Drug and Alcohol Policy
Applicable to Hours of Service Personnel
49 CFR Part 219
February 8, 2011
Federal Railroad Administration
1200 New Jersey Ave., SE
Washington, DC 20590
Keolis Rail Services America, LLC
10660 Wakeman Court
Manassas, VA 20110
TABLE OF CONTENTS
Section I: Policy ..................................................................................................... 2
A. Prohibitions .............................................................................................................. 1
B. Prescription Drugs (49 CFR 219.103) ...................................................................... 2
C. Supervisor Training (49 CFR 211.9(g)) .................................................................... 2
Section II: Scope .................................................................................................... 3
Section III: Testing Programs ............................................................................... 3
A. Pre-employment (49 CFR 219.501).......................................................................... 4
B. Testing for Cause (49 CFR 219.300 and 219.301) ................................................... 4
1. Federal Reasonable Suspicion Testing (49 CFR 219.300)
– Federally mandated testing ................................................................................. 4
2. Reasonable Cause (49 CFR 219.301) – Federally authorized testing ........................ 5
C. FRA Post Accident (Subpart C) (49 CFR 219.201) .................................................. 6
D. Random Testing (49 CFR 219.601) (see attached policy) ........................................ 8
Section IV: Drug Testing Procedures and Results ............................................. 8
A. Collection Procedures .............................................................................................. 8
B. Positive or Otherwise Non-Negative Results ............................................................ 8
C. Negative Results .....................................................................................................10
Section V: Alcohol Testing Procedures and Results ........................................ 10
A. Positive Results.......................................................................................................10
B. Negative Results .....................................................................................................10
Section VI: Confidentiality .................................................................................. 10
Section VII: Compliance with Testing Procedures............................................. 11
A. Covered Employee Compliance ..............................................................................11
B. Federal Return-to-Duty and Follow-Up Collection Procedures ................................11
Section VIII: Rehabilitation .................................................................................. 12
A. Voluntary Referral Policy (Part 219.403) .................................................................13
B. Co-Worker Report Policy (Part 219.405) .................................................................14
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TABLE OF CONTENTS, continued
Appendix A: Random Drug and Alcohol Testing Program .............................. 16
Part I: Random Testing Pools .................................................................... 16
Part II: Random Selection and Testing Procedures ................................... 16
Part III: Testing Rate .................................................................................. 17
Part IV: Notification/Documentation ........................................................... 17
Part V: Emergencies/Unusual Occurrences............................................... 18
Part VI: Procedures and Safeguards ......................................................... 19
Part VII: Medical Review Officer and Program Administrator..................... 20
Part VIII: Procedures for Action Based on Positive Test Results ............... 20
Part IX: Communication ............................................................................. 22
Identifying Information ..................................................................................................23
Mandatory Post-Accident Toxicological Testing............................................................26
FRA ToxBox Collection Procedures, Contents and Handling ........................................30
What You Need to Know About Federal Drug and Alcohol Testing ...............................32
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SECTION I: POLICY
Keolis Rail Services America (KRSA), as contract operator for the Virginia Railway Express (VRE) seeks,
through the establishment and enforcement of this policy, to establish and maintain a drug and alcohol-free
work environment. KRSA has a concern for the safety, health and well being of its employees as well as
an obligation to comply with the United States Department of Transportation (DOT) and Federal Railroad
Administration (FRA) regulations. KRSA will comply with all statutes and regulations administered by the
FRA in implementing the required Part 219 Drug and Alcohol Program. The KRSA Designated Employer
Representative (DER) to answer employee questions about this policy is Larry McNulty, Manager of
Safety and Training.
1. No employee may use or possess alcohol or any controlled substance while assigned to perform
2. No employee may report for covered service or remain on duty in these functions while:
• Under the influence of or impaired by alcohol
• Having .02 or more alcohol content in breath or blood
• Under the influence of or impaired by any controlled substance
3. No employee who performs covered service may use a controlled substance at any time, whether on
duty or off duty (except as prescribed by a medical practitioner in accordance with 219.103)
4. No covered employee may use alcohol for whichever is the lesser of the following periods:
• Within four (4) hours of reporting for duty
• After receiving notice to report for duty
5. No covered employee tested for alcohol under these provisions whose test result indicates an alcohol
concentration of .02 or above may perform or continue to perform service.
KRSA also prohibits the unlawful manufacture, distribution, dispensing, sale, possession, use or presence
in the body of illegal drugs while on or off duty; the unauthorized use, possession or presence in the body
of alcohol while on duty, on company owned or utilized property or while occupying facilities provided by
the company; the unauthorized use or presence in the body, while on duty, of any medication or
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combination of medication that may in any way adversely affect the employees’ alertness, coordination,
reaction, response or safety.
In addition to the foregoing, the Federal Drug Free Workplace Act requires employees to notify the
company in writing if they are convicted of violating a criminal drug statute while in the workplace no
later than five (5) days after such conviction.
Each covered service person will receive a copy of this policy and the other information requirements in
49 CFR Part 219.23 (e) which clearly states the prohibitions required by the regulation. In addition, each
covered person will be given information concerning the problems caused by alcohol or controlled
substances and available methods of intervening when an alcohol or controlled substance problem is
suspected, including confrontation, referral to an employee assistance program and/or referral to
B. Prescription Drugs (49 CFR 219.103)
The use of controlled substances (on Schedules II through V of the controlled substance list) is not
prohibited as long as they are prescribed or authorized by a medical practitioner and used at the dosage
prescribed. Employees can only use prescriptions directly prescribed to them and are prohibited from using
prescriptions intended for others. Employees must inform either one treating medical professional or a
railroad-designated physician of all prescribed and over-the-counter drugs they are taking so the medical
professional can determine that use of the medication(s) at the prescribed or authorized dosage is
consistent with the safe performance of the employee’s duties and the employee has observed any
restrictions imposed with respect to use of the medications in combination. Covered service employees
should also seek the advice of a medical professional whenever they are taking any over-the-counter drug
that may adversely affect the safe performance of duties.
KRSA requires employees to obtain prior approval for any prescription drugs they are taking that may
adversely affect the safe performance of their duties. Prior approval can be obtained by the KRSA Medical
Review Officer (MRO).
C. Supervisor Training (49 CFR 211.9(g))
Supervisors will receive at least three (3) hours of initial and periodic refresher education and training on
alcohol misuse and controlled substance use, covering the physical, behavioral, speech and performance
indicators of probable alcohol misuse and use of controlled substances. It will also educate supervisors to
make informed decisions as to what is a qualifying event and who is to be tested and under which authority
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SECTION II: SCOPE
This policy applies to all personnel, including contractors and volunteers, subject to perform service
covered by the Hours of Service Act (45 U.S.C. 61-64b), including engineers, conductors, assistant
conductors and mechanical department employees involved in the movement of rail equipment within the
confines of the VRE Maintenance Facilities and any managers who might perform these functions. Any
employee who performs covered service for KRSA is deemed to have consented to testing as required by
federal regulations. Any employee who refuses to provide breath or body fluid specimen when required
under mandatory federal testing will be disqualified from covered service for a period of nine (9) months.
Non covered employees will be held to the same standards as covered employees but will be tested under a
KRSA company Drug and Alcohol policy administered by KRSA to all employees not covered by the
provisions of 49 CFR Part 219.
