Human Resources Policy Manual (HRPM)

Human Resources Operating Instructions (HROI)

Number range CHAPTERDrugs and Alcohol

**This HROI established:** May 9, 2008

**This version effective:** May 9, 2008

**Background information:** This HROI is established to supplement DOT
Order 3910.1(series) (link to
http://dothr.ost.dot.gov/hrprograms/drugandalcohol/DOT%20Order%203910.1C%20Revised_08_08_06.pdf)
to provide for specific procedures pertinent to the FAA.

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1.  **Background:** The Federal Aviation Administration (FAA) is
    committed to the departmental policy of maintaining a drug- and
    alcohol-free workplace. The FAA takes its responsibility for
    aviation safety and security seriously and is especially concerned
    when an employee's use of drugs or alcohol, on- or off-duty, could
    affect the safety or security of the flying public. The maintenance
    of a safe and effective transportation system demands, in
    particular, that those employees whose jobs involve significant
    responsibilities affecting public safety and national security
    remain totally drug-free and alcohol-free in the workplace.

A determination by the FAA to initiate action on the basis of illegal
drug use or alcohol misuse is warranted since such misconduct is
inconsistent with the mission of the FAA and the nature of the
employee\'s duties. Safety- and security-sensitive jobs are classified
as Testing Designated Positions (TDP) and these positions are subject to
drug and alcohol testing.

Incumbents of TDP positions require the highest degree of trust and
confidence. As such, these employees are held to a higher standard of
conduct than other FAA employees pertaining to the use of drugs and
alcohol, both on and off the job.

Employees occupying TDPs must assure not only that their on-duty state
of mind and diligence is above reproach, but that their off-duty conduct
does not cause the FAA concern for their health, well being and/or
judgment. The job responsibilities of individuals occupying
safety-sensitive positions are so sensitive that the FAA can insist not
only that the employee perform his/her work capably, but that the
employee avoid other conduct that would indicate irresponsibility or
lack of judgment that is incompatible with the position. Off-duty
conduct that poses a potential threat to the capability to safely
perform critical mission duties will result in the initiation of
appropriate corrective measures.

FAA employees are required to immediately inform the Employee Assistance
Program (EAP) or Office of Aerospace Medicine (AAM) officials when a
lifestyle develops, such as excessive use of alcohol, which is
considered adverse to the continuing ability to safely/securely perform
TDP duties. It is in the best interest of the employee to self-refer to
the EAP prior to being identified through some other means. A
determination by management that an employee has engaged in off-duty
conduct that constitutes a drug or alcohol violation may be made on the
basis of an administrative inquiry that produces evidence of drug- or
alcohol-related misconduct.

Employees occupying non-Testing Designated Positions (non-TDP) must also
assure that their conduct does not violate the basic DOT/FAA policy of a
drug- and alcohol-free workplace. As specified in this Human Resource
Operating Instruction (HROI) and HROI, Table of Penalties, certain
misconduct will result in a proposed adverse action, up to and including
removal, on a first offense. Employees must assure that off-duty
behavior does not negatively impact their conduct and/or performance on
the job or the agency.

2.  **Definitions:**

**Last Chance Agreement (LCA):** A LCA includes pertinent information
that clearly defines the terms and conditions of the employee's
employment and that failure to comply will result in the implementation
of a disciplinary/adverse action. The LCA is developed and monitored by
the responsible management official. Only the management official may
make changes to the LCA.

**Treatment and Rehabilitation Plan (TRP):** The TRP includes a
diagnosis, the employee's clinical status and the treatment and
rehabilitation requirements that must be followed. The FAA affords an
employee only one opportunity to enter and successfully complete an FAA
EAP approved and monitored TRP. The TRP is developed and monitored by
the EAP, in conjunction with the AAM flight surgeon. Only EAP or AAM may
make changes to the TRP.

**Triggering Event:** This is behavior that proves to be a violation of
an employee's LCA or TRP that results in the implementation of the
disciplinary/adverse action that had been held in abeyance.

3.  **Management Responsibility:** A manager of an employee who occupies
    a TDP for whom a determination has been made that the employee has
    violated a drug or alcohol prohibition or has engaged in other
    alcohol-related misconduct, such as an arrest for driving under the
    influence, shall: (1) assure that the individual is not assigned
    safety-sensitive duties; (2) assure that appropriate
    disciplinary/adverse action is initiated; (3) contact their
    servicing Office of Security and Hazardous Materials to inform
    security about the violation and (3) cooperate with recommended
    rehabilitation efforts of the employee.

