklist... 90 Reasonable-Suspicion Recording Form... 91 Additions or Deletions to Employee List for DOT Drug & Alcohol Random Testing Program... 93 US DOT Drug and Alcohol Testing MIS Data Collection Form... 94 Alcohol Test Applicability... 95 Reported Results Log... 96 Controlled Substances and/or Alcohol Test Collection Tracking Form... 97 Federal Test Notification and Authorization... 99 Confidential Substance Test Information... 100 Covered Employee s Violation History... 101 4

HIRING A COVERED EMPLOYEE... 104 CONDUCTING AN ALCOHOL AND/OR DRUG TEST... 105 POST-ACCIDENT TESTING... 106 24-HOUR HOTLINE NUMBERS... 107 LICENSE AGREEMENT - 8-1-2008 By opening this package and/or using the materials provided, Licensee (Client) agrees to abide by the terms and conditions of the foregoing Licensing Agreement with Licensor (Foley Carrier Services, LLC of Glastonbury, CT 06033). I. LICENSE GRANT - Licensor hereby grants to Licensee, subject to the terms and conditions of this agreement, a license to use Licensed Products (forms, manuals, documents, and any drug and alcohol testing policies of any title or form (herein policy), etc. in any media) for implementing, a drug and alcohol testing program. Requirements and protections provided in this agreement are in addition to the rights, responsibilities and obligations under any applicable copyright laws. Licensee has no ownership rights to the licensed materials. II. PERMITTED USES - Licensee may duplicate blank forms, policies, and other documents and use as applicable for then-current employees and contractors (herein employees). Licensee may put their business name on materials, but Licensor copyright and license information may not be removed. III. PROHIBITED USES - Licensee may not use any materials to derive replacement materials for use after program termination. Any and all derived products become the intellectual property of Licensor and the use of these derived products is governed by this agreement. Licensee may not remove any copyright notice and/or license agreement notice from any derived products and to provide evidence upon written notice. IV. OBLIGATIONS UPON PROGRAM TERMINATION OR IF LICENSEE IS NOT IN GOOD STANDING - 1. COMPLETED FORMS MAY BE MAINTAINED AFTER PROGRAM TERMINATION Forms, policies, etc. that have been completed by Licensee s employees may be maintained by licensee and/or employees to prove that they meet or have met the requirements. This right is granted after Licensee is no longer in good standing for any Licensee agreement with Licensor or any agreement has been terminated for any reason. Licensee may subsequently duplicate these completed forms as necessary to meet DOT requirements, to provide information to subsequent employers, upon request of employees as required or permitted by regulation, and to provide evidence that regulatory requirements were met. All other uses are prohibited. 2. ANY AND ALL POLICIES MUST BE RETRACTED WITHIN TEN DAYS AFTER PROGRAM TERMINATION - Licensee must cease using licensed materials, retract the drug and alcohol testing policy from all individuals covered by any licensed policy, and obtain a written notice from each individual retracting the policy within 10 days when Licensee is no longer in good standing with Licensor for any reason. Upon written notice by Licensor, Licensee must provide licensor copies of completed retraction forms to assure that this requirement has been met. 3. DRUG AND ALCOHOL PROGRAM MANUAL MATERIALS MUST BE RETURNED OR DESTROYED AFTER PROGRAM TERMINATION - Licensee agrees to return or destroy the Drug and Alcohol Program Manual, discs, blank policies, computer files, and copies in any media within ten days when Licensee is no longer in good standing with Licensor. V. INFRINGEMENT RESOLUTION License violation, at Licensor s option, may utilize Commercial Dispute Resolution Procedures, including Supplementary Procedures for Online Arbitration or Mediation, of the American Arbitration Association. Licensee will reimburse Licensor all reasonable costs (including attorney s fees) incurred by Licensor if Licensor obtains a court or arbitration award for violations of this licensing agreement and/or copyright violations in addition to damages awarded. VI. LICENSING AGREEMENT MODIFICATIONS Licensor may modify this License Agreement by providing Licensee written notice three months in advance of the effective date. 5

SECTION I - GENERAL PROGRAM INFORMATION 6

I A. THE DRUG AND ALCOHOL PROGRAM MANUAL The program manual is divided into the tabbed SECTIONS identified to the right. The Policy which goes in the Policy Section is not included in this document as you get to choose the policy you want to use. Make a copy of your selected policy (from the POLICY disc and place it in this section.) Each tabbed section has sub-sections that are divided into subjects. The box provides a synopsis of the information covered within each subject section. This manual has been designed to be a viable tool for the Drug and Alcohol Program Manager/Designated Employer Representative (DAPM/DER). The DAPM/DER will find this manual when referencing routine, as well as, occasional situations that arise. Drug and Alcohol Program Manager Video Foley also offers a video that educates the DAPM/DER about the different aspects of the DOT mandated drug and alcohol testing program. You may wish to order this video to guide you through the management of this program. Refer to the PRODUCTS AND SERVICES ORDER FORM Subjects covered in Section I-A are: 1. Sections Of The Manual 2. When You Need Help 1. SECTIONS OF THE MANUAL To make this manual a handy reference tool we have provided the topics in outline format. This manual is divided into: SECTIONS (I V) - Identified below; they correspond to the tabs in your Drug and Alcohol Program Manual binder SUB-SECTIONS (A Z) Headings within the section SUBJECTS (1 100) Topics that are covered within each sub-section are highlighted at the beginning of each sub-section. These text boxes, located to the left of a subject provide a synopsis of the information covered in the text to the right. In some situations, it is best that you actually read a particular situation and we have noted those instances. Example: To find out how to perform the drug and alcohol violation inquiry for an applicant, you would go to I-F. HIRING A COVERED EMPLOYEE, Subject 7. PERFORMING THE CONTROLLED SUBSTANCES AND ALCOHOL INQUIRY. If you are using the manual as a computer file, simply go to the Table of Contents and click the page number for this subject and you will go directly to that page. The following sections correspond to the tabs in your Drug and Alcohol Program Manual binder. Product Order Forms To order different products and/or services from Foley. Please note that prices are subject to change contact us for the current price. Comprehensive Manual Version This version is broken down into the following sections (other than the POLICY Section, which is a separate document). This part of the manual covers scenarios that the DAPM/DER must handle. 7

At your service This comprehensive manual with detailed instructions will answer most of your implementation questions. For extra help, call us during our normal business hours. Emergency Assistance is available 24 hours a day - 7 days a week Section I. General Program Information Covers most of the fundamentals of the program. Section II. Drug and Alcohol Testing Reviews the required testing situations and collection procedures. Section III. Forms All forms that the DAPM/DER needs to effectively manage the drug and alcohol testing program. Revised (11/03) and comprehensive to include the new requirements and make the forms easy to use. Section IV. Policy and Educational Materials Print a copy of your selected policy and place it in this section Section V. Appendix Includes basic checklists for the most routine activities a DAPM/DER needs to complete. You may wish to copy and post these for a quick reference. 2. WHEN YOU NEED HELP This manual has been developed to provide guidance for normal and routine activities associated with the FTA drug and alcohol testing program. There are areas within this manual where we ask you to refer to another section of either the policy or this manual for elaboration on a specific topic. To make the sections easily identifiable, we have capitalized the section title and noted whether it is in the policy or manual. Should you have a unique situation, or require help for a post-accident or reasonable-suspicion determination, Foley is available to provide assistance 24 hours a day at the following numbers: Telephone (860) 633-2660 or (800) 253-5506 Fax (860) 652-3259 or (860) 652-4047 After Hours Voice Mail (860) 652-3399 (Messages only, responses during business hours.) Foley s MRO (800) 526-9341 Foley s MRO Confidential Fax (516) 809-4111 Our normal business hours are 8:30 AM to 5:00 PM Eastern time, Monday through Friday. If you need assistance after normal business hours, or on weekends due to an emergency or a very important problem, please tell the answering service that you have an EMERGENCY and someone will contact you as soon as possible. We have many individuals accessible via cellular phone. This EMERGENCY may relate to a post-accident situation, assistance regarding a reasonable-suspicion test determination, or individuals who are in need of immediate EAP assistance, etc. 8

I B. RESPONSIBILITIES Employer remains responsible for the implementation of and compliance with the DOT mandated requirements, as they are and as they may change in the future. In this section we discuss the responsibilities of some of the individuals involved with your drug and alcohol testing program. Subjects Covered in Section I-B are: 1. Employer Responsibilities 2. Drug And Alcohol Program Managers (DAPM) Designated Employer Representative (DER) - (DAPM/DER) 3. Medical Review Officer (MRO) 4. Substance Abuse Professional (SAP) 5. Consortium/Third Party Administrator (C/TPA) 1. EMPLOYER RESPONSIBILITIES As an employer, you are responsible for meeting all applicable requirements and procedures of 49 CFR Parts 655 and 40. You are responsible for all actions taken in carrying out the DOT agency regulations. You remain responsible for compliance with all applicable requirements of Parts 655 and 40. When we refer to you in this manual we are referring to the employer, and therefore any individuals who are acting on behalf of the employer. There have been significant changes to the Department of Transportation s rules for drug testing since the program s inception in 1991. The December 2000 revision of Part 40 brought about the most consequential changes since alcohol testing was added in 1994. This manual and the corresponding policies reflect the implementation of these new Part 40 requirements. Note: Over time there may be technical corrections and written guidance issued for Parts 655 and 40. We at Foley will append any documents as needed should the changes affect the regulatory requirements as stated in this manual and/or the standard policies. Those changes will be made available to all clients in good standing with Foley. 2. DRUG AND ALCOHOL PROGRAM MANAGER (DAPM) AND DESIGNATED EMPLOYER REPRESENTATIVE (DER) (DAPM/DER) Employers need to have an individual identified as the key person who is responsible for the overall management of the drug and alcohol testing program. The DOT agencies often refer to this person as the Drug and Alcohol Program Manager (DAPM). However, when the new Part 40 was published, they defined a new title for individuals who are able to implement the requirements of the program. This is the Designated Employer Representative (DER). What s the difference? Our opinion DAPM - The DAPM is the individual who is responsible for the overall compliance of the program. This person may or may not perform any of the routine activities that are a part of the implementation of the program. 9

The DAPM/DER is employer s key person for the administration of the drug and alcohol testing program. This person is the employees contact if they have any questions as well as the person responsible for a variety of activities (listed to the right) that are a part of managing a compliant drug and alcohol testing program. It is important that you, as the employer or DAPM/DER, review this listing. We request that, if possible, we be provided with the name(s) of additional DERs so we can still convey important information in the absence of the primary DAPM/DER. DER The DER is responsible for many of the activities (e.g., notifying an individual to go for a test, receive test results, remove an individual from driving duties, etc.) that need to be performed on a routine basis. For most of our clients this will not be an issue since most have a clear understanding as to which individual is ultimately responsible for their program s compliance. For many clients the DAPM and the DER is the same person. Additional contact person - We request that our clients provide us with the name(s) of additional DERs to enable us to convey important and timely information affecting your program in the absence of the DAPM or DER. DAPM/DER - We believe our materials will be used by the DAPM and the DERs, therefore, Foley shall refer to the individuals with whom we communicate as the DAPM/DER. This manual has been written as a guide for the DAPM/DER. FUNCTIONS The DAPM/DER is the contact for a variety of items including the following: Receive general correspondence, newsletters, and announcements from Foley Notify Foley of covered employee additions to and deletions from the program Notify Foley of any additional employer contacts to whom confidential information may be released Coordinate pre-employment activities, which include conducting the applicant's controlled substances and/or alcohol test inquiry, and ensuring appropriate forms have been signed Ensure that all appropriate forms are signed by current covered employees Coordinate reasonable-suspicion training for all supervisors of covered employees and ensure they have signed a form indicating that they have completed the required training. Copy and provide The Controlled Substances and Alcohol Policy for Covered Employees and Educational Materials to individuals in the program Receive confidential notifications of random selections from Foley and coordinate the random testing activities Maintain a supply of laboratory custody and control forms (CCFs) and directions to the collection site(s) Schedule appointments at the designated collection site and, at the appropriate time; notify the selected individuals to proceed immediately to the collection site for testing. Provide individuals with proper laboratory custody and control forms when sent out for a drug test Provide individuals selected for a test with a Federal Test Notification and Authorization Form. Document the individual s applicability for testing Ensure that individuals arrive at the collection site on a timely basis 10

The MRO is the gatekeeper of the drug testing program. He/she ensures the integrity of the chain of custody, reviews the laboratory results and conducts a verification interview with the donor for non-negative results. Coordinate Management Information Systems reports Maintain SEPARATE CONFIDENTIAL internal files for the Drug and Alcohol Testing Program Monitor non-negative drug and positive alcohol test results for individuals to determine appropriate actions Provide individuals who have a shy bladder or shy lung situation with the proper guidance to have a medical evaluation and ensure that the evaluation was completed. 3. MEDICAL REVIEW OFFICER (MRO) QUALIFICATIONS To be qualified to act as a Medical Review Officer (MRO) in the DOT drug testing program, the MRO shall be a licensed physician (Doctor of Medicine or Osteopathy). The MRO shall be knowledgeable about: And have clinical experience in controlled substance abuse disorders, including detailed knowledge of alternative medical explanations for laboratory confirmed positive drug test results. Issues relating to adulterated, substituted and invalid specimens The DOT MRO Guidelines DOT agency rules which are applicable to the employers for whom the MRO evaluates drug test results The MRO is required to undergo qualification training, satisfactorily complete an examination for MRO certification, as well as complete continuing education that keeps the MRO abreast of the new technologies, interpretations, rule changes, etc. FUNCTIONS The following functions are performed by Foley s MRO: Act as an independent Gatekeeper and advocate for the accuracy and integrity of the drug testing process Receive and review Copy 2 of the CCF for all specimen collections to determine if there is a problem that may cause a test to be cancelled Correct problems where possible (e.g. cancelled or problematic tests, incorrect results, problems with blind samples) Conduct a verification interview, via telephone, with the donor for nonnegative drug test results Inform donor to have his/her physician contact the MRO within 5 days if the donor s use of a medication could pose a safety problem Direct the DAPM/DER to inform the employee to contact the MRO (if MRO has been unable to make contact) Deem a result as a non-contact positive when the employee fails to 11

contact the MRO within 72 hours of notification by employer to contact MRO Interpret drug and validity test results to determine if there is a legitimate medical explanation for the laboratory s confirmed positive, adulterated, substituted or invalid drug test result Provide written notice to the laboratory to send a specimen to a second laboratory when an individual requests a test of the split specimen Direct donor to a referral physician for a further medical evaluation regarding non-negative drug test results, if applicable Assess a physician s recommendation in determining whether an employee has a medical condition that has, or with a high degree of probability, could have, precluded the employee from providing sufficient amount of urine or breath in the shy bladder and shy lung scenarios Inform DAPM/DER when an additional collection is to immediately occur (if test was invalid and MRO had to cancel it) Immediate verbal reporting of verified positive results, results requiring an immediate collection under direct observation, adulterated or substituted specimens, and other refusals to test to the DAPM/DER Report written drug test results in a confidential manner within two days of verification to the DAPM/DER Release information to the employer, a physician or other health care provider responsible for determining the medical qualifications of a covered employee, SAP evaluating the individual, a DOT agency, or NTSB in the course of an accident investigation Perform all functions in compliance with DOT agency regulations Retain all verified non-negative drug test results for a minimum of five years 4. SUBSTANCE ABUSE PROFESSIONAL (SAP) QUALIFICATIONS The Substance Abuse Professional (SAP) is to be a: Licensed physician (Doctor of Medicine or Osteopathy), or Licensed or certified psychologist, or Licensed or certified social worker, or Licensed or certified employee assistance professional, or Alcohol and drug abuse counselor certified by the National Association of Alcoholism and Drug Abuse (NAADAC) or by the International Certification and Reciprocity Consortium/Alcohol and Other Drug Abuse, Inc. (ICRC/AODA). All SAPs who provide services must have knowledge of, and clinical experience in, the diagnosis and treatment of substance abuse-related disorders. The SAP is to be well informed about Part 40, the rules pertaining to the DOT Operating Administrations (FTA, FMCSA, etc.) that are applicable to the employer for 12

whom he/she is performing SAP functions, as well as the SAP guidelines and any significant changes to them. SAP QUALIFICATION TRAINING AND CONTINUING EDUCATION QUALIFICATION TRAINING The SAP is also required to under go Qualification training. Following the completion of qualification training, the SAP must satisfactorily complete an examination administered by a nationally-recognized professional or training organization. The examination must comprehensively cover all the elements of qualification training. The SAP only becomes involved in your program when an individual needs to go through the return-toduty process. The SAP evaluates an individual who violates the prohibitions. He/she then recommends treatment and/or education and then re-evaluates the individual to determine compliance with the recommendations. The SAP reports to the DAPM/DER the recommendations for assistance that he/she made as well as the followup testing plan that the individual is to be subject to. CONTINUING EDUCATION Each three-year period after satisfactorily completing the Qualification Examination, the SAP must complete continuing education consisting of at least 12 professional development hours (e.g., CEUs) relevant to performing SAP functions. DOCUMENTATION SAP must maintain documentation showing that he/she currently meets all requirements. Documentation must be provided when requested by a DOT agency representative, employers and C/TPAs who are using or contemplating using the SAP s services. FUNCTIONS The SAP only becomes involved with your program when an individual violates the prohibitions and he/she goes through the return-to-duty process as your employee. If the individual is terminated, he/she still needs to go through the return-to-duty process, however, not through your program. The following is a listing of the activities that the SAP performs: Initial Evaluation - The SAP's fundamental responsibility is to provide a comprehensive assessment and clinical face-to-face evaluation to determine what assistance the employee may need as a result of a: confirmed positive alcohol and/or verified positive drug test result, refusalto-submit, or violation of another prohibition. Provides a written report to the DAPM/DER. Education and/or Treatment - The SAP determines the course of assistance that is appropriate for each individual that he/she evaluates. He/she recommends the best course of assistance, whether it be in-patient or outpatient treatment, and/or educational programs. The SAP serves as the referral source to assist the individual's entry into an acceptable program. Follow-up Evaluation Furnished with information from education and/or treatment provider, a follow-up face-to-face interview is required to discuss the individual s effort and behavioral changes. The SAP determines if the individual has demonstrated successful compliance or not. Provides a written report to the DAPM/DER. If the report states successful compliance, the DAPM/DER may have the individual take his/her return-toduty test. 13

Foley, your C/TPA, offers a full line of products and services. Follow-up Testing Plan The SAP provides the DAPM/DER with the number and frequency of follow-up tests that the individual is to complete. (Minimum of six tests in the twelve month period following the individual s return to safety-sensitive duties.) Modifying/Terminating Only the SAP can modify and/or terminate his/her own recommendation and/or follow-up plan. The individual is released from the follow-up plan after five years if the SAP has not already released the individual. Record Maintenance - The SAP is to maintain records of the evaluation, followup schedule, and treatment recommendations. An employee, upon request, may obtain a copy of the SAP reports, excluding the follow-up testing schedule. 5. CONSORTIUM/THIRD PARTY ADMINISTRATOR (C/TPA) Your drug and alcohol program provider is Foley of Glastonbury, Connecticut. We are a third party administrator (C/TPA) and under the DOT drug and alcohol testing regulations we are considered a service agent. We, as your service agent are not allowed to act as your Designated Employer Representative (DAPM/DER). Foley offers the following comprehensive products and services: Full Service, turn-key DOT Programs to meet FMCSA, FTA, RSPA, FAA, & USCG Requirements Controlled Substances and Alcohol Policy and Educational Materials that meet 49 CFR Part 655.12 Requirements Driver Drug and Alcohol Training Video Limited Drug and Alcohol Employee Assistance Program related to substance abuse for safety-sensitive individuals Employee Assistance Programs (full service EAP) for all employees, covering all subjects Supervisor Reasonable-Suspicion Training Program (on-site training or our self-guided video plus training materials) Post-Accident Testing Audio Training Drug and Alcohol Program Manual, Forms, etc. 24-Hour Emergency Telephone Support Random Employee Selection and Management Notification Program Management Services Drivers' Program Coverage Identification Cards Local Collection Sites and Nationwide Coverage for Additional Sites 24-Hour, 7-Day Post-Accident and Reasonable-Suspicion Collection and Testing HHS Certified Controlled Substances Testing 14

Trained Breath Alcohol Technicians to Conduct Alcohol Testing Medical Review Officer Review of Positive and Negative Controlled Substances Test Results Substance Abuse Professional Services Consulting Custom Controlled Substances and Alcohol Policy Development On-site Education and Training Drug Free Workplace Programs, Posters and Newsletters Compliance Research for Vendors - Analysis Every Six Months of Your Vendor's Controlled Substances and Alcohol Testing Programs Video Training for Collectors and Collector Trainers Covered Employee Background Research Driver Log Verification Driver Qualification File Assistance Regulations on Disc or on Paper Video Training for the DAPM/DER Drug and Alcohol Manual (Printed Copies) Controlled Substances and Alcohol Policy (Printed Copies) Assistance with Union Negotiation 15

I C. GENERAL PROGRAM MANAGEMENT The employers and covered employees who need to be in the drug and alcohol testing program. This section covers the overall management of the program. Subjects Covered in Section I-C are: 1. Who Needs To Be In This Program 2. When A Covered Employee Has Multiple Employers 3. Multiple DOT Operating Agencies 4. Driver Cards 5. Maintaining Confidentiality 6. Releasing Confidential Information 7. The Controlled Substances and Alcohol Inquiry 8. Responding To A Controlled Substances And Alcohol Inquiry 9. Compliance Research For Vendors/Contractors 10. Foley Provides Verification Services 11. Other DOT-Authorized Provisions 1. WHO NEEDS TO BE IN THIS PROGRAM 49 CFR PART 655.1. This regulation requirement applies to every person and to all employers of such persons who receive financial assistance from the Federal Transit Administration (FTA). Also, this regulation applies to contractors of those employers that are designed to help prevent accidents, injuries, and fatalities resulting from the misuse of alcohol and use of prohibited drugs by employees who perform safety-sensitive functions. As stated in 49 CFR Part 655.3 this applies to: Each recipient and sub-recipient receiving Federal assistance under: 49 U.S.C. 5307, 5309, or 5311; or 23 U.S.C. 103(e)(4). Any contractor of a recipient or sub-recipient of Federal assistance under: 49 U.S.C. 5307, 5309, or 5311; or 23 U.S.C. 103(e)(4). A recipient operating a railroad regulated by the Federal Railroad Administration (FRA) shall follow 49 CFR Part 219 and 655.83 for its railroad operations shall follow this part for its non-railroad operations, if any. A contractor means a person or organization that provides a safetysensitive service for a recipient, sub-recipient, employer, or operator consistent with a specific understanding or arrangement. The understanding can be a written contract or an informal arrangement that reflects an ongoing relationship between the parties. Taxi companies that contract with transportation service providers receiving Federal transit funds are subject to compliance with the Drug and Alcohol rules. The rules do not apply when the patron (using subsidized vouchers) selects the taxi company that provides the transit service. Dispatchers - FTA rules apply to anyone who performs a safety sensitive function, which includes the control of the dispatch or movement of a 16

As an employer who employs covered employees, you must have those covered employees in a random selection pool for your company unless you have opted to apply the exception rule stated to the right. Many times it is easier to enroll an individual in your program rather than to exercise the exception rule because of all of the checks and balances you have to go through. revenue service vehicle. Maintenance contractors which perform safety-sensitive functions, are subject to the drug and alcohol testing rules in 49 CFR Part 40. However, recipients funded with 49 U.S.C. 5311 funds and which contract out maintenance service are excluded in addition, recipients of FTA funds under 49 U.S.C. 5307 and 5309 in an area less than 200,000 in population and which contract out such services are no long required to comply with Part 655. Also maintenance providers of safety-sensitive functions for a grantee on an ad hoc or one-time basis are not required to comply. Covered employee means a person, including an applicant or transferee, which performs or will perform a safety-sensitive function for an entity subject to this part. Volunteers deemed covered employees when he or she receives remuneration in excess of their actual personal expenses incurred while performing the volunteer service or the volunteer is required to hold a commercial covered employee's license to operate the vehicle. 2. WHEN A COVERED EMPLOYEE HAS MULTIPLE EMPLOYERS There are times when a covered employee will be working for two or more employers at the same time. In that situation, in whose random program must the covered employee be included? The rules establish an employer-based testing program. In every case it is the employer who remains responsible for meeting random testing requirements. DOT interpretations state that the covered employee needs to be in a program for each employer. The covered employee must be in the pool of each employer for which the covered employee works. US DOT Interpretations May 4, 1997 THE EXCEPTION There is an exception rule that allows you to be compliant while not having that covered employee in your program. If you have a covered employee who works primarily for another employer and you use the covered employee only occasionally you may use that employer s program to satisfy your requirements and not list that individual in your program by using the exception to this requirement. To exercise the exception, you must have an agreement with the other employer to make the other employer s program your own. This entails a written agreement with releases by the affected individuals, a copy of the other employer s policy, a copy of all drug and alcohol test results of the affected individuals, etc. It is important to note that this agreement does not preclude you from your regulatory requirements. You would: Be held responsible for the other program s compliance 17