A KRSA employee who performs covered service frequently enough (at least once per quarter) will be
placed in the random testing pool and is subject to all the provisions of 49 CFR Part 219 – Control of
Alcohol and Drug Use and 49 CFR Part 40 – Procedures for Transportation Workplace Drug and Alcohol
KRSA operates VRE commuter trains under a trackage rights agreement on the CSX, Norfolk Southern
and Amtrak. In the event of an incident which requires drug and alcohol testing, KRSA will coordinate
with the appropriate host railroad and decide how the supervisor at the scene will proceed with the testing.
Generally, KRSA will arrange to immediately transport the covered service employee(s) to a collection
site for expeditious collection of a urine and/or breath specimen (blood of a post-accident test).
KRSA operates on tracks owned by Norfolk Southern Railway (NS) on the Manassas line between
Manassas, VA (Broad Run) and Alexandria, VA; on Amtrak between Virginia, Avenue and Washington,
DC; and on the CSX line between Fredericksburg, VA (Crossroads) and Virginia Avenue.
SECTION III: TESTING PROGRAMS
KRSA has established a comprehensive program of drug and alcohol testing to be administered as
authorized by regulations at 49 CFR Parts 219 and 40. All testing will be done in accordance with DOT
procedures and safeguards for urine drug testing and breath alcohol testing. All collectors will have the
appropriate training specified by 49 CFR Part 40 and all testing of samples collected will be done by a
Department of Health and Human Services (DHHS) approved laboratory.
KRSA will provide written notice to the employee to be tested that the test(s) is/are required under FRA
regulations. Use of the DOT form for drug or alcohol testing, indicating the basis upon which the test is
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being required (e.g., random, reasonable suspicion, pre-employment) will satisfy federal notification
Per 49 CFR Section 40.85, all federal urine drug tests will be analyzed for the presence of:
• Opiates (morphine, codeine, heroin)
• Phencyclidine (PCP)
• Amphetamines (including methamphetamines and ecstasy (MDMA, MDA, and MDEA))
Drug and/or alcohol tests will be administered under the following circumstances:
A. Pre-Employment (49 CFR 219.501)
Passing a Federal pre-employment drug test is a condition prior to performing covered service duties.
Prior to the first time a covered employee performs covered service, the employee shall have undergone
urine drug testing and a negative test result returned to the Medical Review Officer (MRO). This
requirement shall apply to final applicants for employment from external sources as well as to existing
employees seeking to transfer into a covered service position from a non-covered service position. If an
applicant refuses to submit to the drug test, or tests positive on the drug test, the applicant will not be
considered qualified to perform covered service and will not be offered a position in covered service.
B. Testing for Cause (49 CFR 219.300 and 219.301)
1. Federal Reasonable Suspicion Testing (49 CFR 219.300) — Federally Mandated Testing
A covered employee will be required to submit to a federal breath alcohol test when a trained
supervisor has reasonable suspicion to believe that the employee has violated the prohibition of this
policy concerning use of alcohol.
A covered employee shall be required to submit to urine drug testing when two (2) supervisors (at
least one of whom has been trained per 219.11(g)) have reasonable suspicion to believe that the
employee has violated the prohibition of this policy concerning use of controlled substances.
Reasonable suspicion must be documented and based on specific, contemporaneous personal
observations the supervisor(s) can articulate concerning the employee’s appearance, behavior, speech,
body odor, chronic effects or withdrawal effects. The supervisor who makes the determination that
reasonable suspicion exists for breath alcohol testing shall not conduct testing on the employee.
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If a mandatory reasonable suspicion test is not conducted within two (2) hours of the initial
determination, the railroad KRSA must document the reasons for the test delay. Any testing not
initiated within eight (8) hours of the determination to test must be cancelled and the reasons
documented and made available for inspection by FRA.
An employee may not be tested under this part if that employee has been released from duty under
normal railroad procedures.
2. Reasonable Cause (49 CFR 219.301) — Federally Authorized Testing
The following circumstances constitute cause for when breath alcohol and/or urine drug testing may
I. Accident/Incident — The employee has been involved in an accident or incident reportable under
49 CFR Part 225 and a supervisory employee has a reasonable belief, based upon specific,
articulable facts, that the employee’s acts or omissions contributed to the occurrence or severity of
the accident or incident; or
II. Rule Violation — The employee has been directly involved in one of the following rule violations
1. Non-compliance with a train order, track warrant, timetable, signal indication, special
instruction or other direction with respect to movement of a train that involves:
a.) Occupancy of a block or other segment of track to which entry was not authorized
b.) Failure to clear a track to permit opposing or following movement to pass
c.) Moving across a railroad crossing at grade without authorization, or
d.) Passing an absolute restrictive signal or passing a restrictive signal without stopping
2. Failure to protect a train as required by the applicable flagging rule(s)
3. Operation of a train at a speed that exceeds the maximum authorized speed by at least
ten (10) miles per hour or by fifty percent (50%) of such maximum speed authorized,
whichever is less
4. Alignment of a switch in violation of a railroad rule, failure to align switch as required for
movement, operation of a switch under a train, or unauthorized running through a switch
5. Failure to apply or stop short of derail as required
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6. Failure to secure a hand brake or failure to secure sufficient handbrakes, as required, or
7. Entering a crossover before both switches are lined for movement
Any testing not initiated within eight (8) hours of the determination to test must be cancelled and
the reasons documented and made available for inspection by FRA.
An employee may not be tested under this part if that employee has been released from duty under
normal railroad procedures.
Supervisors must document the circumstances that occurred that prompted their decision to
conduct a federal test on the covered service person for reasonable cause.
C. FRA Post Accident (Subpart C) (49 CFR 219.201)
Following any of the events described below, all covered employees directly involved in the qualifying
accident or incident must provide blood and urine samples for toxicological testing by the FRA’s
designated testing laboratory. The FRA-supplied shipping kit, sufficient for the collection of blood and
urine specimens from three (3) employees, shall be provided to the collection facility at the time the
samples are collected. Covered employees may also be asked to submit to breath alcohol test. If a
collection is not performed within four (4) hours from the time of the event, a record must be prepared
stating the reason why the test was not performed promptly.
Events requiring FRA post-accident testing include:
I. Major Train Accident — Any train accident (per 49 CFR 225.5: any collision, derailment, fire,
explosion, act of God or other event involving operation of railroad on-track equipment, standing or
moving, that results in damages damage to railroad on-track equipment, signals, track, track structures,
and roadbed) involving damage in excess of the current reporting threshold that involves one or more
of the following:
• Release of hazardous material lading from railroad equipment accompanied by:
a) An evacuation, or
b) A reportable injury resulting from the hazardous material release
• Damage to railroad property of $1,000,000 or more
II. Impact Accident — An impact accident (per 49 CFR 225.5: a rail equipment accident that involves a
rear-end collision, a side collision, including a collision at a railroad crossing at grade, a switching
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collision, or impact with a deliberately- placed obstruction such as a bumping post) that involves
damage in excess of the current reporting threshold resulting in:
• A reportable injury, or
• Damage to railroad property of $150,000
III. Fatal Train Incident — Any train incident (is defined in 49CFR 225.5 as any event involving the
movement of on-track equipment that results in a reportable casualty but does not cause reportable
damage above the current threshold established for train accidents) that involves a fatality to any
on-duty railroad employee.
IV. Passenger Train Accident with a reportable injury to any person in a train accident involving
damage in excess of the current reporting threshold that involves a passenger train.