4.  **Procedures:** This HROI provides specific guidance for the
    processing of drug and alcohol violations cases. In general, an
    employee subject to these provisions receives a proposed
    disciplinary/adverse action notice with a specific timeframe for
    reply. The notice informs the employee if s/he is eligible for a
    one-time opportunity to enter into a Treatment and Rehabilitation
    Plan (TRP), or prohibited from a TRP opportunity. The employee is
    informed that participation in a TRP requires accepting the terms of
    a Last Chance Agreement (LCA). An eligible employee must state in
    his/her reply to the proposal notice a willingness to participate in
    a TRP and LCA. After receipt and consideration of the employee's
    reply, a written decision notice is rendered advising the employee
    what disciplinary/adverse action will be imposed, if any. If the
    eligible employee requested an opportunity for rehabilitation, the
    decision notice advises the employee of the decision and states that
    the implementation of the decision is held in abeyance pending the
    employee's successful completion of the TRP. The decision notice
    also informs the employee that entering into a TRP is contingent
    upon their acceptance of a LCA. Upon the employee's signature that
    they voluntarily accept the terms and conditions of the LCA, the FAA
    EAP and AAM representatives officially develop a TRP. The decision
    notice advises the employee that failure to adhere to the LCA or TRP
    results in a written notice of implementation of the decision.

The procedures addressed in this HROI allow for the placement of
employees in an enforced leave status when non-TDP duties are not
available and the employee fails to request leave. It is important to
check a bargaining unit employee's negotiated contract since some
contracts allow for the placement of an employee into a leave status
without due process. Special circumstances may arise where initiation of
an indefinite suspension, possibly with a shortened notice period, is
more appropriate than an enforced leave status. An example may include
an employee arrested for drug trafficking or other drug- or
alcohol-related criminal misconduct for which the crime provision may be
imposed.

Periodically, other actionable misconduct occurs that may be related to
the use of drugs and/or alcohol. On those occasions when other
unacceptable behavior is evident, managers must initiate the necessary
corrective action recommended in the HROI, Table of Penalties. It is
imperative management address the behavior as it would any other
employee not affected by drugs and/or alcohol. Consequently, a proposed
action for such things as leave abuse, disruptive behavior, fighting,
sleeping or failure to record alcohol/drug related traffic violations on
official government documents or other misconduct, need to be initiated
separate and distinct from any proposed drug and/or alcohol related
action discussed in this HROI.

It cannot be emphasized enough that the FAA's policy to ensure a safe
and secure national airspace system (NAS) rests with high caliber and
trustworthy employees. Individuals serving a probationary period or
subject to a suitability review, who have an infraction pertaining to
drugs and/or alcohol are not covered by the procedures described in this
HROI or DOT Order 3910.1(series) (link to
http://dothr.ost.dot.gov/hrprograms/drugandalcohol/DOT%20Order%203910.1C%20Revised_08_08_06.pdf).
In order to eliminate perceived risks at a very early stage, the FAA
will exercise its discretion to pursue termination during probation or
suitability termination. For further guidance about these employees and
the procedures applicable to them, refer to the following:

-   ER-4.6 Termination During New Hire Probationary Period (link to
    <https://employees.faa.gov/org/staffoffices/ahr/policy_guidance/hr_policies/hrpm/er/ER-4-6/>)
    and HROI: Procedures for Termination during New Hire Probationary
    Period (link to
    https://employees.faa.gov/org/staffoffices/ahr/policy_guidance/hr_policies/hrpm/HROI/er/olprob/),

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-   EMP-1.24, Suitability (link to
    https://employees.faa.gov/org/staffoffices/ahr/policy_guidance/hr_policies/hrpm/emp/emp-1-24/)

This HROI should be used in conjunction with the following:

-   DOT Order 3910.1 (series) Drug and Alcohol-Free Departmental
    Workplace (link to
    http://dothr.ost.dot.gov/hrprograms/drugandalcohol/DOT%20Order%203910.1C%20Revised_08_08_06.pdf),

-   ER-4.1, Standards of Conduct (link to
    <https://employees.faa.gov/org/staffoffices/ahr/policy_guidance/hr_policies/hrpm/er/er-4-1/>)
    and HROI: Table of Penalties (link to
    https://employees.faa.gov/org/staffoffices/ahr/policy_guidance/hr_policies/hrpm/HROI/er/tbltext/),

-   ER-4.2, Maintaining Discipline (link to file named and HROI:
    Maintaining Discipline -- Processing Procedures (under
    construction),

The following describes various offenses and procedures to be utilized.