An employer who has employees subject to the requirements of multiple DOT operating agencies must have the appropriate policies/plans in place for the affected individuals. An employee who is subject to the requirements of multiple DOT operating agencies must be provided with appropriate information and will be subject to the random selection of the operating agency that regulates more than 50% of his/her duties. Need to ensure that all drug and alcohol records could be forwarded to your principal place of business on two days notice, and Need to guarantee that you would receive notification of any violation of the prohibitions affecting your covered employee and be assured that this other employer would act upon them. Considering all that is required of you, it is probably more feasible and cost effective to have the occasional covered employee placed in your program, thus negating the need to require cooperation from another employer. Our Recommendation: Enroll the affected covered employee in your program. 3. MULTIPLE DOT OPERATING AGENCIES There are occasions when an employer is subject to the rules of multiple DOT agencies. A covered employee may also be subject to multiple DOT agency rules. EMPLOYER An employer who is subject to the rules of more than one DOT operating agency must have the applicable programs in place for those affected safetysensitive employees. Example: Employer is subject to FMCSA and FTA requirements. Employer would require policies (plans) that are applicable to each agency and the affected individuals would need to be in the appropriate random selection pools. EMPLOYEE If an individual performs safety-sensitive functions for two DOT operating agencies (e.g., FMCSA and FTA the individual he/she is to be provided with information regarding the requirements of each operating agency since the agencies have some different requirements (e.g., post-accident testing requirements and percentages for random selection). For random selection purposes, the individual is subject to the rates of the operating agency that regulates more than fifty percent of his/her duties. 4. MAINTAINING CONFIDENTIALITY The regulations governing the DOT drug and alcohol testing program require that all parties involved are to maintain a high level of confidentiality with regard to an individual s drug and/or alcohol test results as well as any associated reports or information. You must keep all documentation relating to an individual s drug and/or alcohol testing in a secure area that is not accessible to anyone who does not have a need to know about such information. Note: Under no circumstances should an employee see the drug or alcohol test results of another employee or is aware of the results. Comments like "well, we had a positive test this week" could violate an individual's right to privacy since it could be generally known who was selected for a test. If anyone is talking about another individual's positive test result (or other confidential information), they should be advised that the information is confidential and you should take steps to terminate discussions on that subject. If an individual tells other individuals in your organization that he/she had a 18

Confidentiality regarding drug/alcohol test results and related records must be maintained. Individuals who are not on a need-to-know basis should not have access to this information. If an individual selfpublishes his/her positive test result, you should document that fact in the individual s confidential file. Foley s MRO will provide and maintain drug test results. There is no MRO review of alcohol test results, Employer is responsible for the final audit of the result. Foley does request that a copy of the result be sent to Foley s MRO to document in our system. Per regulation, drug and alcohol testing records must be kept confidential, under lock and key, and kept separate from normal personnel records. Information pertaining to an employee s drug or alcohol test result may be released without his/her consent in certain legal proceedings. These are listed at right. The employee must be notified in writing of results released in this manner. positive test result (or other confidential information), and you become aware of the fact that the individual "self-published" this otherwise confidential information, you should document that fact and put it in the individual's confidential file. He/she at a later date may accuse you of releasing his/her confidential information when in fact the affected individual breached his/her own confidentiality. In no case should any test result for alcohol or drugs be used to infer that a person is an alcoholic or drug addict. Foley s MRO will provide and maintain drug test results according to regulation requirements. Any test results that are forwarded to an employer from Foley s MRO are sent in a confidential manner to the DAPM/DER. There is no MRO review of an alcohol test result. It is the employer s responsibility to audit the result as it is transmitted from the Breath Alcohol Technician (BAT). Foley requests that a copy of the alcohol test result be sent to Foley so that we can document the result in our system to fulfill random testing requirements, as well as to provide you with a centralized location for all test results. IMPORTANT! All drug and alcohol test results must be kept confidential, in a secure location, separate from personnel records. This information should not be disclosed except under specific circumstances. Even if you terminate an individual for a positive substance test result, no individual should be privy to the fact that the action was related to a substance abuse/misuse problem, unless he/she has a direct need to know. The statistical summary reports must also be stored in this confidential manner. Statistical Summaries are provided to you twice a year (January and June) for MIS reporting purposes. Our Recommendation: Set up a confidential filing system 5. RELEASING CONFIDENTIAL INFORMATION As an employer, you may release information pertaining to an employee s drug or alcohol test result without the employee s consent in certain legal proceedings. These proceedings include the following actions that were brought by, or on behalf of, an employee and resulting from a positive DOT drug or alcohol test or a refusal to test (including but not limited to, adulterated or substituted test results: A lawsuit e.g., a wrongful discharge action A grievance e.g., an arbitration concerning disciplinary action taken by the employer An administrative proceeding e.g., an unemployment compensation hearing These proceedings can also include a criminal or civil action resulting from an employee s performance of safety-sensitive duties, in which a court determines that the drug and/or alcohol test information is relevant to the case and issues an order directing the employer to produce the information. This information can only be released with a binding stipulation that the decision-maker will make it available only to parties to the proceeding. 19

This Inquiry is to request information about a covered employee s past violations, and if he/she has to complete any part of the return-to-duty process. If you receive a request to release drug and alcohol information about a prior employee, you must respond immediately in confidential, written form, and maintain a record of the information released. You must maintain: A copy of the request A written record including date of your response, party to whom it was released, actual information released. Don t release information without a specific, written authorization from the prior employee. Blanket authorizations are not permitted. You may use Form DA-15 to respond to the request. Report only Federal drug or alcohol testing program violations. 6. THE CONTROLLED SUBSTANCES AND ALCOHOL INQUIRY When you hire a covered employee, you are required to perform an inquiry of all prior employers that the covered employee has had within the past two years. You will be requesting information about any drug and alcohol violations that the covered employee may have had, and whether or not he/she has any portion of the return-to-duty process to complete. 49 CFR Part 655.73 (f) 7. RESPONDING TO A CONTROLLED SUBSTANCES AND ALCOHOL INQUIRY As a prior employer from whom information is being requested, you must, after reviewing the employee s specific written consent, immediately release the information to the employer making the request. As of August 1, 2001 all DOT operating agencies must comply with this requirement per 49 CFR Part 40. (Previously, the FTA did not require the inquiry.) You are required to: Respond in any written form (e.g. fax, letter, e-mail) that ensures confidentiality. Maintain a written record of the information that you released. Include the date, the party to whom it was released, and a summary of the information provided. PROPER AUTHORIZATION As a prior employer, you cannot release this required information to a prospective employer without proper authorization from the covered employee. Proper Authorization means that the prospective employer has provided you with the former covered employee s specific written authorization to release the requested information. Blanket authorizations are strictly forbidden do not release information based on a request that does not clearly indicate your company name as the respondent. Our Recommendation - Obtain from the requesting Employer, a form with the covered employee's original signature. Disclosure is permitted only as expressly authorized by the terms of the covered employee's request. REPLYING TO THE REQUEST As the prior employer, if the prospective employer has not provided you with a form on which to reply, you may use Form DA-15, COVERED EMPLOYEE'S VIOLATION HISTORY to respond to the request. Note: You must make absolutely certain that the individual requesting the information is the individual who has been so designated on the release of information form. For example, if this individual calls you after you have received the form, you should not provide this information over the telephone (or fax, etc.) unless you reach him or her at the telephone number (or fax) machine listed on the covered employee release form. One way to verify this is to make a return call to the company at the telephone number listed. A better way is to mail the information in a confidential manner to the company at the designated address. 20

DOCUMENTATION REQUIREMENTS Maintain a copy of the request Maintain in your files a written record of: The date of your response The party to whom it was released The actual information released. NON-FEDERAL TEST INFORMATION IMPORTANT! Do not report any non-federal drug and/or alcohol positive test results that you may have on file for a covered employee when responding to a Prior Employer Inquiry. This means that if you have a verified positive drug test result or confirmed positive alcohol test result that was performed under the authority of your Company Policy, not federal requirements, that result cannot be reported. This rule also applies to refusal-to-submit (including those results due to adulteration or substitution). These tests would NOT be reported as part of the required background inquiry. Example: In a state that does not have restrictions on post-accident testing, an Employer states in its policy that any employee involved in an accident while operating a company vehicle is required to have post-accident drug and alcohol testing. If the accident did not meet the DOT post-accident testing requirements, Employer would have non-federal drug and alcohol test(s) conducted and the result(s) would be reported as DFW Post-Accident test(s). The required inquiry specifically asks for information that an Employer would maintain for DOT-mandated record retention. 8. OTHER DOT-AUTHORIZED PROVISIONS STAND-DOWN An employer can apply for a written waiver from their applicable DOT agency (FMSCA, FTA, etc.), to issue a stand down (40.21). A stand down allows the employer to remove an employee from safety-sensitive functions before the MRO verification process has been completed You, as an employer, are prohibited from standing employees down unless you have applied for and received a written waiver granted to you by the FTA. The DOT feels that an individual has the right to the due process of the drug verification procedure, and that right should not be waived. However, the DOT also acknowledges that there are cases when if the employer knew that a safety-sensitive individual had a laboratory confirmed positive and the MRO was trying to contact the individual, he (employer) may not have had that individual continue with his/her safety-sensitive duties. Example: Airline pilot has a confirmed cocaine test result the airline would more than likely not want that individual taking his/her scheduled flight merely because the pilot had not returned the MRO s call yet and therefore the MRO could not verify the result and report that verified result to the employer. 49 CFR PART 655.5 Should you want to apply to the FTA for a stand-down waiver, please call Foley for guidance with the application process. 21

I-D. SETTING UP AND MAINTAINING A CONFIDENTIAL FILING SYSTEM Although your regulatory requirements are for maintaining data only, we recommend a filing system for this data since it significantly improves your ability to audit your information. Subjects covered in Section I-D are: 1. Confidential Covered Employee File 2. Confidential DAPM/DER File 3. Record Retention 4. Management Information Systems (MIS) 5. Instructions for Completing MIS DA-S9 With a simplified filing system, at any given time you can easily examine individual files to see that all required forms are present. Should you be audited and need to provide documentation back one year all of your information will be in place, saving you time and frustration. Our Recommendation: A CONFIDENTIAL COVERED EMPLOYEE FILE for each employee and a CONFIDENTIAL DAPM/DER FILE for information that you receive from Foley that needs to be maintained. Listed to the right is information that you should have in each covered employee s CONFIDENTIAL drug and alcohol file. 1. CONFIDENTIAL COVERED EMPLOYEE FILE You should have the following items enclosed in each covered employee s file: Pre-employment Application (copies, if you keep the original in the individual's Personnel File or Driver Qualification File) FORM DA-2, INQUIRY FOR ALCOHOL AND CONTROLLED SUBSTANCES INFORMATION FROM PREVIOUS EMPLOYER (required for new hires into a safety-sensitive function) The written record of the information received from the prior employer drug and alcohol inquiry or the record of the attempts to receive this information FORM DA-3, APPLICANT CERTIFICATION STATEMENT (requested for new hires into a safety-sensitive position) FORM DA-4, ACKNOWLEDGMENT OF RECEIPT AND REVIEW OF EMPLOYER S CONTROLLED SUBSTANCES AND ALCOHOL POLICY AND TRAINING MATERIALS (required) FORM DA-5, SUPERVISOR REASONABLE-SUSPICION TRAINING CERTIFICATE (required if individual is a supervisor of covered employees) Controlled substances test results/verification Statements Foley s MRO will provide MRO Verification Statements for each controlled substances test performed. (Call Foley if you don't have at least one test result on file for each covered employee.) FORM DA-11A, CONTROLLED SUBSTANCES AND/OR ALCOHOL 22

Various types of records and information will pass between you and Foley. Types of records that should be maintained in your CONFIDENTIAL DAPM/DER file include: Changes to your list of safety-sensitive employees Numbers of covered employees subject to testing Supervisor Reasonable- Suspicion Training Statistical Summary reports Random Selection Notifications TEST COLLECTION TRACKING FORM (if you completed this form upon notifying an individual to go for testing) Alcohol test results FORM DA-10, ALCOHOL TEST APPLICABILITY (optional - if you completed this form) FORM DA-6, REASONABLE-SUSPICION RECORDING FORM (required - if any reasonable-suspicion tests were conducted) FORM DA-12, FAILURE TO COMPLETE FEDERAL POST-ACCIDENT OR REASONABLE-SUSPICION CONTROLLED SUBSTANCES AND/OR ALCOHOL TESTING (required - if applicable) FORM DA-15, COVERED EMPLOYEE'S VIOLATION HISTORY (requested - if applicable) Suggestion: Keep all current individuals in one section, and all terminated individuals in another. Verify that all required forms are present. 2. CONFIDENTIAL DAPM/DER FILE There are various reports and notifications that will transfer between you and Foley. In this section we identify some of the most common communiqués that are part of your general program management that should be maintained in your CONFIDENTIAL DAPM/DER FILE. We have noted the name and number of any form that is applicable to the specific activity. ADDING/DELETING EMPLOYEES It is very important that you advise Foley when safety-sensitive Individuals are added to or deleted from your random testing program. You will receive a covered employee's card for each individual who is added to the program for random selection. We recommend that you file a copy of the add/delete requests that you send us since auditors will often ask when we were notified to add a specific individual. FORM DA-7, ADDITIONS OR DELETIONS TO COVERED EMPLOYEE LIST FOR DOT DRUG AND ALCOHOL TESTING PROGRAM NUMBER OF COVERED EMPLOYEES SUBJECT TO TESTING To determine the appropriate number of random tests that are to be conducted for each random selection pool, we need to know the accurate number of covered employees that were active for each month of the year. The easiest way to manage this is to report to us on a quarterly basis, the number of active covered employees that you had in the prior quarter. We ask that you estimate in advance, your count for the final quarter of the year, thus enabling us to do the calculations to determine the correct number of selections that are necessary. FORM DA-8, EMPLOYEES SUBJECT TO DOT CONTROLLED SUBSTANCES AND ALCOHOL TESTING PROGRAM 23

You are required by regulation to maintain certain records for a specific amount of time. The parameters are listed to the right. SUPERVISOR REASONABLE-SUSPICION TRAINING In addition to keeping a supervisor's training certificate in that supervisor's file, place a copy of the training certificate in this file. You may need to document this information on your annual summary, and it is easier and less timeconsuming to retrieve it from one central file at the end of each year. DA-5 SUPERVISOR REASONABLE-SUSPICION TRAINING CERTIFICATE STATISTICAL SUMMARIES The testing laboratories are required to transmit to employers on a semi-annual basis an aggregate (total) summary of that employer s drug testing. The DOT requires that this summary not reveal the identity of any employee and has implemented safeguards to ensure that this does not happen. To avoid providing data to an employer from which it is likely that someone could readily infer information about an employee s test result, the laboratories will not provide a summary if the total number of tests at any given laboratory for that employer is fewer than five. This prevents a laboratory from providing you with information about a confirmed positive result that you previously had no knowledge about since it was verified negative by the MRO (e.g., valid medical prescription). If there were only one or two tests conducted during that period of time, it would be fairly easy to deduce who the donor of the confirmed positive was. This could breach an individual s right to privacy. If you need a Summary Report - Should you have an audit, inspection, or review by a DOT agency, you may need to request a summary if you have not received one because your aggregate number of tests at a lab was under five. In that case you will receive a report that indicates that not enough testing was conducted to warrant a summary. RANDOM SELECTION NOTIFICATIONS File all random selection notifications you receive from Foley. 3. RECORD RETENTION The regulations require that you maintain certain documentation for a specific amount of time. The records must be maintained in a secure location with controlled access. FIVE YEARS Alcohol test result that is 0.02AC or greater Positive drug test result Documentation of refusals to take a required drug and/or alcohol test (includes refusal-to-submit due to adulteration/substitution) Covered employee referrals to the Substance Abuse Professional (SAP) Covered Employee evaluation and referrals Records relating to the administration of the drug and alcohol testing program Copy of each calendar year MIS Report summary (655.72) 24

Annually, FTA audits by mail, a random sample of employers. You should complete a Summary report each year to have that information readily available. Use Form DA-9S TWO YEARS Records relating to the drug and alcohol collection process (the blue employer copy of the CCF) and employee training ONE YEAR Negative and cancelled drug test results and alcohol test results that are less than 0.02AC. TYPES OF RECORDS Records related to the collection process Documents relating to the random selection process Documents generated in connection with the decision to administer reasonable suspicion drug and/or alcohol testing Documents generated in connection with decisions on post-accident drug and/or alcohol testing MRO documents verifying existence of a medical explanation of the inability to provide an adequate urine and/or breathe sample Records related to test results Records related to referral and return-to-duty and follow-up testing: Records concerning a covered employee s entry into and completion of the treatment program recommended by the SAP Records of employee training: Training materials on drug use awareness and alcohol misuse, including a copy of the employers policy on prohibited drug use and alcohol misuse and the dates and times of such training Documentation of training provided to supervisors for the purpose of qualifying the supervisors to make a determination concerning the need for drug and/or alcohol testing based on reasonable suspicion Certification of training conducted as it complies to regulation requirements for such training Copies of annual MIS reports submitted to FTA 4. MANAGEMENT INFORMATION SYSTEMS (MIS) Significant record keeping requirements have been mandated since 1994, for companies with DOT substance abuse testing programs. Effective, July 25, 2003, DOT revised the MIS requirements to make them more uniform among the different DOT Operating Agencies. The forms and directions herein are based on those changes. Under the MIS rules, SUMMARY records are subject to Federal audit by mail. DOT randomly selects a sample of employers in January who will be required to submit, by March 15th, their previous year s records to the DOT for review, compliance and effectiveness. If selected, you must ensure that the report is accurately prepared and returned to the DOT as directed. As a client of Foley, you will receive the MIS form at the beginning of the year reflecting the data that we had for your prior year s program. Upon receipt of this report, you need to review it and ensure that it is complete. There may be items that we will not have data for that you will need 25

to complete. Important Note: All Federal drug tests reported by Foley s MRO will be included in the MIS report when you have used the appropriate CCFs that we provided to you. Using our CCFs ensure that your testing records are accurate and complete. Alcohol test results may not be included if Foley was not informed of the test result from the BAT or from you as the DER. Maintain this report on file. In the FORMS Section, we have provided you with a blank MIS form should you need to add or change information. FORM DA-9S, US DOT DRUG AND ALCOHOL TESTING MIS DATA COLLECTION FORM 5. INSTRUCTIONS FOR COMPLETING MIS DA-9S Important Note for Employers who are subject to the regulations of more than one DOT Operating Agency: Employers who are subject to the requirements of more than one DOT Operating Agency will need to complete separate MIS forms for each DOT agency. Use Form DA-9S You will need to submit separate MIS forms for each Operating Agency If you have employees, some of whom perform duties under one DOT agency and others of whom perform duties under another DOT agency, you will need to complete different MIS forms for each operating agency. Complete all information for the DOT agency that you are submitting the MIS form to. If you have multiple employee categories, complete Sections II, III, and IV for each separate employee category. SECTION I. EMPLOYER: Complete the requested information. Name of Certifying Official: Although, FSI will partially prepare the MIS Data Form, you would enter the name of the company official who is certifying the accuracy of the completed report on this line. Prepared by (if different): If someone other than the certifying official completed the MIS form, enter that person s and phone number on the appropriate lines provided. C/TPA Name and Telephone (if applicable): Foley Carrier Services, LLC, (860) 633-2660 Check the DOT Agency: If our records indicate that you need to submit MIS reports to multiple DOT agencies, we will provide you with the separate forms for each agency. You will need to ensure that the appropriate number of covered employees is being reported on each MIS form. FMCSA: Enter your DOT number; Indicate whether or not you are an owner/operator; and whether you are exempt from filing MIS (exemptions noted at 382.103(d)) FTA: If completing the form for FTA, check the additional box(s) indicating 26

FMCSA only has One Employee Category Enter 1 in Box B. In Box C, Enter employee category DRIVER and the number of employees you entered in Box A. your type of operation. SECTION II. COVERED EMPLOYEES (A): Enter the average number of covered employees who work for your company. Foley provides you with an employee list each quarter. You are to review this list, make any appropriate changes and get it back to us since that we use that listing of employees when conducting the quarterly Random Selections. Calculate the average number of employees by adding the total number of covered employees subject to random testing during EACH random selection period and then dividing by four (since FSI conducts quarterly selections.) (B): Enter the total number of employee categories that the average number of covered employees in Box A represents. FMCSA only has one category: Driver enter the number one. PHMSA only has one category: Operation/Maintenance/Emergency Response enter the number one. FTA has five categories: Revenue Vehicle Operation; Revenue Vehicle and Equipment Maintenance; Revenue Vehicle Control/Dispatch; CDL/Non-Revenue Vehicle; Armed Security Personnel enter the total number of employee categories that your employee count represents FRA has five categories: Engine Service; Train Service; Dispatcher/Operation; Signal Service; Other (Includes yardmasters, hostlers, (non-engineer craft), bridge tenders; switch tenders, and other miscellaneous employees performing 49 CFR 228.5 defined covered service.) - enter the total number of employee categories that your employee count represents (C): Enter the name of the employee category for which you are submitting this MIS report. For each employee category you will need to submit a separate MIS report. Multiple categories - make copies of the form completed through Section II-B. Example of multiple employee categories: If you have 2000 covered employees in which 1750 personnel perform revenue vehicle operation and the remaining 250 are performing revenue vehicle and equipment maintenance, you must complete two forms. When you complete the employee category for vehicle operation information, you would enter Revenue Vehicle Operation in the first II-C box and 1750 in the second II-C box. When you complete second form, the employee category for maintenance personnel, you would enter Revenue Vehicle and Equipment Maintenance in the first II-c box and 250 in the second II-C box. SECTION III. DRUG TESTING DATA This section summarizes the drug testing results for all of your covered employees (including applicants that you did not hire) that the MRO reported to you. If you did not conduct testing for a test type, you may leave that column blank or enter zero. Column 1: Total Number of Test Results - Should equal the sum of Columns 2, 3, 9, 10, 11, and 12. Enter the total number of test results in each testing category during the entire reporting year. Do not include cancelled tests and blind specimens. 27