Exceptions — No test may be required in the case of a collision between railroad rolling stock and
a motor vehicle or other highway conveyance at a highway-rail grade crossing. No test may be
required in the case of an accident/incident the cause and severity of which are wholly attributable
to a natural cause (e.g., flood, tornado or other natural disaster) or to vandalism or trespasser(s), as
determined on the basis of objective and documented facts by KRSA representative responding to
the scene. No test shall be required if KRSA representative can immediately determine that the
employee had no role in the cause or severity of the accident/incident, except in the case of a
Major Train Accident whereby all crewmembers of all involved trains must be tested. In a Fatal
Train Incident, the fatality cannot be excluded from post-accident testing. In any case where an
operator, dispatcher, signal maintainer or other covered service employee is directly and
contemporaneously involved in the circumstances of the accident/incident, those employees must
also be required to provide specimens.
Good Faith Determination — KRSA representative responding to the scene of the
accident/incident shall determine whether the accident/incident falls within the event requirements
defined above. This representative will identify the appropriate personnel who must be tested and
then ensure that specimens are collected and shipped.
Specimens for any FRA post-accident testing will be collected using procedures required in Part
219 Appendix C. KRSA’s FRA post-accident specimen kits must be used. Specimens will be
collected, packaged, and shipped via express courier service by KRSA. The shipping address is
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Quest Diagnostics1777 Montreal CircleTucker, GA 30084
Toll-Free Telephone:800-729-6432 (Monday through Saturday)
D. Random Testing (49 CFR 219.601)
(see Appendix A)
SECTION IV: DRUG TESTING PROCEDURES AND RESULTS
A. Collection Procedures
The designated collection agents will be qualified and follow the proper collection procedures as
described in 49 CFR Part 40.
a. The Medical Review Officer (MRO) will review drug test results as required in 49 CFR Part 40.
All test results will be reported exclusively through the MRO.
b. A laboratory certified by the Department of Health and Human Services/ Substance Abuse and
Mental Health Service Administration (DHHS/ SAMHSA), under the Mandatory Guidelines for
Federal Workplace Drug Testing Programs, will perform all drug testing.
c. Test results will be reported from the laboratory only to the MRO for review and action consistent
with 49 CFR Part 40.
d. The name of the individual providing the specimen will remain confidential and will not be
provided to the laboratory performing the test. The testing laboratory is only able to identify the
specimen by the specimen ID number printed on the chain-of-custody form. The laboratory will
only use a urine custody and control form consistent with the requirements of 49 CFR Part 40.
e. The designated laboratory will only test for the drugs listed in 49 CFR 40.85.
f. The MRO will verify the results and report (using procedures in 49 CFR Part 40) to the DER
whether the test was positive or negative and the drugs for which there was a positive result.
B. Positive or Otherwise Non-Negative Results
If the laboratory reports the drug test result as positive or otherwise non-negative, the following
procedures will be followed:
a. The MRO will immediately inform the covered service person of the result and offer the person
the opportunity for an interview to discuss the test result. If the MRO has difficulty reaching the
employee, the procedures set forth in 49 CFR 40.131 will be followed.
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b. The MRO will complete and document the review as required by 49 CFR Part 40 Subpart G –
Medical Review Officers and the Verification Process, determining if the external chain of custody
was intact, if the person has a legitimate medical explanation for the presence of any controlled
substance, and whether there is any basis to question the scientific sufficiency of the test results. In
the case of an opiate positive, the MRO will make the required additional determinations specified
c. If the MRO verifies the test result as positive, the MRO will report the result to KRSA’s DER. If
the MRO determines that the result is non-negative and the non-negative result cannot be
explained, the appropriate regulatory action will be pursued. The MRO will provide the DER with
a certified copy of Copy 2 of the custody and control form, showing verification by the MRO. The
MRO will not provide the DER with the quantitative test results unless the employee disputes the
test, as stipulated in the regulation.
d. Covered service personnel should receive written notification of test results, which are other than
negative. A Federal positive drug test or a Federal alcohol test result of 0.02 percent or greater or a
refusal to test will result in immediate removal from covered service under FRA regulations. A
positive alcohol test of at least 0.02 percent but less than 0.04 percent will result in the removal of
the person from covered service for at least eight (8) hours.
e. A covered service person with a positive drug test or a breath alcohol test result of 0.04 percent or
greater will be required to undergo an evaluation by a qualified railroad approved SAP to
determine the need for treatment and/or education. The employee will be required to participate
and comply with the SAP-recommended treatment and any after-care or follow-up treatment that
may be recommended or required.
f. After successful treatment, for a Federal positive drug test (or alcohol test result of 0.04 percent or
greater), per the SAP’s requirements, the person must provide a Federal return-to-duty urine
specimen and/or breath specimen for testing (which is negative) prior to being allowed to return to
covered service. In addition, the person will be subject to additional unannounced Federal follow-
up testing, as determined by the SAP, for a maximum period of 60 months, with a minimum of six
tests being performed in the first twelve months (engineers – 6 drug tests and 6 alcohol tests).
Failure to comply with these provisions and remain alcohol and/or drug-free will result in
subsequent removal from covered service and could result in disciplinary action, up to and
including termination. Note: Federal regulation does not guarantee the employee will maintain an
employment relationship. This is determined via employer and employee negotiation. These
Federal return-to-duty and follow-up drug tests must be collected under direct observation.
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C. Negative Results
If the MRO has determined that the drug test is NEGATIVE, the MRO will accomplish the required
administrative review and report the negative results to this railroad’s DER who will provide the
employee with a negative report.
SECTION V: ALCOHOL TESTING PROCEDURES AND RESULTS
Breath alcohol testing will be performed by fully trained and certified Breath Alcohol Technicians (BAT)
using the National Highway Traffic Safety Administration (NHTSA) approved testing devices. The results
will be documented on an approved Federal Breath Alcohol Testing Form and will be signed by the
employee and the BAT. At the time of the alcohol test, the employee will receive a copy of the test result,
with an identical copy being sent to KRSA’s DER.
A. Positive Results
The BAT will immediately and directly notify KRSA’s DER if the test results are positive (0.02 percent or
higher) who will take appropriate action to remove or restrict the employee from covered service as
required by Part 219.
B. Negative Results
The DER will be mailed a copy of the negative test results.
SECTION VI: CONFIDENTIALITY
Medical information provided by the covered employee to the MRO during the verification process must
be treated as confidential by the MRO and not communicated to KRSA except as provided in Part 40. All
test results will remain exclusively in the secure files of the MRO, who will observe strict confidentiality
in accordance with the regulations and professional standards. The MRO will retain the reports of
individual test results as required in Part 219 Subpart J, Recordkeeping Requirements.
The testing laboratory must observe confidentiality requirements as provided in the regulations, and as
stipulated in the contract with KRSA. KRSA will not advise the laboratory of the identity of anyone
submitting specimens. The laboratory performing the testing must keep all records pertaining to the drug
test for a period of two (2) years.
The DER will retain all drug and alcohol testing results reported by the MRO, both positive and negative,
in a secure location with controlled access for a minimum of five (5) years as required in Part 219 Subpart
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J – Recordkeeping Requirements. Other personnel will be informed of individual test results only in the
case of positive tests and authorized only on a need-to-know basis.
SECTION VII: COMPLIANCE WITH TESTING PROCEDURES
A. Covered Employee Compliance
As a condition of employment, all covered service personnel/applicants are required to promptly comply
with a request to undergo a Federal drug and/or alcohol test. Refusal to submit to a federal drug or alcohol
test required under FRA rules, engaging in any conduct which jeopardizes the integrity of the specimen or
the reliability of the test result, or any other violations of the prohibited conduct in 49 CFR 219.101 or
219.102 could subject the person to disciplinary action (up to and including termination), independent and
regardless of any test result. This includes failure to appear on time for a drug/alcohol test; failing to
remain at the testing site until the testing process is complete, etc. (see 40.191). As a minimum, a covered
service person will be removed from FRA covered service for a minimum of nine (9) months if there is a
finding of “refusal to test.”