a.  **Drug Trafficking or Refusal to Comply with Procedures during
    Collection or Testing**. Action shall be initiated to remove an
    employee, both TDP and non-TDP, who: (1) has engaged in illegal drug
    trafficking (sale, manufacture, growth, distribution,
    transportation) either on- or off-duty; (2) fails to report to a
    testing site; (3) refuses to provide a urine specimen or for TDP
    only, an adequate breath sample for alcohol testing; (4) attempts to
    alter, adulterate or substitute the specimen provided; (5) engages
    in conduct that obstructs the collection or testing process; or, (6)
    fails to empty the contents of pockets. An employee occupying a TDP
    will be temporarily assigned non-TDP duties, if available, pending a
    decision on the proposed removal. If non-TDP duties are unavailable,
    and the employee fails to request leave, action shall be initiated
    to place the employee on enforced leave or indefinite suspension. No
    opportunity to enter into a TRP or LCA is afforded to any employee
    for an infraction in this paragraph.

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b.  **On-Duty Use or On-Duty Possession of Illegal Drugs**. Action shall
    be initiated to remove an employee, both TDP and non-TDP, when it is
    determined that the employee: (1) possesses an illegal drug on-duty,
    or (2) has engaged in on-duty use. A TDP employee will be
    temporarily assigned non-TDP duties, if available, pending a
    decision on the proposed removal. If non-TDP duties are unavailable,
    and the employee does not request leave, then action shall be
    initiated to place the employee on enforced leave or indefinite
    suspension. No opportunity to enter into a TRP or LCA is afforded to
    any employee for the misconduct cited in this paragraph.

    c.  **On-Duty Use of Alcohol.**

        1.  Action shall be initiated to remove a TDP employee when
            credible evidence demonstrates that the employee engaged in
            on-duty use of alcohol. This includes consuming alcohol
            during lunch if in a duty status. A TDP employee will be
            temporarily assigned to non-TDP duties, if available,
            pending decision on the proposed removal If non-TDP duties
            are unavailable, then action shall be initiated to place the
            employee on enforced leave should the employee fail to
            request leave. No opportunity to enter into a TRP or a LCA
            is afforded to an employee occupying a TDP.

        2.  Appropriate disciplinary action, up to and including
            removal, shall be initiated against a non-TDP employee when
            credible evidence demonstrates that the employee has engaged
            in on-duty use of alcohol. The proposed disciplinary/adverse
            action notice may afford a one-time opportunity to enter
            into an LCA along with a substance abuse rehabilitation
            program, if determined appropriate by management, after
            consultation with the EAP and/or AAM representatives. A TRP
            will be developed to meet the clinical needs of the
            employee. A decision notice is issued informing the employee
            of the disciplinary/adverse action to be imposed. If the
            employee requests a TRP and a LCA, the decision notice will
            inform the employee that the implementation of the
            disciplinary/adverse action is held in abeyance pending
            successful completion of the TRP and the LCA. If the
            employee does not request a TRP and LCA, the
            disciplinary/adverse action shall be implemented.

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d.  **Positive Drug Test in Violation of DOT/FAA Policy**.

    1.  Action shall be initiated to remove a TDP employee in the case
        of off-duty use of illegal drugs or inappropriate use of legal
        substances (prescription or over-the-counter (OTC) medications)
        as determined by a Medical Review Officer's (MRO) verified
        positive test conducted during duty hours under the auspices of
        the DOT/FAA drug testing program. A TDP employee will be
        temporarily assigned to non-TDP duties, if available, pending a
        decision on the proposed removal. If non-TDP duties are
        unavailable, then action shall be initiated to place the
        employee on enforced leave should the employee fail to request
        leave.

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(1) Appropriate disciplinary/adverse action, up to and including
    removal, shall be initiated against a non-TDP employee.

(2) The proposal notice will inform the TDP or non-TDP employee of an
    opportunity to enter into a LCA, which includes a one-time
    opportunity for a TRP. A decision notice is issued informing the
    employee of the disciplinary/adverse action to be imposed. If the
    employee accepts the offer of a TRP and LCA, the decision notice
    informs the employee that the implementation of the
    disciplinary/adverse action is held in abeyance pending successful
    completion of the TRP and LCA. If the employee declines the offer of
    a TRP and the LCA, the disciplinary/adverse action shall be
    implemented.