Column 2: Total of Verified Negative Test Results Do not count negative-dilute if, subsequently, the donor underwent a second collection; the second test is the test of record. Column 3: Verified Positive Results for One or More Drugs Enter the number of tests in each category (test type) that the MRO reported as positive for one or more drugs. A result that was positive for more than one substance counts as one positive test in this column. Columns 4 8: Positive for Specific Drugs Enter the substances for which each result was positive for that test type. If a result were positive for cocaine and marijuana, you would enter that count under both columns 4 and 5. There is no expectation for Columns 4 8 to add up to the numbers in Column 3 when you report multiple positives. Columns 9 12: Refusal Results The refusal section is divided into four refusal groups. The MRO reports Adulterated (Column 9) and Substituted (Column 10) specimen results because of laboratory test findings. A Shy Bladder With No Medical Explanation (Column 11) is reported by the MRO after an individual has not provided enough urine at the collection site and the MRO has conducted, or had another Doctor conduct, a medical evaluation of the donor and no medical reason was found to support the inability. Other refusals (Column 12) would include any occurrences such as interfering with the collection process, leaving the collection site without permission, failing to report to the collection site as directed by the employer, etc. All refusals are counted as a testing event for MIS purposes. Do not be concerned that a refusal resulted in no urine being sent to the laboratory. Column 1 will equal the total of Columns 2, 3, 9, 10, 11, and 12. Column 13: Cancelled Tests Enter the number of tests that the MRO reported to you as cancelled. Do not count any cancelled tests in Column 1. This includes any tests that were initially reported as a positive but were ultimately cancelled for any reason (e.g. the split failed to reconfirm). TOTAL Line: This line requires that you add the numbers in each column and provide the totals. SECTION IV. ALCOHOL TESTING DATA This section summarizes the alcohol testing conducted for all of your covered employees (including applicants, if you did pre-employment alcohol testing). If you did no testing for a test type, you may leave that column blank or enter zero. Column 1. Total Number of Screening Test Results Enter the number of screening test events with a final screening test result below 0.02, of 0.02 through 0.039, of 0.040 or greater, and all refusals. Column 2. Screening Tests With Results Below 0.02 Enter the number of tests by test type that the BAT or STT reported as being below 0.02 on the screening test. Column 3. Screening Tests With Results 0.02 or Greater - Enter the number of tests by test type that the BAT or STT reported as being 0.02 or 28

greater on the screening test. Column 4. Number of Confirmation Test Results - Enter the number of confirmation tests by test type that were conducted by the BAT as a result of the screening test being 0.02 or greater. Ideally, the number of confirmation tests should equal the number of screening tests entered in Column 3. Column 5. Confirmation Tests With Results 0.02 Through 0.039 - Enter the number of confirmation tests, by test type, that were 0.02 through 0.039. Column 6. Confirmation Tests With Results 0.04 Or Greater - Enter the number of confirmation tests, by test type, that were 0.04 or Greater. There is no place to enter a confirmation test that that is below 0.02. DOT is making the assumption that if a confirmation test was completed but not listed in either Column 5 or 6, the result was below 0.02. Additionally, if the confirmation test ended up being cancelled, it should not have been included in Columns 1, 3 or 4 in the first place. Column 1 should equal the sum of Columns 2, 3, 7 and 8. Column 7. Shy Lung With No Medical Explanation Enter the number of tests in which there was no medical reason to support the employee s inability to provide an adequate breath as reported by the examining physician; subsequently the employer called the test a refusal to test. Column 8. Other Refusal-to-Submit to Testing - Enter any refusals other than those already entered in Column 7. (Include any occurrences such as interfering with the testing process, leaving the collection site without permission, failing to report to the collection site as directed by the employer, etc.) Even though some testing events result in a refusal in which no breath was tested, there is an expectation that Column 1 will equal the sum of Columns 2, 3, 7 and 8. Do not be concerned that no breath was tested for some refusals; all refusals are counted as a screening test event for MIS purposes and establishing random rates. Column 9. Cancelled Tests Enter the number of tests that the BAT or STT reported as cancelled. Do not count any cancelled tests in Column 1 or in any column other than Column 9. (e.g., You are not to enter a screening test of 0.041 in Column 1 if the test was ultimately cancelled for some reason, such as a required air blank was not performed.) TOTAL Line. Columns 1 through 9 Add the numbers in each column and provide the totals. 29

I-E. ADVANCED GUIDE TO ISSUING YOUR POLICY Three Versions of our Standard Policy: Foley Recommended First Termination No Employer Consequences The policy is not to be construed as an employee agreement. For those employers who wish to have more detailed information about the policy options or are considering modifying the policy, this section discusses the three versions of the Standard Policy that have been provided to you by Foley, as well as the steps you need to take to modify your policy and issue it to your covered employees. Subjects covered in Section I-E are: 1. Three Versions of the Standard Policy 2. Preliminary Decision 3. Foley Recommended Policy 4. First Termination Policy 5. No Employer Consequences Policy 6. Additional Employer Authorized Requirements 7. If No Modifications Are Necessary 8. Modifying Your Policy 9. Additional Policy Services 10. Employee Notification 11. Employee Training 12. Licensing and Copyright Information 1. THREE VERSIONS OF THE STANDARD POLICY Each version of our standard policy meets the DOT requirements for 49 CFR Parts 655.15 and 40. The main difference between the policies is the issue of discipline. The financial responsibilities, for applicable fees, are similar in the Foley Recommended Policy and the First Termination Policy. The No Employer Consequences Policy does not address employer discipline issues or financial responsibilities. The Foley Recommended Policy is a second termination policy, affording the individual a second chance following a first violation of the prohibitions. The individual would be allowed to complete the return-to-duty process while in your employ. The individual would also be responsible for the associated costs of completing the return-to-duty policy. The First Termination Policy states that a covered employee is terminated upon the first violation of a drug and alcohol prohibition. Since the covered employee is terminated, Employer has no financial responsibility for the returnto-duty process should the individual wish to return to safety-sensitive duties. The covered employee is on his/her own to complete the requirements if he/she wants to return to safety-sensitive duties for another employer, or be selfemployed as a covered employee. The No Employer Consequences Policy does not include any consequences other than the DOT required consequences for a violation of the prohibitions. Note: As a client of Foley, it is important to remember that you, as our client are billed for any fees associated with the drug and alcohol testing program. If your covered employee incurs additional fees, it is your responsibility to collect those fees from that covered employee. 30

Your basic decision needs to be whether or not you will terminate an individual upon the first violation of the prohibitions, or allow the individual to remain in your employ and go through the return-to-duty process. The return-to-duty process is listed to make you aware of the elements. Foley Recommended Policy - Termination upon 2nd violation of the prohibitions Employee is financially responsible for: testing of the split-specimen, if requested, medical evaluation for a shy bladder/shy lung situation, all fees associated with the return-to-duty process Additional employer requirements include recollection for a negative-dilute preemployment, return-toduty or follow-up drug test result. 2. PRELIMINARY DECISION In order to choose the appropriate policy for your business, you must make a basic decision When/if you will terminate an individual for violating the prohibitions. The expanded return-to-duty requirements could keep a covered employee from returning to safety-sensitive functions for a longer period of time. The costs associated with the return-to-duty process can be substantial. These two facts will influence your decision as to whether you allow an individual to remain in your employ while going through the return-to-duty process. The return-to-duty process includes the following required elements: An Initial Substance Abuse Professional (SAP) Evaluation To determine what education and/or treatment the individual needs Education and/or Treatment Based on the recommendations of the SAP (Required as of August, 2001) Follow-up Evaluation To determine if the covered employee complied with the SAP's education and/or treatment recommendations (Required as of August, 2001) Return-to-Duty Testing A negative result is required before the individual can return to safety sensitive functions. May be for drugs and/or alcohol Follow-up Testing Minimum of six tests within the first twelve months of returning to safety-sensitive functions (Required as of August, 2001) Note: No version of the policy is to be construed as an employee agreement. Once you have made this preliminary decision, choose the appropriate policy from the following choices outlined below. 3. FOLEY RECOMMENDED POLICY Many clients ask for our guidance. With that in mind, we created the Foley Recommended version of the Standard Policy. The Foley Recommended Policy States: SECOND CHANCE Employer affords a covered employee who violates the prohibitions for the first time the opportunity to go through the return-to-duty process while remaining in employer s employ. In essence, this gives the covered employee a second chance. COVERED EMPLOYEE RESPONSIBLE FOR EXTRA FEES Additional fees will be incurred as part of the return-to-duty process. This policy states that these fees, as well as for a few other situations that would result in additional fees, are the responsibility of the individual for whom the services were provided, for any fees that are not covered by employee s insurance, if any. Additionally billed services would be: Testing of the Split-Specimen Employee wishes to have the split 31

First Termination Policy- Termination upon first violation of the prohibitions Employee is financially responsible for testing of the split specimen, and medical evaluation for a shy bladder/shy lung. No Employer Requirements or Consequences Policy Sections IX and X do not have any employer authorized items listed. specimen tested in an attempt to prove that the original positive test result or refusal-to-submit due to adulteration or substitution was a laboratory error. If the test does not reconfirm the original result, the employee is returned to duty without any adverse actions. (If employee is on an unpaid leave of absence, employer should issue back pay for the failure to reconfirm.). A medical evaluation that the MRO or employer requests for the purpose of establishing if there is a medically valid reason for an individual s inability to provide an adequate urine or breath specimen. The fees associated with the return-to-duty process: The Initial SAP Evaluation Treatment and/or Education The Follow-up SAP Evaluation Return-to-duty Test Fees Follow-up Test Fees 4. FIRST TERMINATION POLICY The First Termination Policy States: COVERED EMPLOYEE TERMINATED UPON FIRST VIOLATION This policy states that an individual who violates the prohibitions will be terminated from your employ. COVERED EMPLOYEE RESPONSIBLE FOR EXTRA FEES This policy states that any fees associated with the items below that are not covered by employee s insurance, if any, are the responsibility of the individual for whom the services were provided. Additionally billed services would be: Testing of the Split-Specimen Employee requests that the split specimen be tested in an attempt to prove that the original positive test result or refusal-to-submit due to adulteration or substitution was a laboratory error. If the test does not reconfirm the initial result, the employee is returned to duty without any adverse actions. (If employee is on an unpaid leave of absence, employer should issue back pay if there is a failure to reconfirm.) A medical evaluation that the MRO or employer requests for the purpose of establishing if there is a medically valid reason for an individual s inability to provide an adequate urine or breath specimen. 5. NO EMPLOYER CONSEQUENCES POLICY This third version of the Standard Policies, No Employer Consequences Policy, deals only with the regulatory requirements that must be met if an individual is to resume safety-sensitive functions after a violation of the prohibitions. This policy is most useful for employers with employee organizations, such as unions, that require any employer-authorized actions to be reviewed and/or negotiated. Using this policy enables an employer to comply with the drug and alcohol testing regulations while allowing for the time to go through possible negotiations to establish the employer-authorized issues. Employer states requirements of Sections IX and X in the policy. 32

Certain requirements that benefit the employer have been added to the policy. Review the issues to the right to determine if they are in accordance with your company s business needs. 6. ADDITIONAL EMPLOYER AUTHORIZED REQUIREMENTS These requirements, which benefit the employer, have been added to the Foley Recommended policy as well as the First Termination policy. Please review them to ensure that they each meet your requirements. Refer to Modifying Your Policy in this section to assist you in making any modifications. NEGATIVE-DILUTE DRUG TEST RESULT Requires that a covered employee who provides a negative-dilute specimen for a pre-employment, return-to-duty, or follow-up test submit to a second specimen collection. Note: This employer authorized requirement may be edited to include additional test types (Reasonable-Suspicion, Random or Post-Accident). We did not include them since there would be no advanced notice of testing (there is for PE and RTD) and therefore an individual would probably not have hydrated himself/herself in preparation for the test. Once you have decided on the test types, you must request a recollection from all individuals with a negative-dilute specimen for the test types you have chosen. If the MRO reports a negative-dilute with a recollection required under direct observation, you must follow that instruction. That requirement is not related to this employer authorized negative-dilute issue. TRANSPORTATION AFTER REASONABLE-SUSPICION TESTING A covered employee brought for a reasonable-suspicion controlled substances test or a reasonable-suspicion alcohol test with a test result of 0.02AC or greater will be required to accept employer-arranged transportation, or arrange for independent transportation home, whichever is acceptable to employer. Refusal to accept independent transportation may result in disciplinary actions, up to and including, immediate termination. COOPERATION A covered employee is required to fully co-operate with the SAP or the MRO including, but not limited to, meeting any required education and/or treatment, whether in-patient or out-patient. Failure to cooperate fully may result in disciplinary action up to and including termination. TIME LIMITS We placed time limits for a covered employee to complete successful return-toduty testing. Once the covered employee is told by the DAPM/DER to have the return-to-duty testing conducted, it must be done within the following time frame: Alcohol, Opiates, Cocaine, Phencyclidine, Amphetamines 5 Days Marijuana 40 Days Failure to have the testing completed within these time frames may result in disciplinary action up to and including termination. CONVICTION OF A FELONY States that a covered employee who has been convicted of a felony involving 33

the possession of, or a transaction in, illegal controlled substances (regardless of where the unlawful activities took place) is subject to disciplinary action, up to and including dismissal. EMPLOYER NOTIFICATION Requires any covered employee who has had an occurrence of any of the Other DOT Requirements or Prohibitions to notify employer of such occurrence within 24 hours. ADMINISTRATIVE ACTION FOR ALCOHOL TEST RESULT >0.02 BUT <0.04 If a covered employee is removed from safety-sensitive duties for one shift due to an AC of 0.02 or greater, but less than 0.04, if employer determines that no appropriate non-safety-sensitive work is available, the covered employee will be placed on an unpaid leave of absence and may be required to discuss the situation with a SAP. Write/type the name of your DAPM/DER and Company name on the cover of the policy. Clients in good standing with Foley may duplicate as many copies as necessary. Foley offers a duplication service. 7. IF NO MODIFICATIONS ARE NECESSARY Once you have chosen the appropriate policy for your business, if all of the employer authorized requirements and consequences are acceptable to you, you are basically ready to issue the policy. Please feel free to have your attorney review the policy. IDENTIFY YOUR DAPM/DER Write/type the name of your Drug and Alcohol Program Manager (DAPM) or the Designated Employer Representative (DER) on the cover of the policy. This is the individual that your covered employees will be told to contact should they have questions or concerns about the drug and alcohol testing program. Refer to Section I-B (2): DRUG AND ALCOHOL PROGRAM MANAGER/DESIGNATED EMPLOYER REPRESENTATIVE (DAPM/DER) for the responsibilities of this position. COMPANY NAME You may add your company name to the cover page. It is important that you retain our copyright information. DUPLICATION You have permission to reproduce this copyrighted material, as required, for your internal purposes as long as you are a client in good standing and retain the copyright and licensing information. See LICENSING AND COPYRIGHT INFORMATION section below. Duplication Service We will print the policy in whatever quantities you wish. We will also print the manual for you if you would like. Use the Order Form to identify the policy and quantity you want duplicated. Fax the completed Order Form to our corporate office at (860) 652-3259 or mail it to the address on the Order Form, or call (800) 253-5506, press 0 and request Policy Duplication Services. We will get the copies right back to you. 34

We recommend changing only the Employer Authorized sections. If making changes, we provide a no-charge Policy Review when you follow the guidelines listed to the right. 8. MODIFYING YOUR POLICY Review your chosen policy to determine if you need to make any changes. We separated the sections to enable you to easily make any changes that would best suit your needs while providing a level of security to help prevent an inadvertent change to a regulatory requirement. The required policy and educational materials are highly regulated per 49 CFR Part 655.14. Hundreds of hours of work have gone into our policy and the words have been carefully chosen to reflect the regulations correctly. Please feel free to have your attorney review the policy. We recommend that you make changes only to the following sections: Section IX. Employer s Independently Authorized Consequences and Requirements Section X. Employer s Independently Authorized Financial Responsibilities If you have some questions, we will provide limited policy consultation over the phone without charge. We can also provide a limited policy review of the pages that you have modified at no additional charge. If you would like us to review your changes, simply follow the Guidelines for a No-Charge Policy Review, outlined below. Should you require more substantial modifications, please contact us. A more comprehensive evaluation will be billed on a time and materials basis if you require assistance. GUIDELINES FOR A NO-CHARGE POLICY REVIEW Make a copy of the page(s) of the policy you wish to modify. Draw a line through items you wish to delete. Insert your modifications and additions on the printed copy, if possible, otherwise, indicate by a letter code or other method where the inserted item will go and separately list insertions and modifications. Fax your modified pages to : (860) 652-3259 or Mail your modified policy to: Foley Carrier Services, LLC., Attention: Policy Review, 655 Winding Brook Drive, Glastonbury, CT 06033 We will respond by telephone or by mail with the results of our review. Foley offers: Custom Policy Development, On-site Consultation, Duplication Services 9. ADDITIONAL POLICY SERVICES For your convenience, we offer the following services. Please refer to the PRODUCTS AND SERVICES ORDER FORM for specific pricing for these services. CUSTOM POLICY Should you require more substantial revisions, we can create a policy that states your specific requirements. Of course, a customized policy still needs to include all DOT required components. Clients who choose to have a Custom Policy developed at an additional fee may contact: 35

Foley Carrier Services, LLC Policy Development 655 Winding Brook Drive Glastonbury, CT 06033 Or call: 800-253-5506 and ask for Policy Development ON-SITE CONSULTATION We offer on-site policy consultation as well as on-site discussions with union representatives to define the regulatory requirements. Union leadership may contest the consequences that an employer wishes to implement for their members who violate the prohibitions. The employer s consequences may be negotiated as part of a labor contract. However, the need to perform the testing, as well as comply with any return-to-duty requirements, is required by federal regulation. DUPLICATION SERVICES We will print the policy in whatever quantities you wish. We will also print the manual for you if you would like. Regulations require that you provide your employees with proper notification of the requirements. Notice to Covered Employees may be used as a posting. Unions need to be provided with proper Notification as well as a copy of the materials that will be distributed to their membership. Use the Product and Services Order Form to identify the appropriate policy and quantity you want duplicated. Fax the completed Order Form to us at (860) 652-3259 or mail it to the address on the Order Form, or call (800) 253-5506, press 0 and request Policy Duplication Services. We will get the copies right back to you. 10. EMPLOYEE NOTIFICATION You have a requirement to notify your covered employees that testing is required under 49 CFR Part 655.16 NOTICE TO COVERED EMPLOYEES To help with this requirement, we have provided the Notice to Covered Employees, a document located on each disc. You may wish to post this document where your covered employees have access to it, or distribute it to your covered employees. This document addresses the regulatory requirements in four sections: What s new in the regulations since August 1, 2001 Information for covered employees who do not use drugs or misuse alcohol Information for covered employees who use illegal drugs or misuse alcohol Basic drug and alcohol testing requirements UNION NOTIFICATION If you have an "employee organization" (e.g. union), you must provide written notice to representatives of that employee organization of the availability of materials describing the DOT Controlled Substances and Alcohol Testing Program. 36

How do I conduct Driver Training? - Employee Training Meeting - Foley s Driver Training Video - Foley s On-site Driver Training The Program Manual, including the Forms and policy, is licensed to clients in good standing of Foley. You may duplicate for internal purposes, or derive products for internal purposes, but these materials must retain our copyright information. You are not permitted to use these products upon program termination, with the exception of stand-alone products, such as the Driver Training Video. This information should include: Notice to Covered Employees Your DOT Controlled Substances and Alcohol Testing Policy Any other Educational Materials provided to the employees Note: You should not allow the union to prevent or delay your complying with the testing requirements. If you need to allow for time to negotiate with your labor organization, we recommend that you issue the No Employer Consequences policy that reflects only regulatory requirements that need to be met following a violation of the prohibitions. 11. EMPLOYEE TRAINING As required by regulation, employees and contractors must have proper notification of the policy and other information. Our policy and educational materials (which is a combined package) meet this technical requirement. After the covered employees review the policy and educational materials, they will need to complete: FORM DA-4, ACKNOWLEDGMENT OF RECEIPT AND REVIEW OF THE DOT CONTROLLED SUBSTANCES AND ALCOHOL POLICY FOR COVERED EMPLOYEES AND EDUCATION MATERIALS. DOT Regulations require the safety-sensitive individual to sign a statement certifying that he/she has received a copy of the materials that an employer is required to provide. Maintain this statement (form) in the employee s confidential file folder. The policy and educational materials may not completely meet your business needs since your covered employees may have significant questions. Some form of training is essential for your covered employees to understand the requirements of the regulations. 12. LICENSING AND COPYRIGHT INFORMATION The Drug and Alcohol Policies and the Program Manual (including forms) are licensed products. A client in good standing has use of the manual, forms, and selected policy as outlined below. We are very protective of our valuable intellectual property and your cooperation in this matter is very important. DUPLICATION Client is licensed to duplicate and use for internal purposes only, the copyrighted contents of the Drug and Alcohol Program Manual as long as client is a customer in good standing with Foley. No video or audio duplication is permitted. DERIVATIVE WORK Any work derived from our materials must maintain all copyright information on every page. In addition, a client in good standing may use the copyrighted items to derive products for internal purposes only. ADDITIONAL WORK Should there be pages added to the policy that are solely the property of the employer, our copyright information is not required on such pages. 37

UPON PROGRAM TERMINATION Should an employer s program with Foley be terminated for any reason, the former client may not use The Drug and Alcohol Program Manual (including forms), any Policy, and/or any derivatives thereof. EXCEPTIONS An employer may continue to use products that are sold as stand-alone items. Examples are: Reasonable-Suspicion Drug & Alcohol Testing Training for Supervisors (manual & video), Driver Training Video, or any other such items that are copyrighted materials yet are available for sale to non-clients. 38

I F. HIRING A COVERED EMPLOYEE Certain items must be completed when hiring a covered employee, transferring an employee into a safety-sensitive position, or when a covered employee returns from layoff/leave. An applicant needs to be aware that he/she will need to complete the return-to-duty process for a positive preemployment test or refusal-to-submit. Use Form DA-21 to provide this notification. This section covers the steps required to place an individual in a safety-sensitive position. In this section the information pertains to non-testing activities for new hires, transfers, and could be applicable when a covered employee returns from lay-off/leave. The actual testing activities are covered in Section II CONTROLLED SUBSTANCES AND ALCOHOL TESTING. Subjects covered Section I-F are: 1. Job Offer Contingency 2. Applicant Notification of DOT Requirements 3. Performance Review Driving Test 4. Have Appropriate Forms Completed 5. Pre-Employment Testing 6. Controlled Substances and Alcohol Inquiry 7. Performing the Controlled Substances and Alcohol Inquiry 8. Notify Foley 9. Covered Employee Returns From Lay-off/Leave It is important that you complete all of the required items listed below when you hire or transfer an employee into a safety-sensitive position as defined in the DEFINITIONS section of the policy. For your convenience we have included a NEW HIRE CHECKLIST in the Appendix section of this manual. Note: Mechanics who road test CMVs as well as casual covered employees, sub-contractors, etc. are included in this requirement. Remind your personnel staff to notify you when a covered employee is being hired or transferred into a safety-sensitive position. Failure to perform required pre-employment steps has a potential fine of $10,000 per instance. Follow these steps to ensure that all requirements have been completed: 1. JOB OFFER CONTINGENCY Inform the applicant/transfer in advance that a job offer is contingent upon a negative drug test result (and an alcohol test, if applicable - See Pre- Employment Testing, below). 2. APPLICANT NOTIFICATION OF DOT REQUIREMENTS It is important that the covered employee be aware of consequences that he/she is subject to should he/she violate the drug and alcohol testing rules. 49 CFR Part 40 requires an individual who violates the prohibitions to comply with the return-to-duty process before beginning safety-sensitive functions for any employer. The covered employee applicant needs to know this. In the FORMS section, we have included DA-21 APPLICANT NOTIFICATION. This short synopsis informs the applicant/transfer of consequences of a violation of the prohibitions that could occur during, or as a result of pre-employment testing. By providing this one page document to the applicant/transfer, you can provide the individual with necessary information while saving yourself time and the expense of providing the entire policy. 39

However, if you prefer, you may make a copy of The Controlled Substances and Alcohol Policy for Covered Employees available for review to an applicant/transfer whom you are seriously considering for a position. You could then issue the policy upon hiring the individual. 3. PERFORMANCE REVIEW - DRIVING TEST You may conduct a supervised driving performance review of an applicant/transfer prior to conducting the pre-employment drug test. 4. HAVE APPROPRIATE FORMS COMPLETED Before sending the applicant/transfer for pre-employment testing, have him/her complete the following forms: The forms listed at right need to be completed before the individual goes for a preemployment test. DA-21, APPLICANT NOTIFICATION DA-2, INQUIRY FOR ALCOHOL AND CONTROLLED SUBSTANCES INFORMATION FROM PREVIOUS EMPLOYER The applicant must sign one form for each employer he/she worked for within the last two years that is subject to DOT agency requirements. DA-3, APPLICANT/COVERED EMPLOYEE CERTIFICATION STATEMENT DA-4, ACKNOWLEDGMENT OF RECEIPT AND REVIEW OF EMPLOYER S CONTROLLED SUBSTANCES AND ALCOHOL POLICY AND EDUCATIONAL MATERIALS File these forms in the covered employee s Confidential File Folder. You MUST have a negative preemployment drug test result before an individual can perform safety-sensitive functions. Pre-employment alcohol testing is permitted as of August 1, 2001. A violation for a preemployment test must be reported in your endof-year summary reports. 5. PRE-EMPLOYMENT TESTING When you hire/transfer an individual into a safety-sensitive position, you must have a pre-employment drug test conducted, and a negative drug test result must have been communicated before that individual actually performs safetysensitive functions (e.g., drives, dispatches). If this communication is conducted via telephone, it is best to document the date and time that you received the call from personnel in the MRO s office. Pre-employment alcohol testing is not required, but as of August 1, 2001, it is authorized. If you, as an employer, conduct pre-employment alcohol testing, you must conduct the test on every safety-sensitive applicant/transfer. To conduct a pre-employment alcohol test, inform the individual of this requirement and inform the collection site to use a Federal alcohol test form (ATF) and follow all of the testing procedures outlined in the alcohol testing procedures of Part 40. Arrange (schedule the appointment) for the pre-employment drug test (and alcohol test, if required per your requirements.) See Section II-I. SENDING AN INDIVIDUAL FOR TESTING. NOTE: If an applicant has a positive pre-employment drug test, or refusal-tosubmit due to adulteration or substitution, this information must be reported in your Management Information Systems (MIS) report (DA-9S). Maintain this information in your confidential file. 40

