21A - Drug Alcohol Program

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21A - Drug  Alcohol Program Powered By Docstoc
					Drug and Alcohol Policy
  Applicable to Hours of Service Personnel
         49 CFR Part 219

                February 8, 2011

                  Prepared for:
          Federal Railroad Administration
            1200 New Jersey Ave., SE
             Washington, DC 20590

                   Prepared by:
         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



KEOLIS 49CFR PART 219 SUBMISSION                                                                                                         Page ii
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




KEOLIS 49CFR PART 219 SUBMISSION                                                                                                    Page iii
  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.

  A. Prohibitions

  1. No employee may use or possess alcohol or any controlled substance while assigned to perform
     covered service.

  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




KEOLIS 49CFR PART 219 SUBMISSION                                                                        Page 1
  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
  management.

  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
  or requirement.




KEOLIS 49CFR PART 219 SUBMISSION                                                                            Page 2
  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
  Testing Programs.

  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




KEOLIS 49CFR PART 219 SUBMISSION                                                                          Page 3
  being required (e.g., random, reasonable suspicion, pre-employment) will satisfy federal notification
  requirements.

  Per 49 CFR Section 40.85, all federal urine drug tests will be analyzed for the presence of:
  •   Marijuana
  •   Opiates (morphine, codeine, heroin)
  •   Phencyclidine (PCP)
  •   Cocaine
  •   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.




KEOLIS 49CFR PART 219 SUBMISSION                                                                           Page 4
     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
     be conducted:

     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
         or errors:
         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
                 (if required)
         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




KEOLIS 49CFR PART 219 SUBMISSION                                                                             Page 5
          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:
          •   Fatality
          •   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




KEOLIS 49CFR PART 219 SUBMISSION                                                                          Page 6
     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
         as follows:




KEOLIS 49CFR PART 219 SUBMISSION                                                                            Page 7
     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.




KEOLIS 49CFR PART 219 SUBMISSION                                                                           Page 8
     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
        in 40.139.
     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.




KEOLIS 49CFR PART 219 SUBMISSION                                                                             Page 9
  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




KEOLIS 49CFR PART 219 SUBMISSION                                                                         Page 10
  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



KEOLIS 49CFR PART 219 SUBMISSION                                                                         Page 11
      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




KEOLIS 49CFR PART 219 SUBMISSION                                                                            Page 12
  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.


  Employment Relationship

  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.

  Confidentiality

  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.



KEOLIS 49CFR PART 219 SUBMISSION                                                                            Page 13
  B. Co-Worker Report Policy (219.405)

  Employment Relationship

  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
  physical disorder:
  1. KRSA must return the employee to service within 5 days after completion of the minimum education
     requirements.
  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
     transportation safety.
  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
                        APPENDIX A
          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
     Employee Number.
  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
      limitations.
  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
     collection process.
  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
     Service.
  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
     safety risk.
  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
     regulations.
  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
  Service Personnel.




KEOLIS 49CFR PART 219 SUBMISSION                                                                         Page 22
                               Keolis Rail Services America
                          Drug and Alcohol Compliance Program

                            IDENTIFYING INFORMATION

  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
  Phone:            703-369-6227
  Fax:              703-369-6229
  E-Mail:           lmcnulty@keolis.com


  Designated Employer Representative (DER)

  Name:             Larry McNulty

  Address: (if different from above) _________________________________________________________

  Phone: ___________________________________ Fax: _______________________________________

  E-mail: __________________________________


  Assistant Designated Employer Representative (ADER)

  Name:              Ben Cornelius

  Address: (if different from above) _________________________________________________________

  Phone: ___________________________________ Fax: _______________________________________

  E-mail: __________________________________




KEOLIS 49CFR PART 219 SUBMISSION                                                          Page 23
  Medical Review Officer (MRO)
  Dr. Paul Teynor
  InterMountain MRO
  PO Box 9800Salt Lake City, UT 84109 (p) 801-486-5400

   (f) 801-486-5454



  Testing Laboratory
   Clininical Reference Laboratory8433 QuiviraLenexa, KS 66215


  Employee Assistance Program (EAP)
  Life Work Strategies
  Website - www.lifeworkstrategies.com
  Access Code: Keolis
  1-877-252-8550



  Substance Abuse Professional (SAP)
  Bobbie Jaeger, LCSW, CSAC, CEAP
  3801 N. Fairfax Drive
  Suite 62 Arlington, VA 22203
  703 472-0340




KEOLIS 49CFR PART 219 SUBMISSION                                 Page 24
  Collection Site(s)
  Manassas, VA
  VRE Broad Run Yard
  10637 Piper Lane
  Bristow, VA 20136




  Fredericksburg, VA
  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.


                Impact Accident
                •   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)
                  •   Vandalism


  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
                  the ToxBox.

  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
  Testing Responsibilities
  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
                procedures except:

                •   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
                medical examiner.

  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
          railroad property.
      •   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
  (gold) copies.

  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:

      Quest Diagnostics
      1777 Montreal Circle
      Tucker, GA 30084
      1-800-729-6432 (Monday through Saturday)
      Fax: 770-936-5012

  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-
      accident testing.
  •   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
  specimen if:

  •   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
  collections.

  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
  of fluid.

  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).




KEOLIS 49CFR PART 219 SUBMISSION                                                                         Page 34
  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


  Fatal Flaws
  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
  form).


  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
  immediately.




KEOLIS 49CFR PART 219 SUBMISSION                                                                            Page 35
  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
      for treatment.
  •   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).




KEOLIS 49CFR PART 219 SUBMISSION                                                                       Page 36
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