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e.  **Positive Alcohol Test in Violation of DOT/FAA Policy.**

> (Safety-Sensitive TDP Employees Only)

1.  Action shall be initiated to remove a TDP employee in the case of
    off-duty use of alcohol that results in a measured breath alcohol
    concentration during on-duty hours equal to or greater than 0.04 on
    a confirmation alcohol test performed under the auspice of the
    DOT/FAA alcohol-testing program. A TDP employee will be temporarily
    assigned non-TDP duties, if available, pending a decision on the
    proposed removal. If non-TDP duties are unavailable, then action
    shall be initiated to place the employee on enforced leave should
    the employee fail to request leave.

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(1) The proposed removal notice informs the TDP employee of an
    opportunity to enter into a LCA, which includes a one-time
    opportunity for a TRP. A decision notice is issued informing the
    employee of the disciplinary/adverse action to be imposed. If the
    employee accepts the offer of the TRP and LCA, the decision notice
    informs the employee that the implementation of the
    disciplinary/adverse action is held in abeyance pending successful
    completion of the TRP and LCA. If the employee declines the offer of
    a rehabilitation program and a LCA, then the disciplinary/adverse
    action shall be implemented.

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f.  **Not-Ready-For-Duty Status**. (Safety-Sensitive TDP Employees Only)
    An on-duty TDP employee with a breath alcohol concentration equal to
    or greater than 0.02 but less than 0.04 on a confirmation alcohol
    test, conducted under the auspices of the DOT/FAA alcohol testing
    program is considered to have had a not-ready-for-duty infraction.

    1.  **First Occurrence.** An on-duty TDP employee testing in a
        not-ready-for-duty status shall not perform his/her
        safety-sensitive duties for the remainder of their shift. The
        employee is not permitted to return to safety-sensitive duties
        until the start of their next regularly scheduled shift,
        provided that the shift occurs no sooner than 8 hours after the
        alcohol test was conducted. The employee may take accrued annual
        leave, compensatory time, credit hour or leave without pay in
        order to meet the 8-hour requirement. The employee shall be
        issued a written admonishment that includes an explanation of
        the consequences of any future determination of a
        not-ready-for-duty status and a management referral to the EAP.

    2.  **Subsequent Occurrences**. An on-duty TDP employee who has a
        second not-ready for-duty status within 24 months of the first
        occurrence, shall be dismissed from the worksite and charged
        absent without leave (AWOL) for the remainder of the shift.
        Appropriate disciplinary action shall be initiated.

g.  **Abstinence Period Failures**.

    1.  Action shall be initiated to remove a TDP employee who fails to
        abstain from the use of alcohol for 4 hours prior to reporting
        to their safety-sensitive duties or for 8 hours after an event
        qualifies as a post-accident incident and the employee was
        informed of the abstinence requirement. The pre-duty abstinence
        requirement for air traffic controllers and FAA aircrew members
        is 8 hours. A TDP employee will be temporarily assigned non-TDP
        duties, if available, pending a decision on the proposed
        removal. If non-TDP duties are unavailable, then action shall be
        initiated to place the employee on enforced leave should the
        employee fail to request leave.

    2.  A TDP employee's duty status or abstinence requirements does not
        change even if the individual is attending training, at lunch,
        during duty hours while in a travel status, etc.

    3.  The proposal notice shall afford the employee an opportunity to
        enter into a LCA, which includes a one-time opportunity for a
        TRP. A decision notice is issued informing the employee of the
        action to be imposed. If the employee accepts the offer of a TRP
        and LCA, the decision notice informs the employee that the
        implementation of the action is held in abeyance pending the
        successful completion of the TRP and LCA. If the employee
        declines the offer of the TRP and LCA, the disciplinary/adverse
        action shall be implemented.

        h.  **Off-Duty Misconduct by a TDP Employee**. It is imperative
            that the FAA responds to off-duty drug and/or alcohol
            misconduct in order to ensure the safety of the flying
            public. The nature of the work performed by TDP employees
            requires one's full faculties on a regular basis. The FAA
            must be entirely sure that employees are operating without
            the constraint of drugs or alcohol, or the consequences of
            such abuse, such as a hangover. DOT Order 3910.1(series),
            recognizes the serious consequences of this type of
            misconduct and allows for DOT agencies to initiate a
            corrective course of action for those employees who violate
            any Federal, State, local or tribal government's threshold
            for an alcohol violation.