The prior employer inquiry is to find out if an applicant had any drug and alcohol violations with a previous employer within the past two years. A specific authorization must be provided to prior employers. You must receive the information back within 30 days, or have documented a good faith effort to obtain it, or the individual must be removed from driving. If there was a violation, you must find out if any part of the return-to-duty process needs to be completed. You must ask the covered employee if he/she had any violations for a preemployment test for an employer that did not hire him/her. 6. CONTROLLED SUBSTANCES AND ALCOHOL INQUIRY We recommend that you start the required inquiry for an applicant/transfer as part of the application process. It is important to begin this as soon as possible because you need the results on file within 30 days of the individual's first day of performing safety-sensitive functions. 7. PERFORMING THE CONTROLLED SUBSTANCES AND ALCOHOL INQUIRY This requirement was implemented to allow you, as an employer, to find out if your applicant has any violations of the drug and alcohol prohibitions. As a DOT-regulated employer of a new covered employee, you are required to perform this inquiry of the employers for whom the covered employee worked within the past two years of the date of his/her application for employment with you. This activity is required only when an applicant/transfer is seeking to begin safety-sensitive duties for you for the first time. There are specific guidelines that must be adhered to in completing this inquiry. PROVIDE PROPER AUTHORIZATION You must provide the prior employer with the proper authorization in order for them to release the requested information. Use Form DA-2 INQUIRY FOR ALCOHOL AND CONTROLLED SUBSTANCES INFORMATION FROM PREVIOUS EMPLOYER. The request must be: Made of every employer that the covered employee had within the past two years. Specific to that employer. Their business name is to be listed as the employer from whom you are requesting the information. Blanket releases are prohibited. Specific in the information that you are requesting. You are seeking information about: Positive drug test results, Refusals to Submit (including adulterated or substituted tests) Alcohol test results greater than 0.04AC Other violation of DOT agency drug and alcohol testing regulations COMPLETE DRUG AND ALCOHOL INQUIRY WITHIN 30 DAYS When you initiate your request, we suggest that you send it via a means that provides you with documentation that the request was received (e.g., fax or certified mail). If the prior employer does not respond to your inquiry, you need to attempt to contact that employer. You are required to make and document a good faith effort to get this information. 41

If you have not received a response within thirty (30) days, from the date the individual began safety-sensitive functions, you need to remove the individual from those duties until the information is received or you have made a good-faith effort to obtain the information from the previous employer. Be sure to document all attempts to obtain the information. ASK THE COVERED EMPLOYEE You must ASK the employee whether he/she has tested positive, or refused to test, on any pre-employment drug or alcohol test (within the past two years) administered by an employer to which he/she applied for, but did not obtain, a safety-sensitive position. IF THE INQUIRY RESULTS INDICATE, OR THE COVERED EMPLOYEE INDICATES, A PRIOR DRUG OR ALCOHOL VIOLATION If a prior employer informs you that an applicant violated the prohibitions or if the employee admits to a positive or refusal-to-submit, you need to know specific information. You cannot use the employee for safety-sensitive functions, until and unless you have documentation of successful completion of the return-toduty process. You need to know: Notify Foley whenever you add/delete covered employees from the random program. If the individual was evaluated by a SAP If the individual is meeting or has completed his/her treatment or education If the follow-up evaluation with the SAP took place If a return-to-duty test was performed with a negative result (drugs or alcohol, or both). If the individual is meeting, has completed, or is continuing treatment (if required, prior to August 1, 2001 treatment/education was not required) If the individual still has follow-up tests to complete (if required, prior to August 1, 2001 a SAP did not need to require six follow-up tests) If the individual has not completed all of the return-to-duty requirements (including follow-up tests) and you wish to employ him/her, refer to Section I-H. RETURN-TO-DUTY PROCESS for more information. 8. NOTIFY FOLEY When you add (or delete) an employee from your DOT random testing program, please notify Foley of the change by: Fax: (860) 652-3259 Phone: (800) 253-5506 Or Mail using Form DA-7 to: Press 2, then press 1 Foley Carrier Services LLC 655 Winding Brook Drive Glastonbury, CT 06033 42

Upon returning from layoff/leave, you may have covered employee certify that he/she did not have a violation while gone. You may do the prior employer inquiry. 9. COVERED EMPLOYEE RETURNS FROM LAY-OFF/LEAVE If you employ a covered employee who has a seasonal layoff or extended leave, you may want to have the covered employee certify that he/she did not have a refusal-to-submit (including adulterated/substituted specimen), or a positive drug or alcohol test while he/she was not actively driving for you. Use Form DA-3, APPLICANT/COVERED EMPLOYEE CERTIFICATION STATEMENT You may opt to do the Prior Employer Inquiry if the individual was performing safety-sensitive functions for another employer during the lay-off from your employ. If you wish to conduct this activity, be sure the individual completes Form DA-2. 43

I-G. THE DRUG AND ALCOHOL PROHIBITIONS In this section we have defined the Drug and Alcohol Program Prohibitions as they apply to 49 CFR Parts 655.21, 655.31 and Part 40. Subjects covered in Section I-G are: 1. Alcohol Concentration 2. On-Duty Use 3. Pre-Duty Use 4. Use Following an Accident 5. Refusal-to-Submit 6. Controlled Substances Use 7. Controlled Substances Testing 8. Actual Knowledge 9. DOT and FTA Consequences of a Violation 10. What to do if An Individual Violates the Prohibitions This section covers The Prohibitions. Each prohibition is listed below. All of the prohibitions refer to performing safety sensitive functions. It is important to ensure that your covered employees understand this definition. It includes the time that an individual begins work or is required to be in readiness to work until he/she is relieved from work. (See safety-sensitive function in the DEFINITIONS section of the policy) An alcohol concentration of 0.04 or greater is prohibited. If a covered employee has an AC of 0.02 to 0.039, he/she will not be permitted to perform a safety-sensitive function unless the confirmation test result is below 0.02AC. 1. ALCOHOL CONCENTRATION No covered employee shall report for duty or remain on duty requiring the performance of safety-sensitive functions while having an alcohol concentration of 0.02 or greater. (49 CFR Part 655.35) No Employer having actual knowledge that a covered employee has a prohibited alcohol concentration level (greater than or equal to 0.04AC) shall permit the covered employee to perform or continue to perform safety-sensitive functions. Important: An alcohol concentration greater than or equal to 0.02 but less than 0.04 is NOT a violation of the prohibitions. RETESTING OF COVERED EMPLOYEES WITH AN ALCOHOL CONCENTRATION OF 0.02 OR GREATER BUT LESS THAN 0.04 If an employer chooses to permit a covered employee to perform a safetysensitive function within 8 hours of an alcohol test indicating an alcohol concentration of 0.02 or greater but less than 0.04, the employer shall retest the covered employee to ensure compliance with the provisions of 49 CFR Part 655.35. The covered employee may not perform safety-sensitive functions unless the confirmation alcohol test result is less than 0.02. This lower level of alcohol concentration does not require the individual to complete all of the components of return-to-duty. 44

A covered employee may not use alcohol while performing safetysensitive functions. A covered employee may not use alcohol within four hours before performing safetysensitive functions. On-call covered employees need to be careful with this prohibition. A covered employee may not use alcohol within eight hours after an accident, or till a PA alcohol test. 2. ON-DUTY USE No covered employee shall use alcohol while performing safety-sensitive functions. (49 CFR Part 655.32) For example, a covered employee cannot consume alcohol while on a break, waiting for his or her workload, etc. Clearly, a covered employee cannot have a beer or any other alcoholic beverage during lunch break. No Employer having actual knowledge that a covered employee is using alcohol while performing safety-sensitive functions shall permit the covered employee to perform or continue to perform safety-sensitive functions. 3. PRE-DUTY USE No covered employee shall perform safety-sensitive functions within four hours after using alcohol. (49 CFR Part 655.33) A problem area is when individuals are on-call. For example if an on-call bus driver or covered employee is contacted to drive and he/she consumed alcohol within the past four hours, he/she cannot report for work (perform safetysensitive functions) and must disclose this to the individual requesting that he/she come in. No Employer having actual knowledge that a covered employee has consumed alcohol within four hours prior to performing safety-sensitive functions shall permit the covered employee to perform or continue to perform safety-sensitive functions. 4. USE FOLLOWING AN ACCIDENT No covered employee required to take a post-accident alcohol test under 655.44 of subpart E shall use alcohol for eight hours following the accident, or until he/she undergoes a post-accident alcohol test, whichever occurs first. (49 CFR Part 655.34) No covered employee shall refuse to submit to a drug or alcohol test. 5. REFUSAL-TO-SUBMIT No covered employee shall refuse to submit to a controlled substances or alcohol test. There are many conditions that qualify as a "refusal-to-submit. See Section II-K. REFUSAL-TO-SUBMIT. (49 CFR Parts 40.191, 40.281, and 655.49) No Employer shall permit a covered employee who refuses to submit to testing to perform or continue to perform safety-sensitive functions. 45

A covered employee may not perform safetysensitive duties while using a drug unless he/she has a prescription and the physician has said the drug will not affect his/her ability to drive. A positive drug test result or adulteration/substitution of a drug specimen is prohibited. An employer can obtain actual knowledge of drug or alcohol use based on direct observation, prior employer information, a traffic citation while driving a CMV, or employee admission. All violations discussed herein have the same DOT consequences if a covered employee is to return to driving duties. The DOT requirements are listed to the right. 6. CONTROLLED SUBSTANCES USE No covered employee shall report for duty or remain on duty requiring the performance of safety-sensitive functions when the covered employee uses any controlled substances, except when the use is pursuant to the instructions of a physician who has advised the covered employee that the substance will not adversely affect the covered employee s ability to safely perform safety sensitive functions. (49 CFR Part 655.21) No Employer having actual knowledge that a covered employee has used a controlled substance shall permit the covered employee to perform or continue to perform safety-sensitive functions. 7. CONTROLLED SUBSTANCES TESTING No covered employee shall report for duty, remain on duty or perform a safetysensitive function if the covered employee tests positive or has adulterated or substituted a test specimen for controlled substances. (49 CFR Part 655.46) No Employer having actual knowledge that a covered employee has tested positive or has adulterated or substituted a test specimen for controlled substances shall permit the covered employee to perform or continue to perform safety-sensitive functions. 8. ACTUAL KNOWLEDGE Actual Knowledge, as used in the context of the prohibitions, means that an employer can obtain actual knowledge that a covered employee has used alcohol or controlled substances based on the employer s direct observation of the employee, information provided by the covered employee s previous employer(s), a traffic citation for driving a CMV while under the influence of alcohol or controlled substances or an employee s admission of alcohol or controlled substances use. Refer to the Self-Identification Program under Other DOT Authorized Provisions in Section I-C. GENERAL PROGRAM MANAGEMENT) 9. DOT AND FTA CONSEQUENCES OF A VIOLATION Any violation of these prohibitions (positive test result, refusal-to-submit, drug use, etc.) has the same DOT consequences and requirements for returning to safety-sensitive functions. They include: Removal from safety-sensitive duty Substance Abuse Professional (SAP) evaluation (face-to-face) Compliance with the treatment or education requirements recommended by the SAP Follow-up SAP evaluation (face-to-face) Negative return-to-duty test result(s) Subject to a minimum of six follow-up tests within a twelve-month period 46

10. WHAT TO DO IF AN INDIVIDUAL VIOLATES THE PROHIBITIONS Do you terminate the individual or do you allow for a second chance? This decision is to be made before issuing your policy because when the situation occurs you are to follow the employer authorized consequences that your policy has stated. Our Recommendation: We strongly advise that your consequences for policy violations be the same for all safety-sensitive individuals who violate the requirements of this program. Refer to your policy to determine if you will give the individual a second chance or terminate him/her. For an alcohol prohibition, document that the individual met the criteria to be subject to testing. For any alcohol result over 0.02, remove the covered employee from safety-sensitive functions. For alcohol tests over 0.04, call Foley s MRO for the name of a SAP who can perform the evaluation. For a verified positive drug test result, advise the individual of the test result and the substances he/she tested positive for. With proper authorization, a covered employee can request the release of drug/alcohol results to third parties. Use Form DA-16. If your policy states that the individual will be allowed to remain in your employ while completing the return-to-duty process, refer to Section I-H. RETURN-TO-DUTY PROCESS If your policy states that the individual is to be terminated refer to Section I-I. TERMINATING AN INDIVIDUAL DOCUMENTATION OF ALCOHOL TEST APPLICABILITY IMPORTANT! If the violation was for an alcohol prohibition, you should document the applicability of the alcohol test because an individual may claim well after the test was conducted that he/she was not subject to an alcohol test. Confirm and document that at the time of the test the individual was subject to testing using Form DA-10, ALCOHOL TEST APPLICABILITY. An individual is subject to testing if the testing was conducted just before, during, or immediately after, the individual was subject to performing safetysensitive functions, or available to perform safety sensitive functions. CONFIRMED POSITIVE ALCOHOL TEST RESULT The Breath Alcohol Technician (BAT) is required to report any confirmed alcohol test result over 0.02 AC directly to you as the DAPM/DER. You need to immediately remove any individual with a result greater than 0.02 AC from safety-sensitive functions; however a result of greater than 0.02 but less than 0.04 is not a positive alcohol test result. The required return-to-duty process does not apply. A positive alcohol concentration, according to DOT regulation, is 0.04 or greater. For alcohol testing there is no review process as there is for drug testing (MRO review). This section deals only with alcohol concentrations of 0.04 or greater. For results greater than 0.02 but less than 0.04, refer to the policy sections: DOT CONSEQUENCES FOR ENGAGING IN SUBSTANCE USE-RELATED CONDUCT and EMPLOYER S INDEPENDENTLY AUTHORIZED CONSEQUENCES FOR VIOLATIONS OF THIS POLICY. IMPORTANT! Report the name of the individual with a confirmed alcohol test result of 0.04 or greater to Foley s MRO. They will provide you with the name of a Substance Abuse Professional (SAP). You need this information regardless of whether the individual is to continue to work for you and go through the return-to-duty process or if the individual is terminated. 47

VERIFIED POSITIVE DRUG TEST RESULT You must advise the individual who tested positive for drugs of the test result and the substance or substances for which he/she tested positive. The individual will already have been advised of this by the MRO who will also have discussed his/her right to have the split specimen test conducted. In some states you are required to provide the individual with a copy of the positive drug test result. You must not disregard a verified positive DOT result because the employee presents a negative test result from a blood or urine specimen collected by his/her physician or a DNA test result purporting to question the identity of the DOT specimen. See Section II-L. TESTING OF THE SPLIT SPECIMEN for important information and guidelines should the individual request that the split be tested. RELEASE OF DRUG/ALCOHOL TESTING INFORMATION A covered employee may request the release of his/her controlled substances and/or alcohol test information to third parties at his/her option. Use Form DA- 16 REQUEST FOR CONTROLLED SUBSTANCES AND/OR ALCOHOL TEST RESULT. Do not release information unless the covered employee has properly authorized it. This is not to be confused with the release of information relating to the required Controlled Substances and Alcohol Inquiry of Prior Employers. 48

I-H. RETURN-TO-DUTY PROCESS An individual who has violated the prohibitions is removed from safetysensitive duties until the return-to-duty process has been complied with. Covered Employee has an initial evaluation with a SAP to determine the course of treatment/education. DOT requires that the SAP must recommend treatment and/or education for every individual who violates the prohibitions. This section will only be used if you allow individuals to go through the returnto-duty process after violating the prohibitions. Subjects covered in Section I-H are: 1. Removal From Safety-Sensitive Duties 2. Initial SAP Evaluation 3. Treatment and/or Education 4. Follow-up Evaluation 5. Return-to-Duty Test 6. Follow-up Testing Program 7. Record Maintenance 1. REMOVAL FROM SAFETY-SENSITIVE DUTIES Individuals who have violated the prohibitions, including testing positive for drugs or alcohol, cannot perform safety sensitive functions including, but not limited to: Driving Inspecting, servicing, or conditioning any commercial vehicle, at any time Repairing, obtaining assistance for, or remaining in attendance upon a disabled vehicle Loading or unloading a vehicle, supervising or assisting in loading or unloading, or attending a vehicle being loaded or unloaded Using a covered employee who has violated a prohibition without having complied with the required return-to-duty process is a major problem. Federal DOT officials have indicated that this is their "Number One" concern. They levy significant fines in this situation since they believe that this puts public safety at grave risk. 2. INITIAL SAP EVALUATION If you do not terminate the individual s employment, he/she will need a face-toface evaluation by a qualified SAP who meets the then-current requirements. This initial evaluation is to provide a comprehensive assessment and clinical evaluation to recommend a course of education and/or treatment for the individual. 3. TREATMENT AND/OR EDUCATION Treatment and/or education is required (as of August 1, 2001) for any individual who violates a DOT drug or alcohol prohibition. Appropriate education may include, but is not limited to, self-help groups, community lectures, etc., where attendance can be verified. Appropriate treatment may include, but is not limited to, in-patient hospitalization, out-patient counseling, or aftercare. The covered employee is required to comply with the recommendation(s) of the SAP. 49

The individual must return to the SAP for a follow-up evaluation so that the SAP can determine if the individual complied with the SAP's recommended education/treatment. The individual must have a negative return-to-duty test prior to returning to safety-sensitive functions. In our Standard Policy we established, per your independent authority, time frames within which the covered employee must have a negative return-to-duty test. As the employer, nothing in the regulations mandates that you are responsible for any of the treatment and/or education costs. The cost for treatment and/or education may or may not be covered by the employee s insurance, if any. You, as the employer would be responsible for costs if you agreed to provide it (union negotiation, etc.). Foley s Standard Policies indicate that the cost of treatment not covered by health care is the responsibility of the individual who has violated the prohibitions. 4. FOLLOW-UP EVALUATION The follow-up evaluation is a face-to-face interview, conducted by the SAP who did the initial evaluation, to determine whether the individual has complied with his/her recommendations. The SAP will provide you with a written report as to whether the individual has successfully demonstrated compliance or not. A SAP may determine that the individual has successfully demonstrated compliance even if the prescribed treatment and/or education has not been completed. If the SAP states that the employee has successfully demonstrated compliance, you may proceed to the next step (the return-to-duty test) in the return-to-duty process. If the SAP states that the employee has not successfully demonstrated compliance, you may not return the individual to safety sensitive functions and the regulations state that you may take personnel action consistent with your policy and/or labor-management agreements. The SAP may conduct additional follow-up evaluation(s) if you, as the employer, determine that doing so is consistent with the employee s progress as reported by the SAP, and your policy and/or labormanagement agreement. 5. RETURN-TO-DUTY TEST Once the SAP reports to you that the individual has complied with his/her recommendations, you may now have the individual take the return-to-duty drug and/or alcohol test(s). The SAP will determine which test(s) should be conducted (drug/alcohol). All urine specimens for return-to-duty drug tests are collected under direct observation. Keep in mind that our Standard Policies include time limits within which the return-to-duty test should be completed. These limits are intended to keep you from having an individual take an extraordinarily long time in obtaining a negative return-to-duty test result because an individual continues to use the prohibited substance. The SAP may provide some guidance as to when the individual would be able to test negative if he/she has not continued to use the prohibited substance. It is possible for an individual to have a positive return-to-duty test result and still have a subsequent negative return-to-duty test during the time limits listed in your policy. This second positive does not qualify as a violation of the prohibitions since the individual was not available to perform safety-sensitive functions. However, the Standard Policies indicate that additional return-toduty tests would be at the expense of the individual. In the Foley Recommended Policy, in Section IX. EMPLOYER S 50

INDEPENDENTLY AUTHORIZED CONSEQUENCES AND REQUIREMENTS, it states that an individual is required to obtain a negative drug and/or alcohol return-to-duty test within the time frames indicated below. This is the number of days from the date you received the SAP s written report stating that the covered employee had complied with the SAP s prescribed recommendations. At that time you, as the DAPM/DER would advise the individual to have the return-to-duty test(s) completed. The SAP determines the number and frequency of follow-up tests. The individual will be subject to a minimum of six follow-up tests within the first twelve months after returning to duty. You determine the actual dates for the follow-up testing. All follow-up drug tests must be directly observed. Employer must maintain confidential records of the return-to-duty process for a minimum of five years. Alcohol, Opiates, Cocaine, Phencyclidine, Amphetamines Marijuana 5 Days 40 Days 6. FOLLOW-UP TESTING PROGRAM The SAP will provide you with a written follow-up testing plan for the employee. The SAP is the only individual who can determine the number and frequency of the follow-up tests and whether these tests will be for drugs, alcohol, or both. The individual will be subject to a minimum of six follow-up tests within the next twelve months after returning to safety-sensitive functions. You, as the DAPM/DER, determine the actual dates, not the SAP, since you are aware of the employee's performance issues and availability. As the employer, you must follow the recommendations of the SAP. You cannot get a second opinion. The SAP is the only person who can change the follow-up testing plan. All follow-up drug tests are to be "observed" collections to ensure that the individual does not attempt to adulterate or substitute the urine specimen. When scheduling the appointment, notify the collection site that an observed collection is required. 7. RECORD MAINTENANCE You must maintain information relating to the return-to-duty process (positive test results, SAP evaluations and reports of compliance with treatment/education recommendations, and follow-up testing plans) for a period of five years. These records should be filed in limited access areas that permit no unauthorized entry. 51

I-I. TERMINATING AN INDIVIDUAL Review this section any time you are terminating an individual, regardless of whether you are terminating the individual because it was his/her first violation (First Termination Policy) or a second violation and you have the Foley Recommended Policy in place. Subjects covered in Section I.I are: Review your policy before termination. 1. Review Your Policy 2. Provide Required Information 3. Proper Documentation 4. Record Maintenance 1. REVIEW YOUR POLICY Review your policy to be sure that you are handling the termination in the appropriate manner. Regulation requires that, even if your policy states that you terminate an individual after a violation of the prohibitions, there is information that you must provide to the covered employee. Employer must provide SAP information. Employee is financially responsible for completing the return-to-duty process before returning to safetysensitive functions for any employer. Make sure you have a copy of Form DA-4 on file before terminating an individual. Records pertaining to positive test results must be kept at least five years. 2. PROVIDE REQUIRED INFORMATION As an employer, you must provide to each employee (including an applicant or new employee) who violates a DOT drug and alcohol regulation a listing of SAPs readily available to the employee and acceptable to you, with names, addresses, and telephone numbers. You cannot charge the employee any fee for compiling or providing this list. You may provide this list yourself or through a C/TPA or other service agent. -- 49 CFR Part 40.287 Foley is available to assist you with this information requirement. Before the individual can be employed elsewhere in a safety-sensitive position, he/she will have to meet the DOT return-to-duty requirements (initial SAP evaluation, treatment/education, follow-up SAP evaluation, return-to-dutytest(s), follow-up testing), although it will not be your responsibility. 3. PROPER DOCUMENTATION Before terminating a safety-sensitive individual for a violation of the prohibitions, it is important that you review that individual's file to ensure all paperwork is in order. Be sure the individual has signed: Form DA-4 ACKNOWLEDGEMENT OF RECEIPT AND REVIEW OF EMPLOYER S CONTROLLED SUBSTANCES AND ALCOHOL POLICY AND EDUCATIONAL MATERIALS 4. RECORD MAINTENANCE You need to maintain information pertaining to positive test results for a period of five years. These records should be filed in limited access areas that permit no unauthorized entry. We suggest that you have all forms associated with a prohibition of the violations completed. 52