B. Federal Return-to-Duty and Follow-Up Collection Procedures
All DOT Federal return-to-duty and follow-up urine specimens must be collected under direct
observation, using the direct observation procedures in 40.67 (i), when the covered service employee has
had a previous positive Federal drug test result, or has previously refused to take a Federal test (including
adulteration or substitution). Note that a SAP may also require return-to-duty and follow-up “drug” tests in
addition to alcohol tests following an alcohol positive of 0.04 percent or greater.
Direct Observation Urine Collection Procedures: The collector (or observer) must be the same gender
as the employee. If the collector is not the observer, the collector must instruct the observer about the
procedures for checking the employee for prosthetic or other devices designed to carry “clean” urine and
urine substitutes AND for watching the employee urinate into the collection container. The observer will
request the employee to raise his or her shirt, blouse or dress/skirt, as appropriate, above the waist, just
above the navel; and lower clothing and underpants to mid-thigh and show the observer, by turning
around, that the employee does not have such a device.
1. If the employee has a device, the observer immediately notifies the collector; the collector stops the
collection; and the collector thoroughly documents the circumstances surrounding the event in the
remarks section of the testing form. The collector notifies the DER. This is a refusal to test.
2. If the employee does not have a device, the employee is permitted to return his/her clothing to its
proper position for the observed collection. The observer must watch the urine go from the employee’s
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body into the collection container. The observer must watch as the employee takes the specimen to the
collector. The collector then completes the collection process.
3. Failure of the employee to permit any part of the direct observation procedure is a refusal to test.
SECTION VIII: REHABILITATION
One in ten (10) drinkers is an alcoholic while other drinkers are dependent upon or abuse alcohol with
some frequency or regularity. Still other individuals are addicted to prescription medicines or other mood
altering chemicals. The effects of such dependency or abuse are reflected in deteriorating patterns of
family relationships, attendance, health, job performance and financial stability.
KRSA has established an Employee Assistance Program (EAP) to encourage employees to seek assistance,
on a voluntary basis, at the earliest indication that there may be a problem with or a dependency upon
alcohol and/or drugs. As with most other illnesses, early identification and proper treatment will improve
the probability of a successful recovery from this condition. However, individuals with an alcohol or drug
problem may not be willing to admit that the condition has advanced to the stage where intervention and/or
treatment are necessary. Accordingly, the program also provides a means whereby concerned employees
can identify a co-worker, on a confidential basis, who may benefit from assistance for the alcohol and/or
drug related condition.
The EAP, which provides an early alternative to continuing dependence and/or abuse and to probable
subsequent detection for violation of prohibited conduct, is designed to enable:
• An employee, another interested party or a family member of an employee, to request confidential
assistance for an employee for an alcohol and/or substance abuse problem prior to detection, and
possible discipline and maintain an employment relationship with KRSA
• Supervisors and co-workers to identify an employee who may be troubled with an alcohol and/or
substance abuse problem, and provide a means whereby intervention counseling may assist the
troubled employee in seeking assistance for the problem prior to detection and possible discipline
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Employee Assistance Professional: See Identifying Information, Appendix A
Substance Abuse Professional: See Identifying Information, Appendix A
Phone: ___________________________________ ___________________________________
A. Voluntary Referral Policy (Part 219.403)
An employee may request assistance while off-duty and unimpaired or when the assistance is requested for
the employee by another interested party or a family member.
A covered employee who enters and follows the tenets of this program will maintain his or her position
upon successful completion of the program. Before the employee is charged with conduct deemed by
KRSA sufficient to warrant dismissal, the employee must seek assistance through KRSA for his or her
alcohol or drug use problem or be referred for such assistance by another employee, by a representative of
the employee’s collective bargaining unit, or a supervisory employee. An employee may take advantage of
the voluntary referral policy one time only.
KRSA treats the referral and subsequent handling, including counseling and treatment, as confidential.
With respect to a certified locomotive engineer or a candidate for certification, the policy of confidentiality
is waived (to the extent that KRSA shall receive from the EAP Counselor official notice of the substance
abuse disorder and shall suspend or revoke the certification, as appropriate) if the person at any time
refuses to cooperate in a recommended course of counseling or treatment. Confidentiality is waived if the
employee at any time refuses to cooperate in a recommended course of counseling or treatment; and/or the
employee is later determined, after investigation, to have been involved in an alcohol or drug related
disciplinary offense growing out of subsequent conduct.
Any drug and/or alcohol testing conducted pursuant to this railroad’s voluntary referral policy is non-
Federal testing because a violation of Federal regulations has not occurred.
KRSA will allow an unpaid leave of absence of not less than 45 days for the necessary treatment and
rehabilitation of the drug and/or alcohol dependence. When the employee has accepted the aftercare
program developed by the SAP and has established control over the substance abuse problem, upon the
recommendation of the SAP, the employee shall be eligible to schedule a return-to-service medical
examination including breath and/or urine testing. When these requirements are satisfied, approval for
return-to-service shall not be unreasonably withheld.
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B. Co-Worker Report Policy (219.405)
A covered employee who enters and follows the tenets of this program will maintain his or her position
upon successful completion of the program. This policy applies to an employee following an alleged first
offense under Part 219 or KRSA’s alcohol and drug rules, subject to the conditions and procedures
contained in 219.405.
General Conditions and Procedures
1. The alleged violation must come to the attention of KRSA as a result of a report by a co-worker that
the employee was apparently unsafe to work with or was, or appeared to be, in violation of Part 219 or
KRSA’s alcohol and drug rules.
2. If KRSA representative(s) determines that the employee is in violation, KRSA will immediately
remove the employee from service in accordance with its existing policies and procedures.
3. The employee must elect to waive investigation on the rule charge and must contact the substance
abuse professional (SAP) within 48 hours.
4. The SAP must schedule necessary interviews with the employee and complete an evaluation within
10 calendar days of the date on which the employee contacts the professional with a request for
evaluation under the policy, unless it becomes necessary to refer the employee for further evaluation.
In such case, all necessary evaluations must be completed within 20 days of the date on which the
employee contacts the professional.
When Treatment Is Required
If the SAP determines the employee is affected by psychological or chemical dependence on alcohol or a
drug or by another identifiable disorder involving the abuse of alcohol or drugs as a primary manifestation,
the following conditions and procedures apply:
1. Leave of Absence — KRSA will, to the extent necessary for treatment and rehabilitation, grant the
employee an unpaid leave of absence of not less than 45 days from KRSA for the period necessary to
complete primary treatment and establish control over the employee’s alcohol or drug problem.
2. Agreement — The employee must agree to undertake and successfully complete a course of treatment
deemed acceptable by the SAP.
3. Return to Service — KRSA must promptly return the employee to service when the SAP
recommends that the employee has established control over the substance abuse problem. A
KEOLIS 49CFR PART 219 SUBMISSION Page 14
satisfactory return-to-service medical examination will also be required before the employee is
returned to service. Approval to return to service may not be unreasonably withheld.
4. Follow-Up Treatment — Following return to service, the employee, as a further condition on
withholding of discipline, may, as necessary, be required to participate in a reasonable program of
follow-up treatment for a period not to exceed 60 months from the date the employee was originally
withdrawn from service.
5. Follow-Up Testing — If there has been a violation of Federal regulations (219.101 or 219.102),
KRSA must conduct Federal return-to-service and follow-up tests (as described in 219.104) of an
employee who waives investigation and is determined to be ready to return to service under 219.405.