> When the agency learns of an off-duty event covered by this paragraph,
> the employee is no longer eligible to self-refer to the EAP. Such
> misconduct includes, but is not limited to: (1) arrests for a driving
> infraction (DWI, DUI, etc) or refusal to submit to an alcohol test,
> (2) any other police matter, such as public intoxication, wherein the
> use of drugs or alcohol are noted in any police report or court
> documents, etc. The agency may learn about an off-duty incident
> through any means available. Some employees may come to the attention
> of management because of: (1) a Report of Investigation (ROI); (2)
> newspaper article; (3) information or inquiry from a police source (4)
> information obtained as a result of a periodic medical clearance
> examination; or, (5) an illness-related medical examination. For the
> purpose of this offense, a plea of no contest or other plea
> arrangement, as discussed in HROI, Table of Penalties, offense number
> 43 a or b, is not cause for drug or alcohol misconduct to be excused.
>
> The actions described below pertain strictly to off-duty misconduct
> only. If an employee is involved in an off-duty event, such as an
> arrest for a DWI/DUI, etc., and the employee was previously found to
> have already violated DOT Order 3910.1(series) based on a positive
> random drug or alcohol test or reasonable suspicion test, etc.,
> conducted under the auspices of the DOT testing program, the DWI is
> considered a second violation of the DOT Order and the employee is not
> eligible to enter into a TRP or LCA.

(1) **First Off-Duty Offense**.

    a.  An employee who has a single off-duty incident, such as an
        arrest for an alcohol-related driving infraction, shall notify
        his/her manager before the start of his/her next regularly
        scheduled work shift, but in any event no later than 48 hours
        after the arrest. The employee must also contact the RFS within
        48 hours. The RFS will ensure that an assessment is conducted to
        determine whether the employee is a candidate for
        rehabilitation. A TDP employee will be temporarily assigned
        non-TDP duties, if available, pending action by the RFS. If such
        duties are not available, and the employee fails to request
        leave, then action shall be initiated to place the employee on
        enforced leave or indefinite suspension.

    b.  If a determination is made that the employee is not at risk and
        rehabilitation is not necessary, the employee will be issued a
        written admonishment that warns the employee that the conduct is
        unacceptable and not compatible with the behavior expected for
        an employee occupying a safety- or security-sensitive TDP. The
        employee must attend, at a minimum, an approved alcohol
        awareness education program. The programs approved by the EAP
        manager or under a court order will be acceptable. The
        admonishment informs the employee that any similar misconduct in
        the future will result in the issuance of a proposed removal
        notice.

    c.  If a determination is made that the employee is at risk and
        rehabilitation is advisable, then the employee will be offered a
        TRP. If however, the employee declines this offer, then a
        proposed removal will be issued informing the employee of an
        opportunity to enter into a LCA, which includes a one-time
        opportunity for a TRP. A decision notice is issued informing the
        employee of the disciplinary/adverse action to be imposed. If
        the employee accepts the offer of the TRP and LCA, the decision
        notice informs the employee that the implementation of the
        disciplinary/adverse action is held in abeyance pending
        successful completion of the TRP and LCA. If the employee
        declines the offer of a rehabilitation program and a LCA, then
        the disciplinary/adverse action shall be implemented.

(2) **Two or More Off-Duty Offenses**.

    a.  An employee who has an off-duty incident, such as an arrest for
        an alcohol-related driving infraction or public intoxication,
        shall notify his/her manager before the start of his/her next
        regularly scheduled work shift, but in any event no later than
        48 hours after the arrest. The employee must also contact the
        RFS within 48 hours. If it is determined that the instant event
        is a second or more off-duty violation, then action shall be
        initiated to remove a TDP employee. A TDP employee will be
        temporarily assigned to non-TDP duties, if available, pending
        decision on the proposed removal. If non-TDP duties are
        unavailable, and the employee fails to request leave, then
        action shall be initiated to place the employee on enforced
        leave or indefinite suspension.

    b.  The proposed removal notice informs the TDP employee of a
        one-time opportunity to enter into a LCA, which includes a
        one-time opportunity for a TRP. A decision notice is issued
        informing the employee of the disciplinary/adverse action to be
        imposed. If the employee accepts the offer of the TRP and LCA,
        the decision notice informs the employee that the implementation
        of the disciplinary/adverse action is held in abeyance pending
        successful completion of the TRP and LCA. If the employee
        declines the offer of a rehabilitation program and a LCA, then
        the disciplinary/adverse action shall be implemented.

        i.  **Repeated Misconduct/Post-Treatment and Rehabilitation Plan
            (TRP) Failures**.

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    1.  Action shall be initiated to remove any employee who received a
        management referral and who has a second, on- or off-duty,
        illegal drug event, inappropriate use of a legal drug to include
        prescription and over-the counter medications or an alcohol
        violation. The second violation can differ from the first
        infraction and still qualify as repeated misconduct.