SECTION II - CONTROLLED SUBSTANCES AND ALCOHOL TESTING 53

II-A. GENERAL TESTING INFORMATION An individual s test result should not be used to infer that that person is an alcoholic or a drug addict. If you have an individual who claims a disability due to controlled substances or alcohol, we recommend that you contact an attorney who specializes in this area for guidance. Required tests: Pre-Employment (Controlled Substances only) Post-Accident Reasonable-Suspicion Random Return-to-Duty Follow-up This section provides general information about the testing program. Each of the testing situations will be discussed in detail in its own section. Subjects covered in Section II-A are: 1. Americans With Disabilities Act 2. Required Tests 3. Integrity of the Testing Process 4. Blind Specimen Testing Program 1. AMERICANS WITH DISABILITIES ACT The following information comes from the discussion section in the applicable federal regulations regarding the Americans with Disabilities Act: "In no case should any test result for alcohol or drugs under this part be used to infer that a person is an alcoholic or drug addict. Testing under this part determines whether a covered employee may need to be removed from safety-sensitive functions and must be referred to a substance abuse professional only. The tests under this part are conduct tests only, and do not determine the status of any person. Prospective employers should refer to the requirements of the Americans with Disabilities Act, and implementing regulations, 42 CFR Part 1630, before taking any employment actions based on SAP evaluations released by covered employees to the prospective employer." Our Recommendation: If you have an individual who claims that he/she has a disability due to controlled substances or alcohol, we recommend that you contact an attorney who specializes in this area for guidance. 2. REQUIRED TESTS The following DOT Controlled Substances and Alcohol tests are required: Pre-Employment (Controlled Substances test is required Alcohol test is allowed) Post-Accident Reasonable-Suspicion Random Return-to-Duty Follow-Up Each testing situation is discussed in detail in the next sections. 3. INTEGRITY OF THE TESTING PROCESS Procedures that are used in the drug and alcohol testing program have been designed to "protect the covered employee and the integrity of the testing process, safeguard the validity of the test results, and ensure that those results are attributed to the correct covered employee." 54

Procedures are in place to help protect the integrity and security of the testing process, such as, identification by photo ID, chain of custody, tamperproof seals, etc. All individuals submitting to required testing must be identified by photo ID or by an authorized employer representative to ensure that the individual being tested is the correct person. A social security number or employee identification number is used to track the urine specimen through the testing process. DOT-approved procedures which include: the chain of custody documentation, split specimen collection method, donors having visual contact with their specimen throughout the collection process, as well as tamperproof seals on the specimen bottles initialed by the donor, all contribute to the security and the integrity of the testing process. Foley submits known positive, negative, adulterated and substituted specimens to the laboratories to test the integrity of the testing process. 4. BLIND SPECIMEN TESTING PROGRAM Foley submits blind specimens to all of our HHS certified laboratories to test the integrity of the testing process. These tests are unknown to the testing laboratory since they are indistinguishable from a normal specimen. Known positive, adulterated or substituted, as well as, negative specimens are sent. These blind specimens amount to 1% of the total number of controlled substances tests performed at that laboratory. 55

II-B. PRE-EMPLOYMENT TESTING Subjects covered in Section II-B are: 1. Pre-Employment Alcohol Testing 2. Pre-Employment Drug Testing 3. Non-negative Pre-Employment Drug Test Result 4. When a Pre-Employment Refusal is Not a Refusal-to- Test Pre-Employment alcohol testing is permitted and the standard policies state that you may require it. Pre-Employment drug testing is required. You must have a negative result before allowing a covered employee to perform a safety-sensitive function. A non-negative Pre- Employment result requires that the covered employee complete all return-to-duty requirements. You cannot use that individual for safety-sensitive functions until the return-to-duty requirements are met. If you deny employment because of a non-negative result, you should give the individual a copy of his/her test result. 1. PRE-EMPLOYMENT ALCOHOL TESTING Pre-employment alcohol testing is allowed by regulation. Our standard policies state that employer may require pre-employment alcohol testing as allowed by 49 CFR Part 655.42. A Federal Alcohol Testing Form (ATF) must be used and all DOT testing procedures are to be followed. 2. PRE-EMPLOYMENT DRUG TESTING Pre-employment drug testing is required for all safety-sensitive individuals. You are not to allow a covered employee who you intend to hire or use to perform safety-sensitive functions until you have received a verified negative result from the MRO office. A Federal Drug Testing Custody and Control Form (CCF) must be used and all DOT testing procedures are to be followed. 3. NON-NEGATIVE PRE-EMPLOYMENT DRUG TEST RESULT A non-negative result can be either a positive, a or refusal-to-submit (including refusal due to substitution or adulteration). For an individual to begin safety-sensitive functions, the employer must have a negative preemployment drug test result for the covered employee. [If the individual s preemployment test is cancelled, the individual must have another test performed before beginning safety-sensitive functions.] A non-negative pre-employment result requires all of the return-to-duty procedures that apply to an employee. Under Part 40, an employer may not use an individual for safety-sensitive functions unless the return-to-duty requirements have been met. If an applicant has not complete his/her returnto-duty requirements and you want to hire that individual, you are now responsible for ensuring that the remainder of the return-to-duty process is completed. You are not allowed to send an individual for a second test hoping that the new result would be negative. Using an individual in a safety-sensitive function without having a negative drug test on file is a major violation. Using an individual with a non-negative pre-employment drug test, without documentation of completing the return-to-duty requirements, is also a 56

violation, for you as the employer. IMPORTANT! If you deny employment to any individual for a non-negative pre-employment test, you should give that individual a copy of his/her test result and the required SAP information. Depending upon your state, you may be obligated by law to provide the non-negative test result. If an individual does not go for a Pre-Employment test for a legitimate reason, such as choosing not to take the job, or if the individual leaves the testing site before the test has begun, this is not considered a refusal-tosubmit to a Pre- Employment test. 4. WHEN A PRE-EMPLOYMENT REFUSAL IS NOT A REFUSAL-TO-TEST Pre-employment Refusal defined: There can be a legitimate reason an individual does not to submit to a pre-employment test. The regulations have addressed this issue and defined when the consequences of a refusal do not attach to an individual who does not complete a pre-employment test. There are two situations that do not constitute a refusal for a preemployment test and therefore the return-to-duty process does not have to be completed. They are: If there is a legitimate reason that an individual does not appear for a pre-employment test. A legitimate reason such as, he/she chose to take another job, decided not to leave present employment, etc. If there is a legitimate reason that an individual left a collection site BEFORE the collection began (defined as: when the specimen kit is selected). A legitimate reason such as there was a long wait and he/she had another obligation. For your MIS records, you would need to document any pre-employment tests that were not conducted. 57

II-C. POST-ACCIDENT TESTING FTA Post-Accident testing is to be conducted when: 1. Fatality Test each surviving covered employee who was operating the mass transit vehicle at the time. Test any covered employee whose performance could have contributed to the accident. 2. Nonfatal - If there is bodily injury that requires an individual to immediately receive medical treatment away from the scene, OR any vehicle in the accident is disabled and requires a tow, you are to test each covered employee unless it is decided that his or her performance can be completely discounted as contributing to the accident. Test any other covered employee whose performance could have contributed to the accident. As the employer, it is your responsibility to ensure that testing of each surviving covered employee is completed when required. You should provide your covered employees with the necessary post-accident testing information, procedures and instructions prior to performing safety-sensitive functions, so that they will be able to comply with the requirements. Subjects covered in Section II-C are: 1. Conducting FTA Post-Accident Testing 2. Procedure for the Covered Employee 3. Governmental Authorities Conducting Tests 4. Injured Covered Employee 5. Post-Accident Testing Delays 1. CONDUCTING FTA POST-ACCIDENT TESTING DOT post-accident testing is to be conducted for FTA when the requirements listed below are met. When required, you must start procedures for postaccident testing as soon as practicable. POST-ACCIDENT TESTING QUALIFICATION Fatal accidents - As soon as practicable following an accident involving the loss of human life, an employer shall conduct drug and alcohol tests on each surviving covered employee operating the mass transit vehicle at the time of the accident. Post-accident drug and alcohol testing of the operator is not required under this section if the covered employee is tested under the fatal accident testing requirements of the FMCSA rule 49 CFR Part 382.303(a)(1) or (b)(1). The employer shall also drug and alcohol test any other covered employee whose performance could have contributed to the accident, as determined by the employer using the best information available at the time of the decision. Nonfatal accidents - An individual is to be tested as soon as practicable following an accident when the occurrence involved a bus, electric bus, van, or automobile and there is no human fatality, yet the following criteria has been met: An individual suffered bodily injury and immediately received medical treatment away from the scene of the accident; or One or more vehicles (including non-fta funded vehicles) incurs disabling damage as the result of the occurrence and such vehicle or vehicles are transported away from the scene by a tow truck or other vehicle; or With respect to an occurrence in which the mass transit vehicle involved is a rail car, trolley car, trolley bus, or vessel, the mass transit vehicle is removed from operation. 58

As soon as practicable following such an accident, you are to drug and alcohol test each covered employee operating the mass transit vehicle at the time of the accident unless you, as the employer, determine, using the best information available at the time of the decision, that the covered employee's performance can be completely discounted as a contributing factor to the accident. You shall also drug and alcohol test any other covered employee whose performance could have contributed to the accident, as determined you, as the employer, using the best information available at the time of the decision. Covered employee procedure following an accident: Report the accident to employer. Report the accident as required by Sate/Federal law If law enforcement officials conduct drug or alcohol testing after an accident, you can use these test results, provided you can obtain a copy of them. 2. PROCEDURE FOR THE COVERED EMPLOYEE It is important that your covered employee be trained to follow these steps if they are involved in an accident: Call and report the accident to you, as the employer. Follow internal procedures. Let you know where he/she can be reached. Record the date and time of the accident. Report the accident as required by State or Federal law. 3. GOVERNMENTAL AUTHORITIES CONDUCTING TESTS The results of a blood, urine, or breath test for the use of prohibited drugs or alcohol misuse, conducted by Federal, State, or local officials having independent authority for the test, shall be considered to meet the requirements of this section provided such test conforms to the applicable Federal, State, or local testing requirements, and that the test results are obtained by the employer. Such test results may be used only when the employer is unable to perform a post-accident test within the required period noted in paragraphs (a) and (b) of this section. An injured covered employee should receive needed medical attention. If conscious, testing should be conducted. Specimen should be obtained from catheterized employee, if conscious and stable. 4. INJURED COVERED EMPLOYEE If a covered employee, or any other individual, is injured in an accident, seeking and receiving medical treatment is a priority. If an injured covered employee is conscious and able to give permission, he/she is to submit to post-accident testing. Drug Testing - If an employee is catheterized as part of a medical procedure (following an accident), once the medical condition is stabilized and the employee can give his/her consent (e.g. understand that a DOT collection is required, sign the CCF), a specimen should be obtained. 59

Use Form DA-12 to document a failure to complete testing within the time limits. Alcohol testing: Within two hours If two hours pass, within eight hours Drug testing: Within 32 hours 5. POST-ACCIDENT TESTING DELAYS If a required post-accident alcohol test is not administered within two hours following the accident, you are to prepare and maintain on file a record stating the reasons the alcohol test was not promptly administered. If the required alcohol test is not administered within eight hours following the accident, you shall cease attempts to administer the alcohol test and maintain the record. Submit records to FTA if requested by the Administrator. You are to ensure that a covered employee who is required to be drug tested is tested as soon as practicable but within 32 hours of the accident. A covered employee who is subject to post-accident testing who fails to remain readily available for such testing, including notifying you of his or her location if he or she leaves the scene of the accident prior to submission to such test, may be deemed by you to have refused to submit to testing. As the employer, the decision not to administer a post-accident drug and/or alcohol test shall be based on your determination, using the best available information at the time of the determination that the employee's performance could not have contributed to the accident. Document your decision in detail, including the decision-making process used to reach the decision not to test. Nothing in this section shall be construed to require the delay of necessary medical attention for the injured following an accident or to prohibit a covered employee from leaving the scene of an accident for the period necessary to obtain assistance in responding to the accident or to obtain necessary emergency medical care. The regulations require that you have a workable procedure in place to ensure that post-accident testing can be completed. We have notified you of a medical facility in your area that has the capability of conducting alcohol and drug testing in after-hour emergency situations. If a situation occurs when post-accident testing could not be completed within the allowable time frames, you are to maintain a written record as to why the testing was not completed. If an alcohol test was not performed within two hours after the accident you are to document why and continue to attempt to have the testing done. If after eight hours, you are still unable to complete the alcohol testing, you are to cease any attempt at post-accident alcohol testing and document why it was not administered. For documentation, use: Use Form DA-12, FAILURE TO COMPLETE FEDERAL POST- ACCIDENT OR REASONABLE-SUSPICION CONTROLLED SUBSTANCES AND/OR ALCOHOL TESTING NOTE: If a required post-accident alcohol test is not completed at all, there will be two reports on file stating why the test was not completed (the twohour report and the eight-hour report). You are to cease any attempt to complete post-accident drug testing after 32 hours and document why the drug test was not administered. A written record of post-accident testing that was not completed should be maintained on file, and submitted to the FTA upon request. 60

II-D. REASONABLE-SUSPICION DRUG AND ALCOHOL TESTING Reasonable-Suspicion testing should be conducted if a trained supervisor identifies an individual who meets the testing criteria. Refer to Form DA-5A before conducting testing. Subjects covered in Section II-D are: 1. Reasonable-Suspicion Training for Supervisors 2. Elements of Reasonable-Suspicion Testing 3. Documentation of Reasonable-Suspicion Tests 4. Alcohol Testing During the Hours of Compliance 5. Removal From Duty 6. Special Steps in Reasonable-Suspicion Testing 7. Reasonable-Suspicion Testing Delays DOT Regulations require that you attempt a reasonable-suspicion drug and/or alcohol test if at least one supervisor who has completed the mandatory two hours of Supervisor Reasonable-Suspicion Training (one hour for alcohol and one hour for drugs), has identified a situation that meets the criteria for a reasonable-suspicion test. That supervisor must have evidence of that training on file (Form DA-5, Supervisor Reasonablesuspicion Training Certificate). IMPORTANT! This determination for a reasonable-suspicion test must be based on specific, contemporaneous, articulable observations concerning the performance, appearance, speech, or body odors of the safety sensitive Individual. "Impairment" should be thought of as a continuous scale, not as: "Is impaired, or "Is not impaired. If an individual is exhibiting signs of impairment you should not second-guess the degree to which you feel he/she is impaired. You should have the individual tested. An employee should not be accused of being under the influence of drugs or alcohol. Instead, the employee should only be told that he or she has shown certain behavior and signs that lead you (the supervisor) to be concerned about his/her safety and that a drug and/or alcohol test is required. Keep in mind, it is possible that the individual whom you have decided requires a drug and/or alcohol test may have a negative test result. Only deal with whether he/she is "fit for duty. IMPORTANT! It is best if you refer to Form DA-5A REASONABLE- SUSPICION TESTING CHECKLIST before conducting any Reasonable Suspicion Tests. 1. REASONABLE-SUSPICION TRAINING FOR SUPERVISORS The most important controlled substances or alcohol testing is for reasonable-suspicion. If you have an individual who is visibly impaired, you have an accident waiting to happen. You also may have an individual with a serious on-the-job problem. 61

It is important that each individual, who is in a position to supervise covered employees, receives reasonablesuspicion training. To avoid errors in testing, it is important that you have certain elements in place, the most important of which is issuing your DOT policy, and training all Supervisors. Provide all Supervisors with the checklist, Form DA-5A. IMPORTANT! All supervisors of covered employees are required to complete Reasonable-Suspicion Training for controlled substances and alcohol (one hour for alcohol and one hour for controlled substances). We offer three options for this training: Use our self-study program that combines a video and written materials. It will take a minimum of two hours to complete this training. You will need to use this self-guided program for new supervisors as well as for re-training. Request On-Site training. We have instructors available to provide training at your facility. Attend one of our Reasonable-Suspicion training seminars. After training, each supervisor needs to complete Form DA-5, SUPERVISOR REASONABLE-SUSPICION TRAINING CERTIFICATE. You only have to do this training once, but we strongly recommend that you repeat it periodically. 2. ELEMENTS OF REASONABLE-SUSPICION TESTING IMPORTANT! Due to the importance and sensitive nature of reasonablesuspicion testing and an unfortunately high percentage of improperly conducted tests, it is very important that you have all of the following elements in place prior to actually performing a reasonable-suspicion test. You need to: Issue your DOT Policy If you plan to conduct reasonable-suspicion testing per your own independent authority when a situation does not meet the stringent DOT criteria, you will need to have issued a General or Safety- Sensitive Policy. Call Foley for more information about Drug Free Workplace (DFW) Programs that would afford you that flexibility if your state laws and/or regulations allow such testing. Have all Supervisors who could be in a position to make a reasonablesuspicion test determination complete Reasonable-Suspicion Training. Be sure not to involve individuals in the reasonable-suspicion determination who are not trained supervisors. Verify the collection sites location, testing capabilities, and hours of availability. Have the proper custody and control forms (CCFs) readily available for drug testing - when performing a DOT required reasonable-suspicion test use a Federal CCF. IMPORTANT! Provide all supervisors who are trained to make a reasonablesuspicion determination with Form DA-5A REASONABLE-SUSPICION TESTING CHECKLIST to prevent testing procedure errors. 62

You are required to keep documentation regarding Reasonable-Suspicion tests. Have the supervisor complete Form DA-6 within 24 hours of the determination, or before a result is received, whichever is first. Alcohol testing should only be conducted if the observations were made just before, during, or just after an individual is performing safetysensitive functions, or is immediately available to perform them. Alcohol testing: Individual should be removed from duty until a test result of 0.02, or the start of the next regular duty period not less than 8 hours after the test. Drug testing: Regulations do not clearly state Foley recommends that you do not return the individual to duty until receiving a verified negative test result. 3. DOCUMENTATION OF REASONABLE-SUSPICION TESTS IMPORTANT! If a supervisor identifies an individual who should be considered for a reasonable-suspicion test, the supervisor must complete Form DA-6, Reasonable-suspicion Recording Form, within 24 hours of the observed behavior or before a drug and/or alcohol test result is returned, whichever is first. If you can't determine the substance (drugs or alcohol) you want the individual tested for, you can have both an alcohol and a drug test performed. For example, slurred words and staggering, but no odor of alcohol would result in only a drug test, or both tests if you choose. After completing Form DA-6, retain it in the Covered Employee s CONFIDENTIAL DRUG AND ALCOHOL TESTING FILE (secure area with controlled access). Written documentation is required for all reasonable-suspicion testing, whether it is for drugs, alcohol, or both. Document the facts; don't diagnose problems. For example, "staggering" is an observable fact, but "drunk" is a diagnosis. 4. ALCOHOL TESTING DURING THE HOURS OF COMPLIANCE There is an important consideration regarding reasonable-suspicion alcohol tests that must be taken into account. The regulations require reasonable-suspicion alcohol testing only when the observations were made just preceding, during, or just after the work period in which the safety sensitive Individual is performing a safety sensitive function (driving), OR Is at that time immediately available to perform those activities. 5. REMOVAL FROM DUTY If, through the supervisor's independent observation, the Individual appears to be subject to reasonable-suspicion testing, the supervisor shall remove him/her from safety-sensitive duties until an alcohol and/or drug test is conducted. ALCOHOL TESTING No employer shall permit a covered employee tested under the provisions of subpart E of this part who is found to have an alcohol concentration of 0.02 or greater but less than 0.04 to perform or continue to perform safetysensitive functions, until: The employee's alcohol concentration measures less than 0.02; OR The start of the employee's next regularly scheduled duty period, but not less than eight hours following administration of the test. An alcohol test result that is 0.04AC or greater is a violation of the prohibitions. The individual needs to be removed from duty and you would implement your policy regarding a violation of the prohibitions (termination, or return-to-duty process). 63

IMPORTANT! With respect to alcohol use, no action, other than removal from safety sensitive functions (as previously discussed) shall be taken against the covered employee based solely on behavior and appearance in the absence of an alcohol test result. This does not prohibit an employer with authority independent of this part from taking any action otherwise consistent with law. DRUG TESTING The regulations do not clearly indicate when you shall return an individual who has had a reasonable-suspicion drug test to safety-sensitive functions. We advise that you wait until you receive the verified drug test result from the MRO. REFUSAL In cases where the individual refuses a reasonable-suspicion test, this is a violation of the prohibitions, with all consequences previously discussed. Either a supervisor or family member should transport the individual home. Act on your best judgment if you feel medical attention is needed. The same time limits apply for Reasonable- Suspicion testing as for Post-Accident testing. Use Form DA-12 to document any testing delays. 6. SPECIAL STEPS IN REASONABLE-SUSPICION TESTING You should take reasonable measures to ensure the safety of the public and the individual by transporting the individual to the collection facility and requiring that either a supervisor or family member transport the individual home. If the individual insists upon driving on his/her own, you should consider taking steps to terminate that individual on the spot and notify the proper authorities. If you, or management, feel that emergency medical service is required, you should act on your best judgment. 7. REASONABLE-SUSPICION TESTING DELAYS If a required DOT reasonable-suspicion alcohol test is not administered within two hours following the determination of need by an approved process, you are to prepare and maintain on file a record stating the reasons why the test was not promptly administered. Use Form DA-12, Failure to Complete Post-Accident or Reasonable-Suspicion Controlled substances and/or Alcohol Tests. If after eight hours, the alcohol test is not administered, all attempts to administer the test shall cease. A statement for the record shall be made and kept on file as to the reasons for the failure to administer the test. If a determination was made to conduct a reasonable-suspicion drug test and it was not conducted within 32 hours, you are to document the reason why and cease all attempts to have the testing completed. For more information on the necessary documentation, refer to Post- Accident Collection Delays in the previous section. 64

II-E. RANDOM TESTING Names of individuals and testing dates shall be unpredictable and reasonably spread throughout the year. Each individual in the pool has an equal chance of being selected at each draw, regardless of prior selections. Individuals should be sent for testing close to the Foley Notification Date. After notification, an individual is to proceed immediately to the collection site. Use Form DA-11 to track notification time vs. time of collection. If you have a problem with the timing, call the collection site. Subjects covered in Section II-E are: 1. Notification of Random Selections 2. Alternate Selections Not Allowed 3. Unfulfilled Random Selections The names of individuals selected for random testing, as well as the testing dates, are to be unpredictable and reasonably spread throughout the year. Regulations require that at each draw, each individual in a random selection pool has an equal chance of being selected for testing. Once an employee's name is selected randomly, his/her name is returned to the pool for possible future selection. As a practical matter relating to random selections, certain individuals will be selected multiple times and others very infrequently, if at all, over a period of years. Foley s random selection process is computer generated, without bias to individuals (or companies, if in a consortium pool) within the random selection pool. EXCEPTION: If you use, but do not employ, a covered employee more than once a year you must obtain the information requested in 49 CFR Part 655.72(c) at least once every six months. This information provides you with the verification that you need ensuring that the covered employee(s) in question are part of a compliant program. This rule applies to preemployment testing, but we have included it here as a reminder to do this verification if you are using a covered employee who is not in your random testing program. 1. NOTIFICATION OF RANDOM SELECTIONS You, as the DAPM/DER, may delay notification of an individual selected for random testing only for a short period of time. This means you may wait a day or two after the Foley Notification Date, but you should not delay it any further without cause (individual on vacation or out sick). This is to avoid the problem of "quasi-reasonable-suspicion" where the DAPM/DER delays the random test until he/she feels there is a good chance of catching the individual. Random tests are to be completed within the selection period in which they were chosen. IMPORTANT! Once you have notified the selected individual, he/she is to proceed immediately to the collection site. You should indicate the notification time on Form DA-11, CONTROLLED SUBSTANCES AND/OR ALCOHOL TEST COLLECTION TRACKING FORM and compare it with the collection/test time on the controlled substances and/or alcohol test form to verify that the individual proceeded as directed. Please be aware that the time noted on the form is not necessarily the time the individual arrived at the medical facility. It may denote the time the collection/testing process started. If you have a problem with the timing of the collection, call the collection site immediately for verification. If you, as the DAPM/DER are subject to random selection, we suggest that you have a secondary DAPM/DER to whom we can send the notification if you are randomly selected. 65