When Treatment is Not Required
If the SAP determines that the employee is not affected by an identifiable and treatable mental or
1. KRSA must return the employee to service within 5 days after completion of the minimum education
2. During or following the out-of-service period, KRSA will require the employee to participate in a
program of education and training concerning the effects of alcohol and drugs on occupational or
If there has been a violation of Federal regulations (219.101 or 219.102), KRSA must conduct Federal
return-to-service and follow-up tests (as described in 219.104) of an employee who waives investigation
and is determined to be ready to return to service under 219.405.
KEOLIS 49CFR PART 219 SUBMISSION Page 15
RANDOM DRUG AND ALCOHOL TESTING PROGRAM
Part I: Random Testing Pools
A. Each covered service employee of Keolis Rail Services America (KRSA) is subject to random drug
and alcohol testing under this program when they are performing, or scheduled to perform, service
under the Hours of Service Act. The KRSA covered service positions include Engineer, Conductor,
and Assistant Conductor. If a management employee is performing service in one of these positions on
the date his/her name has been selected, that management employee will also be tested. NOTE:
manager personnel names are placed in the testing pool only if they perform covered service at least
once per quarter. One random testing pool will be maintained for the purposes of this program.
B. Should other covered service positions be created in the future, the names of those employees assigned
those jobs will be added to the pool. Presently, the functions of other covered employees – dispatchers,
operators, and signal maintainers – are performed by CSX, Norfolk Southern and Amtrak employees
and subject to testing under their respective programs. The testing pool list will be updated monthly.
C. Testing may be performed at various times within the selected employee’s tour of duty; however, an
employee will not be required to exceed the hours of service in order to complete a random drug or
alcohol test unless something occurs during the random collection process that prompts a direct
observation test (e.g., the temperature is out of range). Then the test must be completed regardless of
the hours of service limitations.
Part II: Random Selection and Testing Procedures
A. Each covered employee will be entered into a selection pool of available employees by their
B. The number of tests selected will exceed the requirements of the FRA. All tests will include both Drug
and Alcohol screening through a random-date computer generated program to ensure the perception
that tests can occur at any time during the year. The process will be administered by the TPA using a
non-biased approved software. These random testing dates will be known only to the DER and TPA
and will be kept in a secure location.
C. On a monthly basis, our Third Party Administrator will generate a specified number of randomly
selected employee numbers from the most recently updated pool list (using a computer program to
randomly select the employee number). All tests will include screening for both drugs and alcohol.
D. Upon receipt of the selected names, the DER will notify the employee’s supervisor and request that the
employee be tested during that employee’s next duty tour. Careful consideration will be exercised to
KEOLIS 49CFR PART 219 SUBMISSION Page 16
ensure that collections be unpredictable within a work shift, that is, conducted variously at the
beginning, middle and end. All selectees will be tested within 28 days of random selection, but not
past the end of the month.
E. Specific reasons for “no-tests” must be documented in writing by the employer with records retained
for two (2) years. Acceptable reasons for no-tests should relate to critical safety concerns, unforeseen
or unpredictable significant adverse impact to operations, or employee illness or vacation.
Part III: Testing Rate
A. The minimum percentage of alcohol testing at either end of the duty period is 10 percent over the
course of the year. KRSA will test at a minimum 10 percent rate for alcohol and 25 percent rate for
drugs. Presently KRSA has approximately 60 employees subject to performing service covered by the
Hours of Service. (KRSA has a goal of testing at 33% for both drugs and alcohol. Subsequent changes
in employment levels will result in adjustments to the number of employees to be randomly tested
consistent with the minimum federally established testing rate requirements.
B. The exact dates and names which were randomly selected will be known only to the DER and TPA in
order to assure the expectancy of each employee that they may be subject to random testing on any
date in which covered service is performed. All information and documents pertaining to the selection
process, the names for employees randomly selected to furnish urine and breath samples, and the dates
on which the sampling will occur will be known only to the DER and TPA until the latest possible
time prior to the collection. All such documents will be kept in a secure location.
Part IV: Notification/Documentation
A supervisor will be advised of the name selected for testing and instructed to present the employee for
testing at the designated time and location. The employee to be tested will be advised of the testing at the
latest possible time prior to the test or when the supervisor accompanies the employees to the test site.
A. The notification to the employee will serve as the required notice after it has been determined that the
collector is or will be available at the testing facility. A Supervisor will verbally advise the employee
that they were selected for testing on a random basis.
KEOLIS 49CFR PART 219 SUBMISSION Page 17
B. The employee who is performing covered service at the time of notification of random selection shall
proceed to the testing site as soon as possible, consistent with railroad safety.
C. Specimen collection should begin as promptly as possible after arrival at the test collection site.
Presentation to the employees of the completed Copy 5, of the Federal Drug Test Custody and
Control Form, will service as the required notice to the employees.
D. These random testing records are required to be maintained for two (2) years. This includes:
• An electronic or hard copy of the random testing pool each time selections are made
• A copy of the list of selected employees
• A copy of the drug chain of custody form and/or alcohol testing form
• The documented reason for not testing any of the selected employees
Part V: Emergencies/Unusual Occurrences
A. Under certain extreme conditions, selected names may be excused from testing on the date selected.
These conditions include, but are not limited to, an employee’s injury or illness requiring immediate
medical attention, an employee’s family emergency of a critical nature, vacation, or other
extraordinary circumstances. A person excluded under these criteria must provide substantiation from
a credible outside professional (e.g., doctor, hospital, law enforcement officer, school authority, court
official) which can be furnished within a reasonable period of time after the emergency has been
resolved. Such excluded (excused) persons will not be tested based on this selection
B. The Supervisor responsible for the collection event will determine whether an employee shall be
excused or considered unavailable for testing due to the limited conditions specified above. If
assistance is required in making such determination, the Supervisor shall contact the DER, Senior
Director of Operations or the General Manager for the VRE service.
C. If an employee is excused or considered unavailable for testing, the Supervisor shall prepare a written
explanation fully documenting the reasons for the excuse or business day. NOTE: An employee who
does not remain available for testing after notification of random selection, will be considered as
having refused testing and deemed disqualified for a period of not less than nine (9) months.
D. Should an employee be unable to provide a minimum urine specimen of forty-five (45) mL, (shy
bladder), the collector will direct the employee to remain at the collection site and offer the employee
up to forty (40) ounces of fluid (not limited to water), distributed reasonably through a period of up to
three (3) hours, or until the individual has provided a new forty-five (45) mL urine specimen,
whichever comes first. If after a period of three (3) hours (from the first specimen collection attempt)
the employee is still unable to provide an adequate specimen, testing will be discontinued and the
KEOLIS 49CFR PART 219 SUBMISSION Page 18
Program Administrator notified of the shy bladder situation. The MRO shall refer the employee for a
medical evaluation to determine if there is an acceptable physical or psychological reason for the
employee’s inability to provide the specimen or if it constitutes a refusal. The MRO will review the
determination and report the findings to the Program Administrator. If the inability to provide a
specimen is judged a refusal, the employee shall be disqualified for a period of nine (9) months. The
employee will not exceed the hours of service while scheduled for a random drug test, unless
something occurs during the random collection that prompts a direct observation test (e.g., the
temperature is out of range). Then the test must be completed regardless of the hours of service
E. Should an employee attempt and fail to provide adequate breath for a breath alcohol test (shy lung), a
licensed physician must evaluate the employee as soon as possible to determine if a legitimate medical
condition exists or if it constitutes a refusal. If the inability to provide a breath sample is judged a
refusal, the employee shall be disqualified for a period of nine (9) months.