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(1) Employees who successfully complete a TRP, to include follow-up
    testing, may still have restrictions in place for the remainder of
    their career while occupying a TDP. For instance, total abstinence
    from the use of alcohol or substances that contain alcohol shall be
    required as a result of a diagnosis that mandates the abstinence in
    order to avoid a relapse.

(2) Employees in the follow-up testing program have an abstinence
    requirement from all substances, including alcohol. If the result of
    a screening test, conducted under the auspices of the DOT testing
    program, is 0.01 or greater, the employee will be required to take
    an alcohol confirmation test. If a confirmation test is greater than
    or equal to 0.01 and less than 0.02, the employee will be referred
    to EAP and their RFS for an evaluation to determine whether or not
    the employee has violated the abstinence requirement. A confirmation
    test of 0.02 or greater is considered a violation of the abstinence
    requirement.

(3) Employees in the follow-up testing program and those that have
    successfully completed their TRP to include follow-up testing, must
    notify their RFS within 48 hours of the results of a breath test for
    the use of alcohol, conducted by Federal, State, local or tribal
    government officials, having independent authority for the test,
    where the test results registered 0.01 or higher. The RFS will
    determine whether or not the employee has violated their abstinence
    requirement. (Note: Employee who exceed the State's threshold for
    alcohol and are arrested/ticketed, must also notify their management
    official in accordance with paragraph "h" above.)

(4) **Management-Referral:** Deciding officials have two options, as
    discussed below, on how to proceed with repeated misconduct or a
    post-TRP infraction. First, it must be determined whether the
    original case file is still sufficiently intact to support a removal
    action in front of a third party review. If not, the management
    official may opt to initiate a new action described in 5(b) below.
    The deciding official can also consider pursuing the second option
    listed below if s/he is a different official than the original
    management official. Even if the management official is the same
    official who rendered the original decision, they can give
    consideration to the proximity of the second infraction to the first
    violation. For instance, the management official may decide to
    initiate a new action if the triggering event is more than 7 or so
    years after the original misconduct. Action must be initiated for
    repeated misconduct or a post-TRP violation.

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(a) Employees previously referred to EAP as a result of a drug and/or
    alcohol violation discussed in this HROI are considered management-
    referred employees. Violation of a post-TRP requirement may result
    in the implementation of the disciplinary/adverse action previously
    decided. The implementation notice reminds the employee of the
    original misconduct that resulted in their referral to the EAP in
    the first place and the resulting decision. The implementation
    notice explains that the current infraction is a trigger event
    causing the implementation of the original decision. The employee
    will be assigned non-TDP duties, if available, until the effective
    date of the disciplinary/adverse action. No opportunity to enter
    into a TRP or LCA is afforded to any employee for repeated
    misconduct or a post-TRP failure since the employee had already
    participated in a one-time opportunity for rehabilitation.

(b) Repeated misconduct or a violation of a post-TRP may result in the
    initiation of a proposed removal based on the current infraction.
    Management-referred TDP employees will be temporarily assigned
    non-TDP duties, if available, pending decision on the proposed
    removal. If non-TDP duties are unavailable, and the employee fails
    to request leave, then action shall be initiated to place the
    employee on enforced leave. No opportunity to enter into a LCA or
    TRP is afforded to the employee for repeated misconduct or a
    post-TRP failure since the employee had already participated in a
    one-time opportunity for rehabilitation.

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(6) **Self-Referral:** Employees who self-identify themselves as an
    individual with a drug and/or alcohol problem and voluntarily seek
    the assistance of the EAP prior to being identified as someone who
    inappropriately uses alcohol or illegal drugs are considered
    self-referred employees. Repeated misconduct or a violation of a
    post-TRP requirement results in the initiation of a proposed
    removal. Self-referred TDP employees will be temporarily assigned
    non-TDP duties, if available, pending decision on the proposed
    removal. If non-TDP duties are unavailable, and the employee fails
    to request leave, then action shall be initiated to place the
    employee on enforced leave. The proposal informs the employee of a
    one-time opportunity to enter into a LCA, which includes a one-time
    opportunity for a TRP. A decision notice is issued informing the
    employee of the action to be imposed. If the employee accepts the
    offer of a TRP and LCA, the decision notice informs the employee
    that the implementation of the action is held in abeyance pending
    successful completion of the TRP and LCA. If the employee declines
    the offer of a TRP and LCA, the action shall be implemented.

    j.  **Non-TDP Employees (Non-Safety or Non-Security-Sensitive
        Employees).**

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    1.  Off-duty abuse of alcohol by employees occupying non-TDP
        positions will generally manifest with on-duty misconduct or
        poor performance. Managers should follow the guidance provided
        in the Personnel Management System, Chapter III, Performance
        Management; HRPM, Chapter 4, Employee Relations as well as other
        authoritative policy or guidance documents to correct conduct or
        performance deficiencies.