You are to test the individual who receives a random selection, not have another individual take his/her place. Reminder of Random Selections letters are sent if we do not have a result on file for a random selection. This could be for a number of reasons. If you have the result, make a copy and mail it to Foley. If the individual did not go for testing due to an extended leave, etc., call us. 2. ALTERNATE SELECTIONS NOT ALLOWED The DOT has clarified their position on using alternate random selections. The intent is that the individual who is randomly selected is the individual who ultimately gets tested. You are not to simply test another covered employee because the selected individual is not readily available for testing. You have the entire selection period within which to have the selected covered employee tested. If you have an individual who will not be returning to work before the end of the selection period, notify Foley s Random Administrators. 3. UNFULFILLED RANDOM SELECTIONS When we have not received the test results for an individual who was selected for random testing, we will send you a Reminder of Random Selections. This mailing usually goes out the second week of the last month of a quarter. (e.g., an August 8th random selection that remains unfulfilled will receive a reminder notice around September 12th.) This does not mean the individual did not go for testing. It only means that we do not have the test result(s) on file. This can happen for a variety of reasons, such as: A drug test was not performed using one of our custody and control forms (CCFs), therefore the test went through a different MRO, The BAT did not report the alcohol test result to us, as requested The identification number (social security number or employee ID) did not match the number that we have on file for the individual, etc. Should you receive this type of notice and have the result(s) on file for the individual and date indicated, please make a copy of the results and mail to: Foley Carrier Services P.O. Box 636 Glastonbury, CT 06033 or fax them to our Confidential Fax: (860) 659-6253 We will then document the results and thus "fulfill" the random selection. For semi-annual and year-end reporting requirements, it is important that we have all completed tests documented for you. If the individual was not sent for testing due to an extended leave, seasonal layoff, etc. call us so that we can update our program records to reflect this information. In the future, please call us upon receiving the notification for an individual who is no longer in your employ, or out on extended leave, etc., and we will document the selection appropriately. If the individual did not go due to this type of unavailability, but is available now, please send him/her for testing. If the selection period has expired, do not send the individual for testing. You will receive a substitute selection for this lapsed random selection in the next selection period. Testing not completed in Q4 can result in noncompliance for the calendar year. 66

II-F. RETURN-TO-DUTY TESTING Following a violation, a negative Return-to-Duty test is required before an individual can return to safety-sensitive function. If you do not terminate the individual, you will be billed for any test fees and must collect any fees from the individual, depending on your policy. Following a violation of the prohibitions, if you do not otherwise terminate an individual, a negative drug and/or alcohol return-to-duty test result is required before you can use an individual in a safety-sensitive capacity. All urine specimen collections for Return-to-Duty tests must be directly observed. This test cannot be conducted until the requirements that precede the return-to-duty test have been completed. Refer to Section I-H. RETURN-TO-DUTY PROCESS IMPORTANT! The financial responsibility for the return-to-duty test(s) is outlined in the Policy, Section X: EMPLOYER S INDEPENDENTLY AUTHORIZED FINANCIAL RESPONSIBILITIES. If you allow your employees to go through the return-to-duty process we will invoice you, as the employer, and you are responsible for collecting any test fees from the individual. The SAP fees will be payable as agreed when the arrangements are made. 67

II-G. FOLLOW-UP TESTING A minimum of six Follow- Up tests within the first year after returning to duty is required. The Follow-Up testing plan can last up to five years. The individual remains subject to Random testing even though he/she is subject to follow-up testing. The regulations require six follow-up tests within the first 12 months after returning to duty for those individuals who violated the prohibitions and complied with the SAP recommendations, had a negative return-to-duty test and were returned to safety-sensitive functions. All urine specimen collections for Follow-Up tests must be directly observed. The individual in a follow-up testing plan, who has returned to safetysensitive functions, will remain subject to random selections at the same time. After the minimum of six tests is completed with negative test results, the SAP is permitted to remove the individual from the follow-up testing program, although this is rarely done. The individual must be removed after 60 months from returning to duty. 68

II-H. COLLECTION SITE(S) Foley will designate the medical facilities that you can use. You have been assigned one or more collection sites for: Urine specimen collections Breath alcohol testing After-hours service for emergency postaccident or reasonable-suspicion testing Refer to your Designated Medical Facilities letter. If you have an after-hours emergency and cannot utilize your after-hours site for any reason, call Foley at 1-800-253-5506. This section discusses your assigned collection sites and reviews how to determine the services, hours, and forms used at a particular site. Subjects covered in Section II-H are: 1. Designated Medical Facilities 2. Services Offered at Each Medical Facility 1. DESIGNATED MEDICAL FACILITIES Foley has provided you with a listing of Designated Medical Facilities. This collection site listing represents medical facilities in your area that have agreed to do specimen collections for clients of Foley. Should you require additional facilities at which to have your testing conducted, please contact Foley s Collection Site Administrators. 2. SERVICES OFFERED AT EACH MEDICAL FACILITY The Designated Medical Facilities letter provides the pertinent information about the collection site(s) that you have been assigned. These sites perform some or all of the following services: Urine specimen collection for a drug test (Hours are listed) Breath alcohol testing (Only performs alcohol testing if hours are listed or it states Same. ) Emergency collection for drug as well as breath alcohol testing for post-accident testing and reasonable-suspicion testing that occurs after regular business hours. (Will state Yes next to After Hours Emergency Coverage.) On-site collections may require additional fee Please read the Designated Medical Facilities letter to become acquainted with the services offered at each collection site. You will notice that not all sites perform the same functions. Should you have an after-hours emergency and it is outside your assigned collection site area OR if you cannot obtain assistance from your after-hours collection resource, call: Foley at 1-800-253-5506. Explain to the answering service that you have an emergency and they will take the appropriate information and contact our on-call personnel. It may be useful for your covered employees to keep the forms used for drug testing in their vehicles at all times, in the event that a test needs to be conducted while a covered employee is on the road, as in a post-accident test after hours. Foley offers a CabPak, which is a sturdy, water-resistant envelope containing laboratory testing forms (CCFs) for a covered employee to use to have testing completed when you are unable to hand him/her a CCF when sending an individual for testing. 69

II-I. SENDING AN INDIVIDUAL FOR TESTING Call the site to schedule an appointment. Inform them you are with Foley. If a direct observation collection is needed, inform the site when calling. This section provides detailed guidance for sending an individual for testing. Subjects covered in Section II-I are: 1. Schedule an Appointment 2. Documentation 3. What the Donor Needs to Bring For Testing 4. What the Donor Needs to Know To ensure that collections are done in a timely manner, it is always best to follow the protocol outlined below. If you experience any problems with a collection site, please call Foley s Collection Site Administrators for assistance. 1. SCHEDULE AN APPOINTMENT Call your collection site to schedule an appointment for: The DOT (federal) drug screen collection OR The DOT drug screen collection and a DOT breath alcohol test. Inform the collection site personnel that you are with Foley so they will know to bill us for the drug screen collection and breath alcohol test. We realize that some walk-in facilities will not make appointments. There is nothing you can do in that situation. However, the regulations require that a collector notify the DER if an individual did not arrive at the collection site in a timely manner for a scheduled appointment. Therefore, it is to your advantage to have scheduled an appointment for your covered employee. Direct Observation: If you need to schedule a test to be conducted under direct observation (for a follow-up, return-to-duty test, or if the MRO has requested it because of an invalid or negative-dilute test result), you must tell the scheduling person at the collection site of this requirement. Direct observation collections require a same gender collector or observer and the facility may need to make special arrangements for that specific collection. When an observer of the same gender is not available at the collection site, the collector or collection site supervisor may ask you to send an individual who is the same gender as the employee to act as an observer. An employer-provided observer should not be a co-worker or supervisor who works closely with the employee. Try to find a supervisor who doesn t work with the employee on a daily basis to send to the collection site to observe the urine collection. 2. DOCUMENTATION 70

You may wish to document pertinent information. Use: Form DA-11 Form DA-11A Form DA-10 The donor should bring: A Federal CCF A notification and authorization form (Random or Form DA-13) A photo ID Directions to the site The donor should have an understanding of his/her collection responsibilities (outlined in Educational Materials) and the consequences for a Shy Bladder or Shy Lung. You may wish to document pertinent information for the scheduling and notification of the collection. To help with this documentation we provide the following in the FORMS section of this manual: FORM DA-11, REPORTED RESULTS LOG and/or FORM DA-11A, CONTROLLED SUBSTANCES AND/OR ALCOHOL TEST COLLECTION TRACKING FORM FORM DA-10, ALCOHOL TEST APPLICABILITY 3. WHAT THE DONOR NEEDS TO BRING FOR TESTING Providing the donor with the proper forms and authorizations will help the collection/testing procedure go smoothly. The authorization form is important in the event that there is a problem with the collection procedure and the collector needs to contact you. Be sure that the donor has the following items before going to the site: For a drug test he/she must bring a CCF, the multi-page laboratory form that says Federal Drug Testing Custody and Control Form at the top. (It has a blue FOLEY label or stamp to indicate that it is a current version of the DOT form.) For a random test, the RANDOM TEST NOTIFICATION AND AUTHORIZATION will be included with your notification. For all other types of tests, use FORM DA-13, FEDERAL TEST NOTIFICATION AND AUTHORIZATION. A picture ID, such as a covered employee's license Directions to the collection site 4. WHAT THE DONOR NEEDS TO KNOW Before sending an individual for testing, it is important that he/she have an understanding of the following: Collection responsibilities of the covered employee as described in the Educational Materials section of the Policy. This includes the need for the donor to cooperate with the collection process and the consequences for submitting a substituted or adulterated specimen. The consequences of not providing a sufficient quantity of urine or breath within the allowed time frames. See Section II.J SHY BLADDER and SHY LUNG as well as the Educational Materials section of the policy. 71

II-J. COLLECTION PROCEDURE Procedures allow for individual privacy. The collector has been trained and will follow DOT procedures. As part of these, your covered employee will be asked to: Show a photo ID Remove unnecessary outer garments Empty his/her pockets Wash his/her hands Initial the specimen bottles seals Sign the CCF to certify the specimen was provided by him/her, etc. This section provides more detailed information regarding the actual drug screen collection procedure and the breath alcohol testing procedure. Subjects covered in Section II-J are: 1. Privacy 2. Routine Collections - Drug 3. Monitored Collection Drug 4. Directly Observed Collection - Drug 5. Reporting Procedures 6. Shy Bladder 7. Testing of the Split Specimen 8. Routine Collections - Alcohol 9. Shy Lung FTA regulations allow only urine specimens for drug testing. These collections are conducted using the split-specimen procedure that is explained in the policy we provide. There are additional safeguards in place throughout the collection and testing process to help ensure the validity of the entire procedure for drug and alcohol testing. 1. PRIVACY The DOT Procedures for collecting urine specimens shall allow an individual visual privacy unless there is a reason for the collector to conduct a specimen collection under direct observation. Please read the section DIRECT OBSERVATION. Since an alcohol test result is printed immediately as a part of the collection process, the individual is to be afforded both visual and aural privacy. 2. ROUTINE COLLECTIONS - DRUG Following is the procedure for a routine specimen collection. Your covered employee will be asked to: Show his/her photo ID Remove any unnecessary outer garments such as a jacket or hat. Leave personal belongings (purse, briefcase, etc.) with outer garments (he/she may request a receipt). Covered Employee may keep his/her wallet. Empty his/her pockets and display the items in them for the collector. Once the collector has inspected the items, the covered employee may return them to his/her pockets unless there is anything that could be used as an adulterant, such as eye drops. The collector may retain that item with the other belongings until the collection is completed. If the covered employee has anything that appears to have been brought for the purpose of tampering with the specimen, a directly observed collection will be conducted (See Subject 4. DIRECTLY OBSERVED COLLECTION). 72

Not to attempt to adulterate or substitute a specimen. Wash and dry his/her hands immediately prior to providing a specimen, when requested by the collector. After washing his/her hands, remain in the presence of the collector. The covered employee shall not have access to any water fountain, faucet, soap dispenser, cleaning agent, etc. Either the covered employee or the collector will select a collection kit. Either the covered employee or the collector will unwrap the collection container. The covered employee will be allowed privacy while providing his/her specimen (unless subject to a directly observed collection). Provide a urine specimen as directed. Provide at least 45mL of urine into the collection container. Do not flush the toilet until requested to do so by the collector. The collector will check the volume of the specimen, the temperature of the specimen, and check for other signs of tampering, such as foreign objects, unusual odor or color. Observe the collector pour the urine into two specimen bottles. A minimum of 30mL will be poured into the primary specimen bottle and a minimum of 15mL into the second bottle (to be used as the split specimen). The bottles will then be sealed. Excess urine can be used to conduct clinical tests (e.g., protein, glucose) if the collection was conducted in conjunction with a physical examination required by a DOT agency regulation. No further testing can be performed on the excess urine and it cannot be turned over to the donor. When so directed by the collector, initial the bottle seals and sign the custody and control form (CCF). If an adequate amount of urine is not initially provided (less than 45mL), the collector will discard the original specimen and offer fluids (not to exceed 40oz) that are reasonably distributed over a period of time not to exceed three hours. If, after three hours, the covered employee is still unable to provide an adequate specimen, the collector will contact you, and a medical evaluation must be conducted by a physician to determine if there is a medical explanation for the failure. (See Subject 6. SHY BLADDER) 73

A monitored collection may be conducted in a multi-stall bathroom. 3. MONITORED COLLECTION - DRUG In certain situations, a collection may be conducted as a monitored collection, where a medical professional or same-gender individual stands outside the stall while the covered employee provides a specimen inside the stall. This occurs in the case of a multi-stall bathroom where it is not feasible for the collector to completely secure the bathroom. 4. DIRECTLY OBSERVED COLLECTION - DRUG In specific situations, DOT regulation will require that an individual submit to a urine collection under direct observation by a same-gender observer. In specific situations, it may be required or permitted that a collection be directly observed. This is when a same-gender person watches the donor urinate into the collection container. If the laboratory reported to the MRO that an employee s drug test result was invalid and the MRO reported to you that there was not an adequate medical explanation for the result, the individual must be sent for another collection as soon as possible and it is to be conducted under Direct Observation. If the laboratory reported to the MRO that an employee s drug test result was Negative Dilute with the creatinine level between 2.0 and 5.0mg and the MRO reported to you that it was Negative-Dilute with an immediate recollection required under Direct Observation. If, at the time of the collection, the collector notices any irregularities in a donor s conduct, or the actual specimen, that gives him/her reason to believe that it could have been tampered with, such as: Donor brought materials into the collection site that clearly indicate an attempt to tamper with the specimen The specimen has bluing in it The temperature is not within range There is visible sediment in the specimen If the collector learns that a direct observation collection should have been performed and was not, the collector will inform you to have the employee return for an immediate recollection under direct observation. If an employee had an original positive, adulterated, or substituted test result and the result had to be cancelled because the split-specimen was unavailable for testing, or in the case of a positive result, testing of the split specimen resulted in an invalid result, the MRO will direct you to send the employee for an observed collection. If the test is a return-to-duty or follow-up drug test, the urine specimen must be collected under direct observation. Direct Observation Collection Procedures The individual who conducts the observation must be the same gender as the donor. The collector may use an individual who is the same gender as the donor to observe the urine collection. The collector will conduct all other 74

parts of the collection. A directly observed collection virtually eliminates any attempt to adulterate a specimen. The donor is required to lower his/her pants and underpants to mid-thigh, and raise his/her shirt/blouse/skirt to the navel, as appropriate, and turn completely around so that the collector can ensure that the donor does not have a prosthetic device that could be used to cheat on the drug test. The donor will then be permitted to return his/her clothing to the proper position and proceed with the observed urination. Per regulation, the observer needs to specifically watch the urine go from the donor s body into the collection container. If the observer is not the collector, remember that the donor must give the collection cup to the collector and NOT to the observer. You will be notified by phone of all positives or refusals-to-test due to adulteration/substitution. Except for Random tests, negative results will be transmitted by phone. MRO will report dilute negatives. Depending on your policy, you can have a second collection conducted. The BAT will report alcohol results over 0.02. An individual unable to provide at least 45mL of urine will have up to three hours to consume up to 40 oz. of fluid. If the individual is still unable to provide sufficient urine, he/she must obtain a doctor s evaluation to determine if there is a valid medical reason. 5. REPORTING PROCEDURES You will be advised by phone of all verified non-negative drug test results (includes positives, refusals to submit due to adulteration or substitution, as well as situations when an employee is required to undergo an immediate recollection under direct observation. You will also be immediately advised of all verified negative pre-employment, post-accident, reasonablesuspicion, return-to-duty, or follow-up tests. Negative random drug test results will not be communicated by phone. The MRO Verification Statement of the drug test will be mailed within two days of the MRO s review. The MRO shall report to the employer the laboratory findings of a dilute specimen when the specific gravity is over 1.001 and the creatinine level is below 20 mg but over 5.0 mg/dl. Having a second collection conducted following a negative-dilute drug test result is discussed in the Employer Authorized Consequences and Requirements section of your policy, if you selected the Foley Recommended Policy or the First Termination Policy and did not modify that section. Alcohol test results are not subject to MRO review. The BAT will notify you by telephone as soon as possible if an individual had an alcohol test result of 0.02AC or greater. The actual alcohol test result will be mailed to you. It is the responsibility of the employer (DAPM/DER) to review and audit the alcohol test result. 6. SHY BLADDER If an individual fails to provide an adequate amount of urine for a specimen collection, he/she will be allowed up to three hours to provide the required amount. During that period the donor will be urged to consume up to 40 ounces of fluid. The donor will be allowed to make additional attempts during the three-hour period. It is best that the donor allow some time between his/her last provision and the next attempt, to allow the bladder to fill. However, if the individual is unable to provide a sufficient specimen and the three hour wait time has lapsed, the collector will note that fact in the Remarks section on the custody and control form (CCF) and allow the donor to leave the testing site. The collector shall distribute the MRO and employer copies as 75

After a verified nonnegative drug test result, an individual can choose to have the split specimen tested at a different HHScertified testing laboratory. The request must be made to Foley within 72 hours. Use Form DA-14 to document whether or not an individual chose to have this test conducted. Any detectable presence of a drug will re-confirm an original positive result. If the split specimen test does not a re-confirm the original result, the test will be canceled. needed. The collector shall notify you of the failure to provide an adequate specimen. You, as the DAPM/DER, shall direct the individual to obtain, within five days after the attempted provision of urine, an evaluation from a licensed physician who is acceptable to the employer. The physician shall determine whether the individual has, or with a high degree of probability, could have a medical condition that could have precluded him/her from providing the adequate amount of urine. A medical condition includes an ascertainable physiological condition (e.g., a urinary system dysfunction) or a documented pre-existing psychological disorder. It does not include unsupported assertions of "situational anxiety" or dehydration. The physician will provide the MRO with a written statement of his/her conclusion of the evaluation. The MRO shall notify the company in writing of his/her determination as to whether the individual's inability to provide a specimen was genuine or constitutes a "refusal-to-submit. If there is a valid medical reason why the individual was unable to provide a specimen, the MRO will cancel the test. No further action is needed unless a negative result is required, such as for a pre-employment or follow-up test. IMPORTANT! Evaluation by a physician regarding a "shy bladder" will not postpone removing the individual from safety sensitive duties. See WHAT TO DO IF AN INDIVIDUAL VIOLATES THE PROHIBITIONS in Section I-G. 7. TESTING OF THE SPLIT SPECIMEN All urine samples will be collected utilizing the split sample method. If a covered employee has a verified non-negative (that is, positive, adulterated or substituted) controlled substances test result after MRO review, the covered employee will have the option to have the split specimen tested at another HHS certified laboratory. The covered employee cannot select the new testing laboratory; the MRO will make that selection. The MRO shall notify the covered employee that he/she has 72 hours within which to request the split specimen testing. Whether or not the individual chooses to have the split specimen tested, you should have the individual document his/her decision on Form DA-14 SUBSTANCE TEST INFORMATION. If the covered employee chooses to have the split specimen test conducted, he/she must verbally notify Foley of the request for the test and send the MRO written notification via certified mail (return receipt requested), or fax to the confidential fax listed below. If faxing, it is the covered employee's responsibility to call and verify that the fax was received. The written request should be sent to: Confidential fax: Foley Carrier Services P.O. Box 636 Glastonbury, CT 06033 (860) 659-6253 76

Telephone to verify receipt of fax: (860) 633-2660 ext. 210 The covered employee must send a copy of the request to the Employer's DAPM/DER. If covered employee did not request the split specimen test within the time requirement, the applicable DOT regulations add a difficult element regarding this right to have the split specimen tested. Per 49 CFR Part 40.33 (g), if a covered employee did not request a split portion test within the 72 hour requirement, he/she may present to the MRO information documenting that serious illness, injury, inability to contact the MRO, lack of actual notice of the verified test result, or other unavoidable circumstances prevented the employee from contacting the MRO in a timely fashion. If this information is acceptable to the MRO, he/she shall direct the analysis of the split specimen. Although the thresholds for the presence of a prohibited substance will be as mandated by the DOT, presently, the threshold for a re-confirmation of the original result is at any detectable presence. If the split specimen test does not re-confirm the non-negative for any reason (e.g. the specimen is lost, spoiled, drug metabolites were not detected, etc.), the test will be canceled. EMPLOYER MUST HONOR REQUEST The Foley Recommended Policy and the First Termination Policy state under the Employer Authorized Financial Responsibilities Sections that the covered employee is responsible for the cost of the split specimen testing. However, an employer is to ensure that any request for the split specimen test is honored and completed, independent of payment and collection options. This is a regulatory requirement. Note: You could be making a decision to terminate a driver s employment prior to the driver having the split specimen test completed. It is our recommendation that you place an individual on unpaid leave if he/she requests the testing of the split specimen. This allows time for the testing to be completed and if there should be a problem that causes the test to be cancelled, you will not need to reinstate an individual who may have been terminated. 8. ROUTINE COLLECTIONS - ALCOHOL The Breath Alcohol Technician (BAT) must prevent unauthorized personnel from entering the testing site. DERs, employee representatives authorized by the employer (e.g., on the basis of employer policy or labor-management agreement), and DOT agency representatives are allowed to be present during the testing. Any person who obstructs, interferes with, or causes unnecessary delay in the testing process will be removed form the testing site. The BAT, or collection site personnel will notify you if an individual did not appear for a scheduled appointment. Depending upon when you notified the individual to go for testing, he/she could be in a refusal to test situation. Alcohol testing will be conducted first if both drug and alcohol testing are 77

required. The BAT will not delay the alcohol testing, even if an authorized employer or employee representative is delayed in arriving. COLLECTION PROCEDURE The BAT will require the employee to provide positive identification. It must be a photo ID issued by the employer or a Federal, state, or local government (e.g., a covered employee s license). Positive identification by an employer representative (not a co-worker or another employee being tested) is also acceptable. The BAT will explain the testing procedure to the employee. The employee will be directed to complete Step 2 on the ATF and sign the certification. If the employee refuses to sign this certification, the BAT will document the refusal on the Remarks line of the ATF and immediately notify you. This is a refusal to test. The BAT or employee will select an individually wrapped or sealed mouthpiece from the testing materials. The mouthpiece will be unwrapped in view of the employee and inserted into the device in accordance with the manufacturer's instructions. The covered employee will be instructed to blow steadily and forcefully into the mouthpiece for at least six seconds or until the device indicates that an adequate amount of breath has been obtained. The BAT will show the employee the displayed test result. If the result is less than 0.02 AC, the BAT will transmit the result to you in a confidential manner. CONFIRMATION TEST If the test result is an alcohol concentration of 0.02 or higher the employee will be directed to take a confirmation test. The BAT will advise the employee not to eat, drink, put anything (e.g., cigarette, chewing gum) into his or her mouth, or belch during the waiting period. The waiting period is required to prevent an accumulation of mouth alcohol from leading to an artificially high reading this is to the employee's benefit. The waiting period will be at least 15 minutes, starting with the completion of the screening test. After the waiting period has elapsed, the confirmation test will begin as soon as possible, but not more than 30 minutes after the completion of the screening test. The confirmation test will be conducted at the end of the waiting period, even if the instructions were not followed. The BAT will note on the Remarks line that the waiting period instructions were provided. In the presence of the employee, the BAT will conduct an air blank on the EBT being used before beginning the confirmation test. The employee will be shown the reading to ensure that it reads 0.00. A new individually wrapped or sealed mouthpiece will be opened in view of the employee and inserted into the device. 78