Part VI: Procedures and Safeguards
A. As specified in 49 CFR Parts 219 Subpart H and 49 CFR Part 40, only laboratories currently certified
under the Department of Health and Human Services (DHHS) “Mandatory Guidelines for Federal
Workplace Drug Testing Programs” will be used to analyze the urine specimens collected under the
random testing program for the presence of prohibited drugs.
B. Nationwide Drug Testing, a contract service whose employees are trained and qualified in 49 CFR
Part 40 – Procedures for Transportation Workplace Drug Testing Programs, has been retained to
perform the random drug and alcohol collection services for KRSA. Nationwide Drug Testing
collectors shall strictly follow DOT procedures in order to ensure the integrity of the specimen
C. The “split sample” method of urine drug specimen collection will be used and the specimen screened
for the presence of marijuana, cocaine, phencyclidine (PCP), opiates (morphine and codeine), and
amphetamines as specified in Section 219.705.
D. The approved Federal Drug Testing Custody and Control form will be completed and appropriately
distributed upon completion of the collection process. The form will be used to maintain control and
accountability of each specimen from the point of collection to its final disposition.
E. Upon completion of the collection, collection site personnel will ensure the specimens are sealed in
tamper-evident shipping containers to be transported to the designated certified laboratory.
F. The Breath Alcohol Technician (BAT) shall be trained to proficiency in the operation of the evidential
breath testing (EBT) device he/she is using in the alcohol testing procedures. Documentation of
training and proficiency testing of each BAT shall be retained by Nationwide Drug Testing for 2 years.
KEOLIS 49CFR PART 219 SUBMISSION Page 19
Additionally, the EBT used in alcohol screening and confirmation tests shall have a quality assurance
plan (QAP) developed by the manufacturer of the device, which designates the method used to
perform calibration tests of the device at specified intervals. Inspection and maintenance records shall
be retained for 2 years; calibration records for each EBT will be retained for 5 years.
G. Any employee subject to random testing who tampers with or refuses to provide a urine or breath
sample will be subject to suspension from covered service for a minimum period of nine (9) months.
Part VII: Medical Review Officer and Program Administrator
A. Dr. Paul Teynor is designated as the Medical Review Officer (MRO) for the Virginia Railway Express
B. Mr. Larry McNulty, Manager of Safety and Training, is designated as the Designated Employer
Representative (DER). The Operations Manager is designated as the Assistant Designated Employer
Representative (DER) who may act on behalf of the DER when necessary.
C. Following transport of the urine drug specimen to the certified laboratory, only the MRO will have any
contact with the laboratory. The MRO will receive the drug test results directly from the laboratory. If
a test result is negative, that result shall be promptly transmitted to the employee and reported to the
Program Administrator. If a result is positive, the MRO will interview the employee for the purpose of
securing a medically legitimate reason for such positive test result. If, after interviewing the employee
and reviewing medical records, medical history and other bio-medical factors, the positive test result is
determined to be medically appropriate, the MRO shall report a negative test result to the DER.
He/She may not disclose the legitimate medical use of drugs permitted under 219.103 to any non-
medical railroad personnel or any other third party unless, in the MRO’s reasonable judgment, the
employee’s continued performance of his/her safety-sensitive function could pose a significant
D. The MRO musts notify each employee who has a confirmed positive drug test that they have 72 hours
in which to request a test of the “Split Sample” which will be sent to another DHHS certified
laboratory for analysis. If the result of the second test is negative, the test result will be considered
negative and so reported to the DER. If the result of the second test is positive, the test result will be
considered a verified positive and reported as such to the DER.
Part VIII: Procedures for Action Based on Positive Test Results
A. When a verified positive drug test result is reported by the MRO (as determined in accordance with
the MRO review process in Part VIII) to the DER, the employee will be given notice of his/her
removal from covered service.
KEOLIS 49CFR PART 219 SUBMISSION Page 20
B. Should the random alcohol screening test result in an alcohol concentration less than 0.02 it will be
considered negative and no further testing will be required. If a screening test results in an alcohol
concentration of 0.02 or greater, a confirmatory test shall be performed.
C. If the confirmation test results in an alcohol concentration of 0.02 or greater but less than 0.04 the
employee shall not be allowed to perform covered service until the start of the employee’s next
regularly scheduled tour of duty, but not less than eight (8) hours following the administration of the
confirmation test that was conducted as a result of the positive results of the initial test.
D. If the confirmation test results in an alcohol concentration of 0.04 or greater the employee will be
deemed as producing a positive breath sample and removed from covered service under federal
E. Employees removed from covered service as a result of a violation of the prohibition of alcohol and
drug use (219.101 and .102) will be given the opportunity for a prompt hearing, that is, within ten (10)
calendar days of the employee’s removal from service, subject to the employee’s availability. Further
details of company responsive actions to positive drug/alcohol test results are contained in the KRSA
Drug and Alcohol Policy, Applicable to Hours of Services Personnel, (Pursuant to 49 CFR Part 219).
The employee will also be informed of the Employee Assistance Plan.
F. A covered service person with a positive drug test or a breath alcohol test result of 0.04 percent or
greater will be required to undergo an evaluation by a qualified Substance Abuse Professional (SAP)
to determine the need for treatment and/or education. The employee will be required to participate and
comply with the SAP-recommended treatment and any after-care or follow-up treatment that may be
recommended or required.
G. After successful treatment, the person will be required to provide a Federal return-to-duty urine
specimen and/or breath specimen for testing (which is negative) prior to being allowed to return to
covered service. In addition, the person will be subject to additional unannounced Federal follow-up
testing, as determined by the SAP, for a maximum period of 60 months, with a minimum of six tests
being performed in the first twelve months (engineers – 6 drug tests and 6 alcohol tests). Failure to
comply with these provisions and remain alcohol and/or drug-free will result in subsequent removal
from covered service and could result in disciplinary action, up to and including termination.
All DOT Federal return-to-duty and follow-up urine specimens must be collected under direct
observation (using the new direct observation procedures in 40.67 (i)) when the covered service
employee has had a previous positive Federal drug test result, or has previously refused to take a
Federal test (including adulteration or substitution). Note that a SAP may also require return-to-
duty and follow-up “drug” tests in addition to alcohol tests following an alcohol positive of 0.04
percent or greater.
KEOLIS 49CFR PART 219 SUBMISSION Page 21
Part IX: Communication
Upon receipt of notice from the FRA Associate Administrator for Safety that this program is approved as
consistent with the criteria set forth in 40 CFR Part 219, all employees subject to the Hours of Service Act
will be issued a copy of this Program and a copy of the Drug and Alcohol Policy, Applicable to Hours of
KEOLIS 49CFR PART 219 SUBMISSION Page 22
Keolis Rail Services America
Drug and Alcohol Compliance Program
NOTE: If any of the following personnel or entities change, KRSA is obligated to send
FRA a change notice.