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(1) Occasionally, credible evidence indicates an employee's misconduct
    or poor performance is adversely affected because of substance
    abuse. While the employee will typically be charged with an
    appropriate penalty listed in the HROI, Table of Penalties (e.g.,
    AWOL, failure to follow leave procedures, inattention to duty,
    disruptive behavior, etc.), the manager should accurately record
    their observations (e.g., smell of alcohol, unsteady gait, etc.) and
    consider a management referral to the EAP. In fact, it is highly
    recommended that the manager schedule an appointment for the
    employee (management referral). The employee is not required to keep
    the scheduled appointment. It is not the manager's responsibility to
    diagnose what the problem may be, if any, but to assure that the
    employee is aware of the services of the EAP and that consultation
    with an EAP counselor may help resolve a personal situation that may
    be negatively impacting the employee's performance or conduct. While
    the manager is prohibited to learn about the details of the meeting
    between the employee and EAP, the manager can confirm that the
    employee kept the appointment if duty time is used.

(2) Notwithstanding an employee's willingness to enter into a TRP,
    appropriate disciplinary or adverse action may be initiated and
    implemented when warranted. The manager may also consider offering a
    LCA in conjunction with a TRP that would place in abeyance the
    implementation of the disciplinary/adverse action.

    k.  **Last Chance Agreement (LCA)**. When an employee is issued a
        proposed disciplinary/adverse action, information is provided
        about the potential for a TRP. This notice informs the employee
        that acceptance of a LCA is also required and who to contact to
        obtain further information about the LCA. Should the employee
        request an opportunity for rehabilitation during his/her reply,
        then the decision notice will inform the employee that
        participation in the TRP mandates their execution of a LCA. The
        LCA ultimately incorporates the TRP and implementation of the
        disciplinary/adverse action is held in abeyance pending
        successful completion of both the TRP and LCA. The LCA includes
        pertinent information that clearly defines the terms and
        conditions of the employee's employment and that failure to
        comply will result in the implementation of the
        disciplinary/adverse action. The LCA also includes a waiver of
        all appeal or grievance rights should the employee be removed.
        The LCA is developed and monitored by the responsible management
        official and can only be modified by that official.

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k.  **Treatment and Rehabilitation Plan (TRP)**. With the exception of
    an employee who self-refers as discussed in paragraph "m" of this
    HROI, the agency affords an employee only one opportunity to enter
    and successfully complete an FAA EAP approved and monitored TRP. If
    the employee willingly and voluntarily agrees to enter into TRP (at
    the employee's expense), the employee must adhere to the terms and
    conditions stated in the TRP and LCA discussed in paragraph "k" of
    this HROI. During this time, the manager holds the implementation of
    the decided disciplinary/adverse action in abeyance. Further
    clarification of the TRP and specific clauses and stipulations that
    are included in the TRP are discussed below.

    1.  The TRP is developed by the EAP, in conjunction with the AAM
        flight surgeon and other substance abuse professionals, as
        needed. The TRP includes a diagnosis, the employee's clinical
        status and the treatment and rehabilitation requirements that
        must be followed. Such requirements may include inpatient
        treatment, continued outpatient counseling, follow-up programs,
        self-help group sessions, education programs, etc. Additionally,
        the TRP will indicate an estimated period of time that the
        employee participates in the TRP. The TRP is monitored by the
        EAP and AAM and can only be modified, in writing, by the EAP or
        AAM.

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(1) The employee agrees in writing to willingly and voluntarily
    participate in and comply with the requirements of the FAA EAP
    approved and monitored TRP. Once the employee signs all the required
    forms, it is deemed that the employee is voluntarily participating
    in the rehabilitation program despite verbal and/or written
    statements to the contrary.

(2) The employee agrees that refusal to sign the required forms for the
    release of information constitutes a non-compliance infraction of
    the TRP and invokes the imposition of the discipline/adverse action.

(3) The TRP notifies the employee that should a non-compliance
    infraction of the TRP occur, the agency representatives of EAP
    and/or AAM inform the employee's manager, who, in turn will
    implement the disciplinary/adverse action. Examples of
    non-compliance are: (1) an employee who misses a scheduled
    counseling session, (2) an employee who has a second verified
    positive drug or confirmed alcohol result on a DOT/FAA administered
    test, (3) or an employee who has an off-duty situation as discussed
    in paragraph "h" of this HROI.