If, after several attempts, an individual is unable to provide enough breath for a breath alcohol test, he/she must obtain a doctor s evaluation to determine if there was a valid medical reason for this failure. If there was no medical reason, this is considered a refusal to test. The employee will be shown the unique test number displayed on the EBT. Once again, the employee will be instructed to blow steadily and forcefully into the mouthpiece for at least six seconds or until the device indicates that an adequate amount of breath has been obtained. The employee shall be shown the result displayed on the EBT. The employee shall be shown the result and unique test number that the EBT printed out either directly onto the ATF or onto a separate printout. The employee shall be given a copy of the result. If the confirmation result is over 0.02 AC, the BAT will notify the DER who is identified on the Federal Notification and Authorization Form. If the result is over 0.02 AC, but less than 0.04 AC, the covered employee will be removed from driving duty for one shift, not less than 24 hours. If the result is over 0.04 AC, the individual has a positive test result and that means he/she has violated the prohibitions. Refer to Section IX of you policy for the consequences associated with the violation. 9. SHY LUNG If, after several attempts an individual fails to provide an adequate amount of breath for testing, the BAT will discontinue testing and tell the donor that he/she (the BAT) is noting the fact in the Remarks section of the Alcohol Test Form (ATF). The BAT will then notify you, as the DAPM/DER, that the individual was unable to provide an adequate amount of breath for the test. Upon notification of this event, you shall direct the individual to obtain, within five days after the attempted provision of breath, an evaluation from a licensed physician who is acceptable to you, as the employer, concerning the employee's medical ability to provide an adequate amount of breath. If the physician determines that the individual has, or with a high degree of probability, could have a medical condition that could have precluded him/her from providing the adequate amount of breath, the employee's failure to provide an adequate amount of breath would not be considered a refusal-to-submit. The test will be canceled. If the physician determines that there was not a reasonable medical reason for the employee's failure to provide an adequate amount of breath, it shall be deemed a refusal-to-submit. The physician shall provide you with a written statement of the basis for his/her conclusion. It is your responsibility as the DAPM/DER to ensure that the evaluation is conducted and that the written statement from the physician is received. You, as the DAPM/DER, must decide whether to accept the physician s conclusion as a reason for the failure to provide an adequate amount of breath. The final determination of a refusal-to-submit for alcohol testing is at the discretion of the employer IMPORTANT! Evaluation by a physician regarding a "shy lung" will not postpone removing the individual from safety sensitive duties. See WHAT TO DO IF AN INDIVIDUAL VIOLATES THE PROHIBITIONS in Section I-G. 79

II-K. REFUSAL-TO-SUBMIT Under the DOT rules, numerous actions are considered to be a refusal-to-submit. A refusal-to-submit is a violation, and all consequences for a violation apply The list to the right describes refusal-tosubmit situations. Should you have an individual who refuses to test, you are to document the occurrence. Use FORM DA-15, COVERED EMPLOYEE'S VIOLATION HISTORY. As far as the employee is concerned, a refusal has the same consequences as a positive test result. Since an individual could inadvertently be in a refusal-to-submit situation, it is imperative that all covered employees, their supervisors and others associated with this program understand what constitutes a refusal-tosubmit. The following situations are "refusals to submit": Failure to appear for any test (except a pre-employment test). Employees must arrive for a Federal drug or alcohol test within a reasonable amount of time as determined by the employer. Use Form DA-15 to document any refusal to test. Failure to remain at the testing site until the testing process is complete. Leaving for any reason before all the required steps of the testing process are completed. (Something as innocent as leaving to pick the kids up from school could be deemed a refusal-to-submit if the collection was not completed.) Failure to provide a urine specimen for any required drug test. The only exception is when the donor in a pre-employment test leaves before the collection kit is selected. Failure to cooperate with any part of the testing process. If the employee refuses to empty his or her pockets, behaves inappropriately or disrupts the collection process, or refuses to wash his or her hands, the collector will stop the collection and note it as a refusal-to-test. Failure or refusal to take an additional test as directed by the employer or collector. Failure to provide a sufficient amount of urine for a drug test when directed, and it has been determined, through a medical evaluation, that there was no adequate medical explanation for a failure. In alcohol testing, failure to provide a sufficient amount of saliva or breath without a valid medical explanation. Failure to undergo a medical examination or evaluation as directed by the MRO as part of the verification process or as directed by the Designated Employer Representative. 80

In the case of directly observed or monitored collections, failure to permit the observation or monitoring of the provision of the specimen. Employee must provide a specimen under the required conditions. In a directly observed collection, failure to follow the observer s instructions. The employee must lower and raise his or her clothing, as required, and turn around to prove that he or she is not concealing a device that could be used to interfere with the collection process. Admitting to the collector or Medical Review Officer that he or she has adulterated or substituted a specimen. Wearing or possessing a prosthetic or other device that could be used to interfere with the collection. Failure to attempt to provide a breath sample in an alcohol test. The MRO reports that an employee has a verified adulterated or substituted test result. Attempts to adulterate or substitute a urine specimen are often revealed during laboratory testing. Failure to sign the certification during Step 2 of the Alcohol Testing Form, as alcohol testing must be certified by the employee. (Not signing the certification statement during Step 4 of the Alcohol Testing Form is not a refusal-to-test.) In drug testing, failure to sign the certification statement during Step 5 of the Custody and Control Form is not a refusal-to-test. 81

SECTION III - FORMS This manual and forms are copyrighted and licensed by Foley Carrier Services, LLC. As a client in good standing with Foley Carrier Services, LLC, you may make copies of these copyrighted documents as needed for your internal purposes in accordance with the licensing agreement. All other use is prohibited. 82

III-A. SHORTCUT TO USING THE FORMS When you perform this Use this This is a brief description of the purpose of each form activity form ACTIVITY FORM # DESCRIPTION Hire a New Covered Employee DA-2 Request information from Prior Employer to ascertain if applicant has a prior violation of the prohibitions. DA-3 Applicant certifies whether he/she has a violation of the prohibitions to report DA-21 Notify applicant of the requirement for a pre-employment test, as well as the need to complete the return-to-duty process if the result is non-negative DA-4 Once hired, provide covered employee with a copy of the Controlled Substances & Alcohol Policy and Educational Materials have acknowledgement signed Issue the New Policy - for existing Covered Employees DA-4 Employee acknowledges that he/she has received a copy of the Controlled Substances & Alcohol Policy and Educational Materials Make Covered Employee Changes DA-7 Notify Foley Carrier Services, LLC when employees are added or terminated from your program Covered Employee Returning from Lay-off DA-3 Employee certifies whether he/she has any violations of the prohibitions to report that occurred during lay-off or leave DA-2 You may wish to conduct the prior employer inquiry if employee was driving for another employer during layoff. Monthly Covered Employee DA-8 Document the total number of active covered employees monthly and notify Foley quarterly Supervisors Train Covered Employee Supervisors DA-5 Certification that needs to be documented for each Supervisor of covered employees who has undergone the required Reasonable-Suspicion Training Conduct a Drug Test DA-11 Log the pertinent information when sending an individual for testing & upon receiving the test results. DA-11A Document the time you notified the covered employee to go for testing and compare it with the time logged on the collection form by the collector DA-13 Notification/Authorization for DOT Alcohol and/or Controlled Substances Test Lab form (CCF) Give covered employee a laboratory custody and control form (CCF) with Blue FOLEY label or stamp. Conduct an Alcohol Test DA-13 Notifies the individual that the test is required by DOT and authorizes the collector/bat to perform the collection/test Conduct Reasonable-Suspicion Testing DA-5A A Checklist to ensure that you have all of the elements in place to properly conduct a reasonable suspicion drug and/or alcohol test Observe a Reasonable- Suspicion Situation DA-6 Record the observations made by the trained supervisor(s) when a covered employee appears impaired Failure to Complete Reas-Susp. Test DA-12 Document the facts of the testing situation and state why the alcohol and/or drug test wasn t completed within the allowable time frames Post-Accident Test DA-13 Notification/Authorization for DOT Alcohol and Controlled Substances Test - Check Post- Accident as test type. Lab Form Give covered employee a CCF with Blue FOLEY label or stamp. Failure to Complete Post- Accident Test DA-12 Document the facts of the testing situation and states why the alcohol and/or drug test wasn t completed within the allowable time frames Positive Alcohol Test Result DA-10 Document that the individual was subject to an alcohol test at time of notification DA-15 Document the positive alcohol test result Positive Drug Test Result or Refusal due to Adul/ Sub DA-14 Individual confirms that he/she is aware of the option to have the split specimen test conducted and states his/her choice DA-15 Document the actual test result Request for Test Result DA-16 An individual is allowed a copy of his/her test result. Due to the sensitive nature of the request, release that information only with a signed request form Year-end Audit - MIS DA-9S Document the information that would be requested of you in a DOT mail audit 83

Overall review of the forms that are to be kept in the Employee s Confidential File. CHECKLIST FOR EMPLOYEE S CONFIDENTIAL DRUG AND ALCOHOL FILE Employee Name: Last Name First Name Social Security Number: Date Enrolled in Program: Please verify that the items listed below have been completed and are contained in this file. APPLICANT/NEW EMPLOYEE/TRANSFER Employment Application (A copy may be kept in this file. Keep the original in the Driver Qualification file per 49 CFR Part 391.) DA-2: Inquiry For Alcohol And Controlled Substances Information From Previous Employer DA-3: Applicant/Covered Employee Certification Statement DA-4: Acknowledgment Of Receipt And Review Of Employer s Controlled Substances And Alcohol Policy And Educational Materials DA-IF R-1.01 Checklist for Employee s D & A File Pre-Employment Drug Test Result (Negative) Pre-Employment Alcohol Test Result (<0.02AC) if required by employer EXISTING EMPLOYEE DA-3: Applicant/Covered Employee Certification Statement DA-4: Acknowledgment Of Receipt And Review Of Employer s Controlled Substances And Alcohol Policy And Educational Materials Has a Drug Test on File Notes: 84

Foley Carrier Services can complete this activity for you as a part of their optional background screening services. INSTRUCTIONS FOR INQUIRY FOR ALCOHOL AND CONTROLLED SUBSTANCES INFORMATION FROM PREVIOUS EMPLOYER TO REQUEST INFORMATION (For a previous employee of yours) DA-2 Instructions When you need to request information from a previous employer about a new hire or transfer, you will use this form. Follow the instructions below. 1. As the prospective employer, you need to complete Section II with the appropriate information so that the requested information can be transmitted to you in a timely and confidential manner. Prospective Employer's Name = Your Company Name Attention = Your Drug & Alcohol DAPM/DER, or other person who may receive this confidential information Complete each line that represents an acceptable manner for you to receive the transmission of the requested information back to you. Mail, Confidential Fax, Telephone, E-mail (List only confidential fax lines or e-mail addresses) 2. Make copies of this form to have readily available 3. Upon application, explain the required procedure to the applicant 4. Have the applicant complete SECTION I of the Inquiry form for each DOT regulated employer that he/she worked for within the past two years 5. Make a copy of each Inquiry form and keep it in the applicant's file 6. Mail the original to each Previous Employer via certified mail, OR Fax it and print a Transmission Verification Report 7. Follow-up with a phone call to the Previous Employer's DAPM/DER if you have not received the requested information back in a timely fashion. DO NOT DELAY on this follow-up; the individual must be removed from safety-sensitive functions 30 days after first performing safety-sensitive functions, unless you have obtained or made and documented a good-faith effort to obtain the information. Maintain a confidential written record of the information you obtain (or the good faith efforts you made to obtain the information). 8. Maintain this information for three years from the date of the employee's first performance of safety-sensitive functions for you. If you receive the information via phone, you must document the conveyed information, as well as the date, time, and the individual with whom you spoke. TO RESPOND TO AN INQUIRY (For a previous employee of yours) 1. After reviewing the employee's specific, written consent, you are to immediately release the requested information to the employer making the inquiry. Be sure the request has the signature of the individual authorizing the release (your former employee), and that the request is made specifically of your company not a blanket release. 2. Respond only to the information requested in the individual s release. Do not supply more information than that which is required by regulation. The regulations require information about: Alcohol test results that were 0.04AC or greater, verified positive drug test results, refusals to test (including verified adulterated or substituted drug test results), and other violations of DOT agency drug and alcohol testing regulations. 3. You are to provide information on violations that occurred within two (2) years from the date of application. 4. Include any information that you have about the individual's status in the return-to-duty process. 5. Important: You MUST keep a confidential written record of the information released which includes the date, the party to whom it was released, and a summary of the information provided. 85

Ref: 49 CFR 40.25 For you to obtain information from the previous employer regarding alcohol and controlled substances violations. INQUIRY FOR ALCOHOL AND CONTROLLED SUBSTANCES INFORMATION FROM PREVIOUS EMPLOYER DOT Regulation 49 CFR Part 40.25(b) requires the information requested herein. You, as a Prior Employer, are obligated to release this information per 49 CFR Part 40.25(h). CONFIDENTIALITY MUST BE MAINTAINED. The applicant listed below is authorizing you to release the information requested herein. Please transmit the requested information that you have directly gained, as well as any associated information you received from prior employers, via any of the means indicated below as permitted by regulation (mail, phone, fax, e-mail). You are required to release this information as soon as possible after review of the request. Due to the time-sensitive nature of this requirement, we thank you for your prompt attention to this matter. SECTION I: TO BE COMPLETED BY APPLICANT Applicant s Name: Social Security Number: Date of Application: Signature: As the applicant, my signature authorizes Previous Employer to release the information requested to my Prospective Employer indicated herein. Previous Employer Information Employer Name: Telephone: Designated Employer Representative (DAPM/DER): Fax: Address: Dates of Employment: City, State, Zip: SECTION II: TO BE COMPLETED BY PROSPECTIVE EMPLOYER Prospective Employer s Name: Attention: Address: City, State, Zip: Confidential Fax: Confidential e-mail: Telephone No.: Date Form Mailed To Previous Employer: SECTION III: TO BE COMPLETED BY PREVIOUS EMPLOYER Note to Previous Employer: Per DOT regulation, you must document the information released and maintain it on file for three years. Indicate if this former employee had any of these violations dating two years prior to the date of application: Confirmed alcohol test result with a concentration of 0.04 or greater Yes* No No Knowledge Verified positive controlled substances test result Yes* No No Knowledge Refusal to be tested (including verified adulterated or substituted drug test results) Yes* No No Knowledge Other violations of DOT agency drug and alcohol testing regulations Yes* No No Knowledge * With respect to any employee who violated a DOT drug and alcohol testing regulation, please provide documentation of the employee s successful compliance with the DOT return-to-duty requirements. Be sure to include any requirements not completed to date, such as follow-up tests, etc. If the individual is still in the return-to-duty process, define the requirements that must be met. Separate documentation is enclosed Employee did not complete the DOT requirements while in our employ. Individual who completed this form for Previous Employer: Name: Title: DA-2 R-1.01 Signature: Date: Controlled Substances and Alcohol Inquiry Retain 3 years 86

Ref: 49 CFR 40.25 Have an applicant/transfer, or a covered employee returning from layoff/leave, complete this form to document his/her drug and alcohol testing history. CONFIDENTIAL DA-3 R-1.01 APPLICANT/COVERED EMPLOYEE CERTIFICATION STATEMENT I understand that, per DOT requirements, (herein "Employer") must obtain certain information from me for compliance with their applicable DOT Controlled Substances and Alcohol Testing Program. This includes information on any violations of the prohibitions that you may have had. If you are unsure about how to complete this information, ask your DAPM/DER for assistance. INFORMATION TO REPORT ON MY DRUG AND ALCOHOL HISTORY YES, I have information to report about my drug and alcohol history. If, while in a drug and alcohol testing program for an employer who had to meet the requirements for any DOT operating agency (FMCSA, FAA, FTA, USCG, RSPA, or FRA), it was determined that you violated the drug and alcohol prohibitions within the prior two years from the date of application, or if you have not completed the return-to-duty process from any prior violation with another employer, you need to complete the following two sections. I was deemed to have violated one or more of the following DOT prohibitions Date of Violation I had an alcohol test with an alcohol concentration of 0.04 or greater for a prior employer or as a pre-employment test I had a verified positive drug test result for a prior employer or as a pre-employment test I refused to be tested (includes submitting a verified substituted or adulterated specimen) I performed safety-sensitive functions within four hours after using alcohol I used alcohol while performing safety-sensitive functions I was involved in an accident that required post-accident testing and I used alcohol before I was tested I used controlled substances while performing safety-sensitive functions I was deemed to have violated a drug or alcohol regulation under any mandated program which I have not listed above Below I have indicated the company that has the information on the violation. I was an applicant / employee (circle one) of said company. I have / have not (circle one) completed the return-to-duty requirements. Prior Employer (or company I applied to) Company Name: Employer s Designated Employer Representative (DAPM/DER): Employer Address: Employer Telephone Number: SAP Information: NO INFORMATION TO REPORT Applicant/Driver Certification Statement NO, I have no information to report on any violations of the DOT drug and alcohol testing prohibitions. If you have no information to report, please check the above statement and proceed to the certification statement. CERTIFICATION STATEMENT I certify that this information is complete and accurate. I understand that failure to accurately report information may result in my not being hired or termination of employment. Date of Application/Return: Print Full Name: Signature: Retain 3 years 87

Ref: 49CFR 655 FTA Requirement Employee s acknowledgement that he/she has received and reviewed the policy. DA-4 R-1 ACKNOWLEDGEMENT OF RECEIPT AND REVIEW OF EMPLOYER S CONTROLLED SUBSTANCES AND ALCOHOL POLICY AND EDUCATIONAL MATERIALS I acknowledge that I have received a copy of the Employer's DOT Controlled Substances and Alcohol Testing Policy and Educational Materials. I HAVE BEEN MADE AWARE OF THE FOLLOWING COMPONENTS OF EMPLOYER S POLICY: Identity of the Designated Employer Representative (DAPM/DER) Categories of covered employees who are subject to 49 CFR Part 655.3 Information about safety-sensitive functions and hours of compliance Circumstances for controlled substances and alcohol testing Collection procedures and safeguards The requirement to submit to testing What constitutes a refusal-to-submit and the attendant consequences Prohibitions Consequences of violating the prohibitions, including removal from safety-sensitive functions Administrative action for an alcohol concentration greater than 0.02 but less than 0.04 Information on the effects of alcohol and controlled substances use Employer provided me with an additional General Policy that is issued to all employees. Employee s Full Name (printed): Employee s Signature: DAPM/DER Full Name (printed): DAPM/DER Signature: **** Date: Date: Receipt and Review of Policy Retain for 2 years after employee has ceased safety-sensitive functions 88

Ref: 49CFR Part 40 Supervisor s certificate of completion of Reasonable-Suspicion Training. DA-5 R-1 SUPERVISOR REASONABLE-SUSPICION TRAINING CERTIFICATE All persons designated to supervise covered employees must meet the current training requirements for controlled substances use and alcohol misuse. Have each supervisor sign this certification upon completion of the required training. CERTIFICATION STATEMENT This is to certify that, on the date shown, I completed supervisor training on the dangers of alcohol and drug abuse. I am aware of the specific physical, behavioral, and performance indicators of controlled substances and alcohol use that will mandate reasonable-suspicion testing. In total, I have received at least one hour of supervisor training on reasonable-suspicion indicators for alcohol misuse and one hour of training on the subject of reasonable-suspicion indicators for the use of controlled substances. Date: Full Name (printed): Signature: Supervisor Reas. Susp. Training Retain for 2 years after the Supervisor has ceased those functions. 89

Ref: 49CFR 655.43 For reference verify all criteria have been met before conducting Reasonable-Suspicion testing. DA-5A R-1 REASONABLE-SUSPICION TESTING CHECKLIST IMPORTANT! BEFORE CONDUCTING ANY REASONABLE-SUSPICION TEST IT IS IMPERATIVE THAT YOU HAVE THE FOLLOWING ELEMENTS IN ORDER. DOT Controlled Substances and Alcohol Policy has been issued Employee has signed Receipt and Review Form DA-4 Supervisor(s) making the determination has/have been properly trained and signed the Supervisor Reasonable Suspicion Training Form DA-5 Reasonable Suspicion Recording Form DA-6 has been completed and signed Call Foley for consulting, if necessary Call the collection site to schedule the test(s) Use a Federal custody and control form (CCF) for drug test Complete Form DA-13 Federal Testing Notification and Authorization Drive, or have another Designated Employer Representative drive, the individual to the collection site Wait with the individual until testing has been completed Make arrangements for the individual to be driven home (Can be employer or employee arranged. However the individual may not drive himself/herself home). Reasonable Suspicion Testing Checklist Retain a minimum of 5 years 90

Ref: 49CFR 655.43 To record observations indicating an employee is in need of Reasonable-Suspicion testing. REASONABLE-SUSPICION RECORDING FORM Note: This form is used to record "specific, contemporaneous, articulable observations concerning the appearance, behavior, speech or body odors" of the individual. Never accuse an individual of being under the influence of drugs or alcohol. Only relate factual observations. A supervisor who has received reasonable-suspicion training is to complete this form. Employee Name: Date of Observation: Time of Observation - From: To: Location: DA-6 R-1.01 P 1/2 PERSONAL OBSERVATIONS- CHECK ALL APPROPRIATE ITEMS Speech Normal Slurred Loud Whispering Silent Confused Balance Normal Swaying Staggering Falling Walking & Normal Stumbling Swaying Arms Raised for Balance Falling Reaching for Talking Support Awareness Normal Confused Sleepy or Stupor Lack of Coordination Odor Alcohol Marijuana QUALITY AND QUANTITY OF WORK YES NO INTERPERSONAL WORK RELATIONSHIPS Clear refusal to do assigned tasks Frequent or intense arguments Significant increases in errors Repeated errors in spite of increased guidance Reduced quantity of work Inconsistent, up/down quality/ quantity of work Change in frequency or nature of complaints Procrastination on significant decisions or tasks Cynical, distrustful of human nature comments Frequent, unsupported explanations for poor work performance Noticeable change in written or verbal communication Passive-aggressive attitude or behavior, doing things behind your back Verbal abusiveness CONFIDENTIAL Physical abusiveness Recording Form Page 1 of 2 Unpredictable response to supervision Intentional avoidance of supervision Expressions of frustration or discontent Behavior that disrupts work flow More than usual supervision necessary Unusual sensitivity to advice or critique of work Unpredictable response to supervision Persistently withdrawn or less involved with people YES NO Reasonable Suspicion Recording Form Retain a minimum of 5 years 91

DA-6 R-1 P 2/2 GENERAL JOB PERFORMANCE YES NO PERSONAL OBSERVATIONS YES NO Excessive unauthorized absences-number in last 12 months: Excessive authorized absences-number in last 12 months: Frequent unexplained disappearances Excessive use of sick leave in last 12 months: Frequent Monday-Friday absence or other pattern Excessive extension of breaks or lunch Frequently leaves work early You have increased concern about (actual incidents) safety offenses involving the employee Experiences or causes job accidents Major change in duties or responsibilities Interferes with or ignores established procedures Inability to follow through on job performance recommendations OTHER FACTORS/OBSERVATIONS: Changes in or unusual personal appearance (dress, hygiene) Changes in or unusual speech (incoherent, stuttering, loud) Unusual fears Changes in or unusual physical mannerisms (gesture, posture) Changes in or unusual facial expressions Changes in or unusual level of activity (much reduces/increased) Changes in or unusual topics of conversation Engages in detailed discussions about death, suicide, harming others Increasingly irritable or tearful Lacks appropriate caution Unpredictable or out-of-context displays of emotion Persistently boisterous or rambunctious Engages in detailed discussions about obtaining/using Drugs/alcohol Makes unfounded accusations towards others, i.e., has feelings of persecution Secretive or furtive Memory problems (difficulty recalling instructions, data, past behavior) Excessive fatigue Makes unreliable or false statements Temper tantrums or angry outbursts Demanding, rigid, inflexible ABOVE BEHAVIOR WITNESSED BY: Supervisor Name: Signed: Date: Supervisor Name: Signed: Date: Retain a minimum of 5 years Reasonable Suspicion Recording Form This form must be prepared every time an employee displays signs of impairment, possibly due to drugs and/or alcohol. Such signs, observed, properly documented and witnessed are a cause for reasonable-suspicion drug and/or alcohol testing. NOTE: Retain in Employee's secure confidential DOT drug and alcohol program file. 92