Railroad: Keolis Rail Services America
Name: Larry McNulty
Address: Keolis Rail Services America
10660 Wakeman Court, Manassas, VA 20110
Designated Employer Representative (DER)
Name: Larry McNulty
Address: (if different from above) _________________________________________________________
Phone: ___________________________________ Fax: _______________________________________
Assistant Designated Employer Representative (ADER)
Name: Ben Cornelius
Address: (if different from above) _________________________________________________________
Phone: ___________________________________ Fax: _______________________________________
KEOLIS 49CFR PART 219 SUBMISSION Page 23
Medical Review Officer (MRO)
Dr. Paul Teynor
PO Box 9800Salt Lake City, UT 84109 (p) 801-486-5400
Clininical Reference Laboratory8433 QuiviraLenexa, KS 66215
Employee Assistance Program (EAP)
Life Work Strategies
Website - www.lifeworkstrategies.com
Access Code: Keolis
Substance Abuse Professional (SAP)
Bobbie Jaeger, LCSW, CSAC, CEAP
3801 N. Fairfax Drive
Suite 62 Arlington, VA 22203
KEOLIS 49CFR PART 219 SUBMISSION Page 24
VRE Broad Run Yard
10637 Piper Lane
Bristow, VA 20136
VRE Crossroads Yard
9400 Crossroads Parkway
Fredericksburg, VA 22408
KEOLIS 49CFR PART 219 SUBMISSION Page 25
MANDATORY POST-ACCIDENT TOXICOLOGICAL TESTING
Authority CFR 49, Part 219 – Control of Alcohol and Drug Use, Subpart C – Post-Accident
Toxicological Testing, Sections 201, 203, 205-207, 209 and 213.
Conditions All accident events (not incidents) must meet the reportable railroad property damage
in excess of the current reporting ($9,400 in 2011) threshold AND involve one or
more of the following:
Major Train Accident
• A fatality
• A release of hazardous material lading from railroad equipment accompanied by
a. An evacuation, or
b. Reportable injury resulting from the hazardous material release;
e.g., from fire, explosion, inhalation or skin contact with the material
• $1,000,000 or more damage to railroad property
All involved HOS employees must be tested.
• A reportable injury
• $150,000 or more damage to railroad property
All involved HOS employees that cannot be excluded must be tested.
Passenger Train Accident
• A reportable injury to any person
All involved HOS employees that cannot be excluded must be tested.
Fatal Train Accident
• Any train incident that involves a fatality to any on-duty railroad employee
• Employee must be tested if death occurs within 12 hours of the incident
All involved HOS employees that cannot be excluded must be tested.
KEOLIS 49CFR PART 219 SUBMISSION Page 26
Exclusions • Highway grade crossings
• Natural disasters (flood, tornado or earthquake)
Where to Test Blood and urine must be collected at an independent medical facility using the
required FRA Post-Accident testing kit.
Breath alcohol test may be conducted at an appropriate collection site that provides
visual and aural privacy.
Who Can Test Blood and urine – a qualified medical professional.
Breath alcohol test must be administered by a certified Breath Alcohol Technician
(BAT). BAT must furnish DOT breath alcohol form for testing. There is not one in the
ToxBox. A copy of the completed breath alcohol test must be made for inclusion in
Time Tests must be conducted as soon as possible after the accident or incident.
Limits No hours-of-service limits
Documentation is required for describing the delays if post-accident tests cannot be
conducted with four hours of the qualifying event.
KEOLIS 49CFR PART 219 SUBMISSION Page 27
Definition Following each accident/incident that qualified for post-accident testing, KRSA shall
take all practicable steps to assure the involved employees provide urine and blood
samples for toxicological test by the FRA’s Laboratory.
Duty Status Employees shall be retained in duty status for the period necessary to make the
and Recall the determinations for testing and if required until testing is complete. Employee may
not be recalled for testing if he or she has been released from duty under normal
• May be immediately recalled if employees went off duty under normal procedures
prior to being instructed by KRSA to remain on duty pending required
determination of accident or incident if:
a. Preliminary investigation indicates a clear probability employee played a role
in the cause or severity of the accident/incident and
b. Accident/incident actually occurred during the employees tour of duty.
Exceptions Employee should not perform duties after the triggering event except duties that may
be necessary for the preservation of life or property. If safe to do so, a passenger train
may continue to the next station. A relief crew shall be called to relieve the train crew
as soon as possible.
Fatality In the case of an employee fatality in an accident/incident that qualified for post-
accident testing, body fluid and/or tissue samples shall be obtained from the remains
of the employee for toxicological testing. KRSA shall make the FRA shipping kit
available to the local authority for sample collection.
If the appropriate local official (such as a coroner or medical examiner) declines to
cooperate in collecting the necessary sample, KRSA shall immediately notify FRA at
800 424-8802, providing the following information:
• Date and location of the accident/incident
• Railroad involved
• Name & telephone number of the local authority or custodian of the remains, and
• Name and telephone number of local authority to contact
KEOLIS 49CFR PART 219 SUBMISSION Page 28
All collections should follow those instructions in the FRA kit that are directed to the
Reporting Once collection process is completed, KRSA representative shall notify the Office of
to the FRA Safety, FRA at 202-493-6313 during working hours (8:30 a.m. to 5:00 p.m.) or the
next working day or leave information on answering machine:
• Name of railroad
• Name, title and telephone number of railroad representative making the report
• Time, date and location of the accident/incident
• Brief summary of the circumstances of the accident/incident, including basis
for testing, and
• Number, names and occupation of employees tested.
KEOLIS 49CFR PART 219 SUBMISSION Page 29
FRA TOXBOX COLLECTION PROCEDURES,
CONTENTS AND HANDLING
The employees must be transferred to an independent medical facility for testing.
• You may not do FRA mandatory post-accident toxicological urine and blood collections on
• Breath alcohol testing may be done on railroad property.
An FRA Toxicology testing kit (ToxBox) must be used. DO NOT USE kits or custody forms used in
your own Random or Reasonable Cause Testing.
The FRA ToxBox has several sets of instructions. You must read yours each time you are supervising a
mandatory post-accident test. Instructions are to:
• Railroad representative
• Each employee tested
• Medical facility
• Blood collector
• Urine collector
• Medical examiner, when there is a fatality
The FRA ToxBox includes collections supplies for three employees. Each collection box contains:
• 1 collection cup
• 2 urine specimen bottles (split specimen is required)
• 2 blood tubes
The FRA ToxBox also has 1 zip-lock bag containing 1 FRA Form 6180.73 – Accident Form – to be filled
out by KRSA representative and 3 copies of FRA Form 6180-74 – Post-Accident Custody and Control
Forms – to be filled out by each employee tested and by both the urine and blood collector (which could be
the same person), dye for bluing the toilet water, pens for completing paper work, tape for sealing the kit
and mailing label to be placed on the outside of the kit for shipment.
KEOLIS 49CFR PART 219 SUBMISSION Page 30
When the testing is complete and the forms filled out properly, all unused supplies should be returned to
the ToxBox along with the specimen collections and forms. Each set of forms is clearly marked on the
bottom to indicate who they should be given to or where they should be placed.
All those marked “FRA” (white) go in the ToxBox to the Laboratory, along with the Laboratory
Medical Review Officer (pink) – is mailed to your MRO.
Each employee tested gets a copy (green).
Collection Site retains a copy (yellow). If blood sample is done by medical facility personnel and urine
specimen is collected by your contract collector, a copy needs to be made so that each collection
site/person can retain a copy.
Employer copy (blue) goes to KRSA representative. All records pertaining the mandatory post-accident
test should be maintained in a central location.
Once the ToxBox has been packaged for shipment, it must be shipped as soon as possible by prepaid air
express courier service or air freight (or other means adequate to ensure delivery within 24 hours from the
time of shipment) to:
1777 Montreal Circle
Tucker, GA 30084
1-800-729-6432 (Monday through Saturday)
KRSA representative must call the laboratory to report the method of shipment and its approximate
time of arrival.
DO NOT SEND TO YOUR CONTRACTED LAB!