(4) The TRP requires that the employee refrain from any use of: (1)
    illegal drugs on- or off-duty, (2) inappropriate use of legal
    substances, (3) use of prescription or over-the-counter medications
    without approval of the RFS or their designee, (4) use of any
    alcohol while in an on-duty status or pre-duty status. In addition,
    the TRP may require a TDP employee to totally abstain at all times
    from the use of alcohol. These prohibitions prevail for the
    remainder of the employee's FAA career while they occupy a TDP.
    Stipulations may vary depending on whether the employee occupies a
    TDP or non-TDP.

(5) The employee agrees that refusal or failure to comply with
    procedures during drug or alcohol testing constitutes non-compliance
    with the TRP and will result in the implementation of the
    discipline/adverse action.

(6) The employee will coordinate with appropriate agency officials
    before taking leave or proceeding on travel/training status to
    ensure that appropriate provisions are made for rehabilitation,
    treatment and/or follow-up testing.

(7) The employee agrees and acknowledges that a permanent medical file
    will be created, if one is not already established, and it will
    record his/her one and only rehabilitation opportunity. This
    acknowledgment indicates that the employee understands that s/he
    will not be afforded another opportunity at rehabilitation should
    there be any future instances of drug and/or alcohol misconduct.
    (note: See paragraph "m" for the only exception for a second
    opportunity for rehabilitation.)

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m.  **Self-Referral**.

    1.  TDP employees, who self identify to AAM and/or the agency EAP as
        someone who inappropriately uses legal or illegal substances
        including alcohol, prior to being identified through some "other
        means," is not identified to the agency on the first occurrence
        of such a self-referral for the purposes of initiating
        discipline.

    2.  The manager will not initiate action, i.e. proposed removal, of
        the self-referring employee provided that the employee agrees to
        enter into and adhere to the requirements and conditions
        specified in the employee's FAA EAP approved and monitored TRP.
        If the employee fails to adhere to any of the requirements and
        conditions set forth in the TRP, the employee is assigned
        non-TDP duties, if available, receives a proposed removal notice
        and is afforded one final opportunity for rehabilitation along
        with a LCA. If non-TDP duties are unavailable, then action shall
        be initiated to place the employee on enforced leave should the
        employee fail to request leave.

    3.  "Other means" includes, but is not limited to, specific
        notification of testing for any purpose (e.g., random,
        reasonable suspicion, post-accident testing, etc.). An employee
        may self-refer until the time the DOT drug/alcohol testing
        personnel arrive at the testing site. On rare occasions, the
        potential exists that a self-referral may be changed to a
        management referral under the auspices of this HROI when a
        reasonable argument can be made that an employee self-referred
        primarily because of an off-duty event described in paragraph
        "h" of this HROI. A detailed analysis of the case, along with a
        justification for the rationale to nullify the self-referral
        must be forwarded to FAA Headquarters, Employee Relation
        (AHL-100), where the final determination will be made after
        consultation with Office of Chief Counsel (AGC) and AAM.

n.  **Prescription Drugs and Over-the-Counter Medications**.

    1.  When the FAA can demonstrate that it is job-related and
        consistent with business necessity, it can require that
        employees whose position affects the public safety, advise their
        manager if they need to use physician prescribed and/or
        over-the-counter (OTC) medications. In nearly all instances,
        this group will be safety-sensitive TDP employees, regardless of
        whether they occupy a position that has medical standards or
        not. This requirement is necessary since prescription drugs
        and/or OTC's can impair an employee from safely performing the
        essential function(s) of their job and consequently cause a
        direct threat to either the employee or the flying public. In
        accordance with FAA Order 3930.3(series), safety-sensitive TDP
        employees are obligated to inform their management when illness,
        injury or other medical conditions could affect the safe
        performance of their duties. The manager will take immediate
        action to eliminate any real or potential dangers by contacting
        the RFS to discuss the matter.

    2.  Absent medical standards, a direct threat assessment
        determination must be made in order to ensure an employee's
        ability to safely perform their essential duties. In making a
        direct threat determination, the manager and RFS, in
        consultation with their advisors, AHR, AGC and possibly the
        employee's personal physician, must make an individualized
        assessment of the employee's ability to safely perform the
        essential functions of the job. The determination should be
        based on reasonable judgment that relies on the most current
        medical knowledge and information and/or best available
        objective evidence. As deemed appropriate, the manager may
        initiate action to temporarily assign the employee non-TDP
        duties, if available, or place the employee on enforced leave
        should the employee fail to request leave.