Ref: Use to notify Foley of changes to your employee list. DA-7 R-1.01 ADDITIONS OR DELETIONS TO EMPLOYEE LIST FOR DOT DRUG & ALCOHOL RANDOM TESTING PROGRAM Date: Labcode: Name of DAPM/DER: Employer: Telephone: Address: Signature authorizing that this form is correct: PLEASE ADD THE FOLLOWING INDIVIDUALS: Name: Soc. Sec. No. / ID No.: Effective Date: PLEASE DELETE THE FOLLOWING INDIVIDUALS: Additions/Deletions Name: Soc. Sec. No. / ID No.: Effective Date: INSTRUCTIONS: If you have any questions, please call (860) 633-2660 or 1-800-253-5506 for assistance. When you have completed this form, please E-Mail to: ClientServices@FoleyServices.com Fax it to: (860) 652-2047, OR Mail it to our corporate office at: Foley Carrier Services, LLC 655 Winding Brook Drive Glastonbury, CT 06033 93

Ref: 49CFR 40.26 Employer s annual calendar year summary of drug and alcohol testing information DA-9S Rev 8-03 I. Employer: US DOT DRUG AND ALCOHOL TESTING MIS DATA COLLECTION FORM INSTRUCTIONS: You should keep this information in your Confidential Controlled Substances and Alcohol Program file under: Annual MIS Summary. For additional guidance on how to complete this form, refer to Section I-D in the manual. Calendar Year Covered by this Report: Company Name: Doing Business As (DBA) Name (if applicable): Address: Name of Certifying Official: Telephone: ( ) Prepared by (if different): C/TPA Name and Telephone (if applicable) E-mail: Signature: Date Certified: Telephone: ( ) ( ) Check the DOT agency for which you are reporting MIS data; and complete the information on that same line as appropriate: FMCSA Motor Carrier: DOT #: Owner-Operator: (circle one) YES or NO Exempt (circle one) YES or NO FAA Aviation: Certificate # (if applicable): Plan / Registration # (if applicable): RSPA Pipeline: (check) Gas Gathering Gas Transmission Gas Distribution Transport Hazardous Liquids Transport Carbon Dioxide FRA Railroad: Total Number of observed/documented Part 219 Rule G Observations for covered employees: USCG Maritime: Vessel ID # (USCG- or State-Issued): (If more than one vessel, list separately.) FTA - Transit II. Covered Employees: (A) Enter Total Number Safety-Sensitive Employees In All Employee Categories: (B) Enter Total Number of Employee Categories: (C) Employee Category Number of Employees in this Category III. Drug Testing Data: Type of Test Pre-Employment Random Post-Accident Reasonable Susp./Cause Return-to-Duty Follow-Up TOTAL IV. Alcohol Testing Data: Type of Test Pre-Employment Random Post-Accident Reasonable Susp./Cause Return-to-Duty Follow-Up TOTAL If you have multiple employee categories, complete Sections I and II (A) & (B). Take that filled-in form and make one copy for each employee category and complete Sections II (C), III, and IV for each separate employee category. 1 2 3 4 5 6 7 8 9 10 11 12 13 Refusal Results Total Number of Test Results (Should equal the sum of Columns 2,3,9,10,11 and 12) Verified Negative Results Verified Positive Results For One or More Drugs Positive for Marijuana Positive for Cocaine Positive for PCP Positive for Opiates Positive for Amphetamines Adulterated Substituted Shy Bladder - With No Medical Explanation Other Refusals To Submit To Testing 1 2 3 4 5 6 7 8 9 Refusal Results Total Number of Screening Test Results (Should equal the sum of Columns 2,3,7 and 8 Screening Tests With Results Below 0.02 Screening Tests With Results 0.02 Or Greater Number of Confirmation Tests Results Confirmation Tests With Results 0.02 Through 0.039 Confirmation Tests With Results 0.04 Or Greater Shy Lung With No Medical Explanation Other Refusals to Submit to Testing Cancelled Results Cancelled Results Annual DOT Summary 94

Ref: 49CFR Part 655 Complete when sending an employee for an alcohol test. ALCOHOL TEST APPLICABILITY DA-10 R-1 Alcohol testing can only be conducted when an individual is available to perform safety-sensitive functions. By documenting the status of the individual at the time of notification, you prevent an individual from claiming that he/she was tested at a time when he/she was not available for safety-sensitive functions. You may choose to refer to the DEFINITIONS section of the policy clarification on performing a safety-sensitive function. Date: Time: Employer Name: Designated Employer Representative: Signature authorizing that this form is correct: Name of individual receiving alcohol test: Social Security Number: Reason for alcohol test: Random Reasonable-Suspicion Post-Accident Follow-up DETERMINATION: AN INDIVIDUAL IS ONLY SUBJECT TO AN ALCOHOL TEST IN THE FOLLOWING SITUATIONS. CHECK THE BOX INDICATING THE SITUATION THAT DESCRIBES THE ACTIVITIES OF THE INDIVIDUAL AT THE TIME OF NOTIFICATION. While the covered employee is performing a safety-sensitive function Immediately before the covered employee is to perform a safety-sensitive function Just after the covered employee has ceased performing a safety-sensitive function This determination was made by: Title: Telephone Number: File this form in the Employee's Confidential File with a copy of FORM DA-13, Federal Test Notification and Authorization, along with the individual's alcohol test result. Alcohol Test Applicability Maintain 1 year if negative test Maintain 5 years if positive test 95

Ref: 49CFR Part 655 Complete when documenting test results received via the telephone. DA-11 R-1 REPORTED RESULTS LOG Instructions: Document the pertinent information below when notifying an individual to go for a scheduled drug test and when receiving drug test results communicated via telephone. Date and Time Sent: Date and Time you notified the individual to proceed to the collection site S.S.N. / Name: His/Her Name and Social Security Number/I.D. Number Specimen ID #: Specimen ID Number or Laboratory Accession Number is found on the Custody and Control Form this identifying number is unique to each form D/N: Test to be performed - DOT (Federal) = D Non-Federal (Forensic) = N Test Type: (PE) Pre-Employment, (R) Random, (PA) Post-Accident, (RTD) Return-to-Duty, (RS) Reasonable-Suspicion, (FU) Follow-Up Report Date/Time: Date and time that personnel from the MRO s office reported the result to you Date and S.S.N. / ID No. Specimen ID # D/N Test Type Report Date Time Sent Name Time Results Log If all negative results, maintain 1 year If contains any positive results, maintain 5 years 96

Ref: 49CFR 655 Document the time of notification vs. the time of arrival at the collection site. DA-11A R-1 CONTROLLED SUBSTANCES AND/OR ALCOHOL TEST COLLECTION TRACKING FORM INSTRUCTIONS: This form is used by the DAPM/DER to determine if an individual reported to the collection site in a timely manner. If there was a problem with a timely arrival, file this form in the individual s controlled substances and alcohol testing program file and separately deal with the reason for the delay. A failure to arrive at a collection site in a timely manner can be a "refusal-to-submit" (see your policy). Please note that the collection time indicated on the employer or donor copy of the CCF is not necessarily the time the individual arrived at the site. There may have been a delay at the collection site prior to starting the collection process. If you are concerned with the noted times, call the collector to verify the reason for the delay. THERE IS NO NEED TO MAINTAIN THIS DOCUMENT IF THE INDIVIDUAL IN FACT PROCEEDED DIRECTLY TO THE COLLECTION SITE AND THE RESULT WAS NEGATIVE. Date: Employer: DOT Mode: FTA Reason for Test: Notified Employee's Name: Last Name First Name Date and time of notification: Date Time Date and time of collection: Date Time Escort Name (if applicable): Designated Employer Representative (DAPM/DER) Name: Test Tracking Form Signature authorizing that this form is correct: If all negative results, maintain 1 year If contains any positive results, maintain 5 years 97

Ref: 49 CFR 655 Complete when post-accident or reasonable-suspicion testing was not promptly administered. DA-12 R-1 FAILURE TO COMPLETE POST-ACCIDENT OR REASONABLE- SUSPICION CONTROLLED SUBSTANCES AND/OR ALCOHOL TESTING DOT Regulations require that you prepare and maintain a written record of any failure to promptly administer required post-accident or reasonable-suspicion alcohol or controlled substances testing within the time allowances. ALCOHOL TESTING: Maintain a written record if required test was not completed within two (2) hours and a second report if the test was not completed within eight (8) hours. After eight hours, you shall cease attempts to have the testing completed. CONTROLLED SUBSTANCES TESTING: Maintain a written record if required test was not completed within 32 hours. Cease attempts after 32 hours. File with CONFIDENTIAL controlled substances and alcohol program records and include with your MIS reports. Provide to FTA upon request. TYPE OF TEST(S) REQUIRED Failure to Complete Testing Post-Accident controlled substances and alcohol tests Reasonable-Suspicion controlled substances test Reasonable-Suspicion alcohol test Triggering Event Date: Time of Accident or Reasonable-Suspicion test determination: Location of Accident or Reasonable-Suspicion test determination: FAILED TO COMPLETE THE FOLLOWING REQUIRED DOT TEST(S) ALCOHOL Test Within Two Hours ALCOHOL Test Within Eight Hours CONTROLLED SUBSTANCES Test Within 32 Hours Reason for failure to complete required test: Name of trained Supervisor requesting Reasonable-Suspicion test(s): Telephone number of trained Supervisor: Person completing form (Name): Signature: Telephone number of person completing this form: Maintain 5 years 98

Ref: 49CFR 40 Complete when individual is notified to go for an alcohol and /or drug test. FEDERAL TEST NOTIFICATION AND AUTHORIZATION DA-13 Before performing an alcohol or controlled substances test, employer is required to notify an employee that the test is required under Parts 655 or 40. This form is to be completed by the Designated Employee Representative (DAPM/DER) when notifying an individual to go for required federal alcohol and/or controlled substances testing. Complete this form, make a copy, provide the individual with the copy (to take with him/her to the collection site), file the original in the employee s confidential file. R-1 EMPLOYER/EMPLOYEE INFORMATION Employer Name: Address: DAPM/DER: DAPM/DER Signature: Employee Name: S.S.N. or Employee ID No.: Telephone No.: Client Code: Notification Date: Notification Time: Arrival Time: DOT Mode: FTA Employee Was Notified: Written (preferred) Verbal (documented via this form) Required Testing: Drug Test Only Drug and Alcohol Test Reason For Testing: Pre-Employment Random Post-Accident Reasonable-Suspicion Return-to-Duty Follow-up Direct Observation Collection Required: This box is to be checked only if Employer (when allowed by federal regulation) or the MRO, has requested that a drug screen collection be conducted under direct observation. An individual who is the same gender as the donor will conduct the direct observation. INFORMATION FOR BAT/COLLECTOR Federal Test Notification and Authorization NOTICE TO BAT: NOTICE TO COLLECTOR: INVOICING: Please note the time that this individual arrived at the testing site (in grayed box, above). DOT regulations require that you notify employer s DAPM/DER if the confirmed BAC result is 0.02 or greater. Please make a photocopy of the Alcohol Test result and mail it to: Foley Carrier Services P.O. Box 636 Glastonbury, CT 06033 OR Fax Alcohol Result to Foley Carrier Services at: (860) 659-6253 Please fax the MRO copy immediately upon completion of the collection to Foley s MRO Secure Fax Line: (800) 547-2966 Please notify the DAPM/DER of any problems that occurred during the collection process. Please invoice Foley for the urine drug screen collection as well as the alcohol test fees. Foley Carrier Services, LLC Accounts Payable Department P.O. Box 636 Glastonbury, CT 06033 If for a negative result, maintain 1 year If for positive results, maintain 5 years 99

Ref: 49CFR 655 Complete if individual has a non-negative drug test. CONFIDENTIAL SUBSTANCE TEST INFORMATION DA-14 R-1 Name of Safety-Sensitive Individual: Test Date: Positive test result for (list substance(s): Refusal to test due to: Adulteration Substitution S.S.N. or Employee ID: DOT drug testing is conducted using the split specimen collection procedure. An individual, who has a verified positive test result, or a refusal to test because of adulteration or substitution, has the option of having the split portion of the urine specimen tested. If the test of the split portion does not reconfirm the original test result, the test is canceled. After a verified positive controlled substances test result or a refusal to test because of adulteration or substitution, there is no opportunity to have a second collection that negates the first test result. A request for the split specimen test will not delay any administrative actions. An individual has 72 hours from the time the MRO notified him/her of the verified positive test result, or refusal to test because of adulteration or substitution, to request the testing of the split specimen. As independently authorized, employer requires this form to be completed stating the individuals decision to have or not have the split specimen tested. For the MRO to verify a result as positive: Various thresholds of the presence of prohibited substances must be reached. If a test result is below these thresholds, it will be reported as a negative. For the testing of the split, any detectable presence of the substance will reconfirm the initial positive test result. For the MRO to verify a result as a refusal-to-submit because of adulteration: A substance has been identified in the specimen that is not expected to be in human urine, or A substance that is expected to be in human urine is present, but at a concentration so high that it is not consistent with human urine, or The physical characteristics of the specimen are outside the normal expected range for human urine. For the MRO to verify a result as a refusal to test because of substitution: The laboratory has determined that the specimen is not within the parameters for normal human urine. (The creatinine concentration is less than or equal to 5 mg/dl and the specific gravity is less than or equal to 1.001 or greater than or equal to 1.020.) For adulteration and substitution determinations, the split specimen test reconfirms the initial test result when the same criteria are met. As independently authorized, employer may require you to pay for this expense. Refer to your policy. If for any reason the split specimen test does not reconfirm the original result, the original test result will be cancelled and the fee for testing of the split specimen will be refunded to you. By signing this form, I understand that I have the option to have the split specimen test conducted, independent of the primary specimen that was tested. I waive my right to have my split specimen tested I choose to have my split specimen tested Signature of Individual: Name of DAPM/DER: Signature of DAPM/DER: Date: Date: Notice of Split Specimen Testing Option Retain 5 years 100

Complete if an employee violated the drug and alcohol prohibitions. COVERED EMPLOYEE S VIOLATION HISTORY This form can be used for multiple purposes. It may be used as a record for your files of what occurred after an individual had a positive drug or alcohol test result, refusal-to-submit (includes adulterated or substituted test result), or other DOT agency violations. It can also be used as a response to a drug and alcohol test inquiry DA-15 that is being requested regarding your former employee. Company: Phone No.: Address: City: State: Zip: Employee Name: S.S.N.: R-1 Verified Positive for Controlled Substances Alcohol Test Result of 0.04AC or Greater Refused to submit (includes adulteration or substitution) Another DOT agency violation Substance(s) Positive for: List other Violation: Date of Positive test, Refusal or other Violation: No Evaluation was performed. The Individual was terminated from Safety-Sensitive Duties on: An Evaluation was performed on: Name, Address, & Telephone Number of SAP: Define Education and/or Treatment Program and Completion: Date of Follow-up SAP Evaluation: Return-To-Duty Test Date: Result: Completion of Follow-Up Tests Required? YES NO If No, List Dates of Follow-Up Tests to be Completed: If removed from Follow-Up testing program, list date and SAP authorization: THE INDIVIDUAL LISTED ABOVE: Never had a positive drug or alcohol test, refused to submit (including adulteration or substitution) to testing while in my employment, or had any other violation of the prohibitions I have no knowledge of any previous positive tests or refusals to submit to testing This document was prepared by: Name: Signature: SAP EVALUATION Title: Date: Violation History Retain 5 years 101

Have an individual complete this form when requesting a controlled substances and/or alcohol test result. DA-16 R-1.01 REQUEST FOR CONTROLLED SUBSTANCES AND/OR ALCOHOL TEST RESULT A covered employee is entitled upon written request, to obtain copies of any records pertaining to the his/her use of alcohol or controlled substances, including any records pertaining to his/her alcohol or controlled substances tests. The Employer listed below indicates the employer from whom the covered employee is requesting the records. Employer Name: Address: City: State: Zip: Drug and Alcohol Program Manager (DAPM/DER): I hereby request a copy of my: Federal controlled substances test result(s) Federal breath alcohol test result(s) Testing was conducted on or near the following date(s): PLEASE MAIL MY RESULT(S) TO: Name: Address: City: State: Zip: PLEASE FAX MY RESULT(S) TO: PLEASE E-MAIL MY RESULT(S) TO: TRANSMITTING RESULTS I assume all responsibility for any breach of confidentiality of the controlled substances and/or breath alcohol test result(s) after it is forwarded to the address/number listed above. I WILL PERSONALLY PICK UP THE TEST RESULT(S). I assume all responsibility for any breach of confidentiality of the controlled substances and/or breath alcohol test result(s) once I pick up a copy of the requested result(s). Current Date: I authorize the above employer to release my test result(s). Full Name (Printed): Signature: S.S.N. (or Employee ID if used for testing): Telephone Number: ( ) Retain 5 years if positive result requested Request for Test Result Post-Accident Testing Training Retain 2 years if negative result requested 102

Provide to applicant for a safety-sensitive position. DA-21 R-1 APPLICANT NOTIFICATION Provide this form to an applicant for a safety-sensitive position to inform him/her of the requirement for preemployment testing, as well as the need to complete the return-to duty process if his/her test result is nonnegative. As an applicant for a DOT safety-sensitive position, you are required to submit to a federal preemployment drug test. Employer may require that you also submit to a federal alcohol test as allowed by DOT regulation. Prior to taking this pre-employment drug test (and alcohol test, if applicable) for this employer it is important that you are aware of DOT consequences* that can attach if you have a nonnegative** test result. You would not be allowed to perform safety-sensitive functions for this employer or any other employer who wished to use you in a safety-sensitive position until you have successfully complied with the requirements of the return-to-duty process. RETURN-TO-DUTY PROCESS Initial SAP Evaluation - To meet with a Substance Abuse Professional (SAP) who will determine what education/treatment is required Treatment and/or Education - Required assistance that the SAP recommended Follow-up Evaluation - The SAP determines whether the individual has complied with the Treatment/Education recommendations Return-to-Duty Test(s) - Employer will determine when the return-to-duty test takes place upon receipt of proper documentation of compliance from the SAP Follow-up Tests - A minimum of six follow-up tests are required within the first twelve months after resuming (or beginning) safety-sensitive functions. As you can see having a positive test result, or a refusal-to-submit, puts you in very precarious position. When going for the pre-employment test(s) it is important that you follow the directions given by the collector/technician and that you cooperate with the collection/testing process. Applicant Notification IMPORTANT NOTE: The DOT consequences do not apply if you do not go for the preemployment testing, or if you leave the testing site before the actual collection process begins. A collection begins when either the collector or donor selects a specimen kit. MRO/EMPLOYER DISCLOSURE As an applicant, you need to be aware that the confidential information that you disclose to the MRO can be released without your consent to the Employer. *DOT Consequences refer to the required return-to-duty process as identified above for any individual who violates the DOT drug and alcohol testing prohibitions **A non-negative drug test result is either a positive or refusal-to-submit (including the submission of a substituted or adulterated specimen) 103 Retain while employee is in safety-sensitive position and for 2 years after ceasing duties.

HIRING A COVERED EMPLOYEE The following steps exclusively affect your DOT Controlled Substances and Alcohol Testing Program. You may have other Employer activities not addressed herein that need to be completed when hiring a new covered employee. INFORM APPLICANT THAT THE JOB OFFER IS CONTINGENT UPON A NEGATIVE DRUG TEST RESULT (AND NEGATIVE ALCOHOL TEST RESULT, IF APPLICABLE) PROVIDE APPLICANT WITH A COPY OF FORM DA-21, APPLICANT NOTIFICATION, OR MAKE A COPY OF YOUR CONTROLLED SUBSTANCES AND ALCOHOL POLICY AVAILABLE TO THE APPLICANT YOU MAY CONDUCT A SUPERVISED DRIVING PERFORMANCE REVIEW PRIOR TO CONDUCTING THE PRE-EMPLOYMENT TEST HAVE THE APPLICANT SIGN THE FOLLOWING FORMS: DA-2, Inquiry for Alcohol and Controlled Substances Information from Previous Employer DA-3, Applicant Certification Statement DA-4, Acknowledgement of Receipt and Review of the Employer s Controlled Substances and Alcohol Policy and Educational Materials DA-13, Federal Testing Notification and Authorization CONDUCT THE PRE-EMPLOYMENT TEST (SEE SECTION: SENDING AN INDIVIDUAL FOR AN ALCOHOL AND/OR CONTROLLED SUBSTANCES TEST) BEGIN THE DRUG AND ALCOHOL TESTING INFORMATION INQUIRY NOTIFY FOLEY THAT YOU HAVE ADDED A NEW EMPLOYEE START COMPILING A CONFIDENTIAL FILE FOR THE NEW EMPLOYEE 104

CONDUCTING AN ALCOHOL AND/OR DRUG TEST 1. CALL YOUR COLLECTION SITE TO SCHEDULE AN APPOINTMENT FOR THE ALCOHOL AND/OR DRUG TEST 2. INFORM THEM THAT YOU ARE WITH FOLEY 3. COMPLETE DA-13, FEDERAL TESTING NOTIFICATION AND AUTHORIZATION OR FOR A RANDOM TEST, THE RANDOM TEST NOTIFICATION AND AUTHORIZATION 4. BE SURE THE DONOR HAS THE FOLLOWING ITEMS BEFORE GOING TO THE SITE: A FEDERAL CUSTODY AND CONTROL FORM (CCF) THE APPROPRIATE FORM TO BE USED AT THE SITE YOU ARE SENDING THEM TO. A COPY OF DA-13, FEDERAL TESTING NOTIFICATION AND AUTHORIZATION OR THE RANDOM TEST NOTIFICATION AND AUTHORIZATION A PICTURE ID (DRIVER S LICENSE OR EMPLOYEE ID ISSUED BY YOUR COMPANY) DIRECTIONS TO THE COLLECTION SITE 5. ADVISE THE INDIVIDUAL TO HAVE A GLASS OF WATER BEFORE LEAVING FOR THE SITE 105

POST-ACCIDENT TESTING Foley is available 24 hours a day to assist in the collection and testing process if an individual requires testing per DOT regulation. During normal business hours (M-F 8:30-5 EST), call (800) 253-5506 press 0 and tell the receptionist that you have a Post-Accident Emergency. If it is after hours, call (800) 253-5506 and explain to the answering service that this is a post-accident testing emergency. Leave your name, company name, and the phone number where you can be reached. One of our on-call staff members will be paged immediately and your call will be returned. Call the collection site and inform them that you require both a Federal Post-Accident Breath Alcohol Test and Federal Drug Screen Collection. TIME-FRAMES: Post-Accident alcohol testing is to be conducted, if at all possible, within two hours of the accident. If unable to complete, continue to attempt to have testing completed as soon as practicable. If the Breath Alcohol Test was not completed within eight hours you must cease attempts to have the testing completed. The Controlled Substances test must be completed as soon as practicable following the accident but cannot be conducted after 32 hours from the time of the accident. If the test was not completed, you must cease attempts to have the testing completed. DOCUMENTATION: You must document any failure to complete testing, be it the two-hour, eight-hour, or 32- hour window, using FORM DA-12, FAILURE TO COMPLETE POST-ACCIDENT OR REASONABLE-SUSPICION DRUG AND/OR ALCOHOL TESTS. Maintain documentation of a failure to complete Federal Post-Accident testing on file, and provide it to the FTA upon request. If you believe reasonable-suspicion testing should be conducted follow the guidelines for reasonable-suspicion testing. 106

24-HOUR HOTLINE NUMBERS HAVE A DRUG OR ALCOHOL PROBLEM? Help is Available! Addict Help: 800-390-4056 Alanon: 800-356-9996 Alcoholics Anonymous: 800-344-2666 Cocaine Anonymous: 800-347-8998 Drug-Free Workplace Helpline: 800-843-4971 Ecstasy Addiction: 800-468-6933 Marijuana Anonymous: 800-766-6779 Narcotics Anonymous: 800-627-3543 National Drug & Alcohol Treatment Hotline: 800-662-HELP For information on our Drug Free Workplace Program, or additional poster copies contact: Foley Carrier Services, LLC 655 Winding Brook Drive Glastonbury, CT 06033 800-253-5506 107