KEOLIS 49CFR PART 219 SUBMISSION Page 31
WHAT YOU NEED TO KNOW ABOUT FEDERAL
DRUG AND ALCOHOL TESTING
Federal drug & alcohol testing in the railroad industry must comply with DOT and FRA Federal
regulations/procedures. This flier is a cooperative effort among the FRA, DOT, AAR, ASLRRA, ATDA,
BLET, BRS, and UTU to provide covered service employees like you with the information you need to
comply with Federal testing. Any other testing would be conducted under company authority.
• DOT and FRA testing regulations (49 CFR Parts 40 and 219) apply to all employees covered under the
hours of service law (e.g., train and engine employees, dispatchers, and signal employees).
• Always conduct yourself in a business-like manner and do not joke or make fun of the collection
process. Testing is part of your responsibilities as a safety-sensitive rail employee.
• Follow the specimen collector’s instructions; e.g., remove your coat and empty your pockets.
• Be alert during the collection process and save the copies of the forms that are given to you.
• The paper form that is used to record the testing information will identify whether the test is under
Federal or company authority, and state the reason for the test. A special form is used for FRA post-
• Only the results of a Federal test (positive, adulterated or substituted drug test; positive alcohol test -
concentration of 0.04 or more; or refusal) trigger Federal sanctions, which include engineer
decertification under Part 240.
• If you feel you have been wrongfully charged with a Federal drug or alcohol violation, you are entitled
to a railroad hearing per 219.104 (c).
• Testing for drugs requires a urine specimen. Testing for alcohol uses a breathalyzer or a saliva swab
(blood is taken for FRA post-accident testing only).
Drug and Alcohol Prohibitions
You are in violation of Federal regulations if you are in possession of alcohol or illegal drugs while
assigned to perform covered service; or if you use alcohol on duty; or within 4 hours of reporting for
covered service; or after receiving notice to report (whichever is the lesser period). Use of illegal drugs is
prohibited on or off-duty.
KEOLIS 49CFR PART 219 SUBMISSION Page 32
Alcohol Concentration Below 0.02 — A railroad may not use a Federal test result below 0.02 for
Federal or company action. Breathalyzers are not certified at levels below 0.02, so a test result below
0.02 is negative.
Alcohol Concentration 0.02 to 0.039 — If you are on railroad property with an alcohol test result from
0.02 through 0.039, your test result is “positive” for alcohol, and the railroad must remove you from
covered service for at least 8 hours. The railroad is not prohibited from taking further disciplinary action
under company policy.
Alcohol Concentration 0.04 or More and/or Illegal/Unauthorized Drug Use — If you test positive for
illegal or unauthorized drugs, and/or if you test positive for alcohol at 0.04 or higher, you are in “violation”
of the Federal rules and the railroad must remove you from covered service. To be allowed to return to
covered service, you must first:
• Complete the Federal return-to-duty requirements, including evaluation by a Substance Abuse
Professional and any recommended education and/or treatment. You must also have a negative result
on your Federal return-to-duty test.
• If the railroad chooses to return you to duty, you will have to take Federal follow-up tests for up to five
years. You will take a minimum of six follow-up tests in the year after you return to work.
Drugs Tested — A certified laboratory tests your urine specimen for marijuana, cocaine, opiates,
amphetamines, & PCP.
Non-Negative Drug Test — The testing laboratory will report a non-negative (positive, adulterated,
invalid, or substituted result) to your railroad’s Medical Review Officer (MRO).
• If your test result is non-negative, the MRO will interview you to determine whether you have a
legitimate medical explanation for your test result (for example, use of a prescribed medication).
• The MRO will inform you of your right to request a test of your “split specimen” at a different
laboratory. The railroad may charge the cost of testing your split specimen back to you if your split
specimen test result is positive; and you only have 72 hours to make this request.
Prescription and Over-the-Counter Medications
You must inform one of your treating physicians of all the prescribed and over-the-counter drugs you are
taking so that your doctor can determine if your use of these drugs is consistent with the safe performance
of your duties.
• You must use the medication at the doctor’s prescribed or authorized dosage.
KEOLIS 49CFR PART 219 SUBMISSION Page 33
• The railroad may require you to obtain prior approval for any drugs you are taking.
• Use Only Prescriptions in Your Name — You may only legally use medications prescribed for you.
You are not authorized to use medication prescribed for someone else, such as medications prescribed
for your spouse, parents, or children. Using someone else’s prescription drugs can result in a positive
Federal test result.
Direct Observation Urine Collection
Federal regulations require a collector or observer to directly observe you while you provide your urine
• Your previous urine specimen was out of normal temperature range, or
• The collector previously observed you attempting to tamper or substitute a specimen, or
• Your previous test result was invalid due to an interfering substance and you did not have a legitimate
medical explanation, or
• Your split specimen could not be tested following a non-negative test result
The railroad may also collect your specimen under direct observation if your test is a return-to-duty or
follow-up test. The collector (or the observer) must be of the same gender as you for direct observation
Shy Bladder (if you have difficulty providing a urine specimen)
After your first unsuccessful attempt to provide an acceptable specimen, you have up to 3 hours to produce
a single specimen of sufficient volume (you can’t combine specimens). You can consume up to 40 ounces
If you do not provide a specimen within those 3 hours, you must undergo a medical evaluation to
determine if there was a medical reason for your inability to do so. If a physician determines that there was
no medical reason for your failure to provide a urine specimen, you will be charged with a refusal.
Hours of service limitations generally apply to random collections except when the collector determines a
direct observation collection is required (as referenced above).
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Refusal to Test
A refusal to take a Federal test usually has harsher penalties than a positive test result. Never refuse to
cooperate with the testing requirements. Take the test and if needed, address any issues you have later.
A refusal includes:
• Failure to appear for a test
• Failure to remain at the testing site
• Failure to cooperate with the testing process
• Failure to provide a sufficient amount of breath or urine (without an adequate medical explanation as
determined by a physician through a required medical evaluation)
• Adulteration or substitution of your urine specimen
There are only a few procedural errors serious enough to be considered “fatal” flaws that cause a Federal
drug or alcohol test to be cancelled. A fatal flaw is a non-correctable procedural error which calls into
question whether the specimen tested was really yours or whether the test result on your specimen was
correct (for example, if the specimen ID numbers on your specimen bottle do not match those on your test
Highway/Rail Grade Crossing Accidents
If you are involved in a collision at a grade crossing and a law enforcement officer asks you to take a drug
and/or alcohol test, advise him/her that FRA does not permit railroads to conduct Federal post-accident
testing on train crews involved in grade crossing collisions. Since FRA regulations cover this situation,
State and local laws on toxicological testing after rail accidents usually do not apply. But, an officer can
still require you to be tested if he or she has “probable cause” to suspect that you were impaired (this has to
be more than just the fact that an accident occurred - for example, the officer finds an open beer bottle in
the cab) at the time of the accident. FRA does not advise resistance to law enforcement action. You must
comply if the officer decides to test you. A carrier officer should become involved in this discussion
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Voluntary Referral and Co-Worker Report Policies
• Your railroad employer must have both of these programs available if you decide to voluntarily initiate
action to address a substance abuse problem, whether that problem is yours or a co-worker’s.
• If you ask for help or a co-worker refers you under one of these programs, the railroad must keep you
in their employment, maintain your confidentiality, and provide you up to 45 days leave of absence
• You must follow the program’s guidelines to maintain these employee protections. The railroad is
required to offer you only one “bite at the apple,” but programs vary. Check with your employer.
• For more complete information review 49 CFR Part 40 and Part 219, ask your union representative, or
your employer’s Designated Employer Representative (DER) to share additional information with you.
Text of the CFR is available at http://www.fra.dot.gov (site search for Drug and Alcohol Program).
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