# FEDERAL RAILROAD ADMINISTRATION

# CONTROL OF ALCOHOL AND DRUG USE

**(49 CFR PART 219)**

**MODEL PART 219**

**RAILROAD COMPLIANCE PLAN**

**(Insert Name of Railroad)**

**(Insert Date Submitted to FRA for Approval)**

**[MODEL PART 219 RAILROAD COMPLIANCE PLAN]{.underline}**

FRA's Model Part 219 Railroad Compliance Plan has been developed by FRA
as a tool to assist railroads in complying with the requirements of
Title 49, Code of Federal Regulations Part 219 with respect to
submission and approval of random alcohol and drug testing and the
required programs. This plan, although initially developed for the
smaller railroads, may be used by all railroads regardless of class.

Only railroads that are required to comply with Part 219 are authorized
to use Federal authority. Therefore, entities having less than 16
covered service employees (unless they operate on tracks of another
railroad or otherwise engage in joint operations with another railroad
except as necessary for purposes of interchange) are [not]{.underline}
authorized to utilize Federal authority to conduct Federal random,
pre-employment, or reasonable cause testing. In those instances, a
railroad should use "Company Policy Testing" as their authority.
[All]{.underline} railroads subject to Part 219.3 would still be
responsible for complying with Subpart C -- Post-Accident testing
requirements.

Simply signing and adopting this plan does not constitute compliance.
The actions required by the regulation must be in accordance with
regulatory requirements to achieve compliance. **In all cases where
there is a difference between this plan and 49 CFR Part 219 or 49 CFR
Part 40, the CFR takes precedence.**

NOTE: Title 49, CFR Part 40 requires employers to have a Designated
Employer Representative (DER), defined in 40.3 as "An employee
authorized by the employer to take immediate action(s) to remove
employees from safety-sensitive duties, or cause employees to be removed
from these covered duties, and to make required decisions in the testing
and evaluation processes. The DER also receives test results and other
communications for the employer, consistent with the requirements of
Part 40. Service agents cannot act as DERs." In the past, this person
may have been referred to as the Program Administrator.

NOTE: Please make all entries, changes, or additions to this model plan
in bold, italics, color, or other distinguishing manner in order to
expedite review by the FRA Drug & Alcohol Program Manager

> **I. Policy Statement**
>
> This railroad,
> [\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}
>
> (Insert full name of railroad)
>
> recognizes the problem of substance abuse in today's society. This
> problem poses particular concerns to an employer who is subject to
> governmental regulations and seeks to promote the safety of the
> general public. This railroad 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. This railroad will comply
> with all statutes and regulations administered by the FRA in
> implementing the required Part 219 Drug and Alcohol Program.

Programs have been established on this railroad which require covered
employees to demonstrate their safety posture through complying with:

1.  Urine screens to detect the presence of marijuana, cocaine, opiates
    (morphine, codeine), phencyclidine and amphetamines
    (methamphetamines);

2.  Breath alcohol tests to detect the unauthorized use of alcohol; and

3.  Breath, urine, blood and tissue (fatality) testing after qualifying
    FRA post-accident events.

In accordance with the applicable Federal regulations, this railroad
prohibits persons who perform work covered by the Federal hours of
service laws (see 49 U.S.C. §§ 21101-21108) from being under the
influence and/or possession of illegal substances and/or under the
influence of alcohol while on duty or within four hours of reporting for
covered service. Additionally, illegal substance use is prohibited at
any time on or off duty.

II. **Identifying Information.** [Note]{.underline}: If any of the
    following personnel or entities change, the railroad is obligated to
    send FRA a change notice.

**Railroad:**

Name:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Phone:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Fax:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

E-Mail:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Designated Employer Representative:**

Name: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Address:
(If different from above)

Phone: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fax: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

E-Mail: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Medical Review Officer:**

Name: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Phone: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fax: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Testing Laboratory:**

Name: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Phone: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Fax: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

III. **Scope**

This policy applies to all personnel (including contractors and
volunteers) who are subject to performing duties subject to the Federal
hours of service laws (covered employees). The total number of hours of
service employees at the time of this submission is: \_\_\_\_\_\_\_.
(Include any contracted hours of service employees such as signal
employees.) If applicable, identify the following for the contractor:

Name of contractor:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Phone:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Address:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
Fax: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

Identify whether you operate on tracks of another railroad (or otherwise
engage in joint operations with another railroad, except as necessary
for purposes of interchange). If so, which railroad (s) and mileage:
\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

IV. **Testing Programs**

There are numerous situations when Federal **drug and/or alcohol tests**
must be administered for the railroad to be in compliance with 49 CFR
Part 219. Personnel performing functions listed in Section III of this
policy will be required to submit to a drug and/or alcohol test in the
instances set forth, as follows:

A.  [Pre-Employment Drug Testing]{.underline} -- (49 CFR 219.501)
    Applicants will be informed that all individuals this railroad will
    use for covered service must be drug-free. Passing a Federal
    pre-employment drug test is a condition prior to performing covered
    service duties. 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. Note that alcohol
    pre-employment testing is optional, subject to the conditions in
    219.501.)

B.  [Testing For Cause]{.underline} -- (49 CFR 219.300 and 219.301)

    1.  [Federal Reasonable Suspicion Testing]{.underline} -- (49 CFR
        219.300)

> Covered service personnel will be [required]{.underline} to submit to
> a Federal drug and/or alcohol test whenever a properly trained
> supervisory employee of this railroad has reasonable suspicion that a
> covered employee is currently under the influence of or impaired by a
> controlled substance or alcohol. Reasonable suspicion must be based on
> specific, contemporaneous personal observations the supervisor can
> articulate concerning the employee's appearance, behavior, speech,
> body odor, chronic effects or withdrawal effects. The observations
> must be made by at least one qualified supervisor \[219.11 (g)\] who
> has received proper training in the signs of alcohol use and/or at
> least two qualified (one of whom has been trained and is on-site)
> supervisors who have received proper training in the signs and
> symptoms of drug use, consistent with standards which meet the FRA
> regulatory requirements of 219.11 (g). Documentation of this decision
> must be maintained, as required by Part 219 Subpart J.

2.  [Federal Reasonable Cause Testing]{.underline} -- (49 CFR 219.301)
    **Authorized but not required.**

> A Federal reasonable cause drug and/or alcohol test may be required
> (employer's decision) when a covered service employee:

a.  Was involved in a qualifying accident/incident \[219.301 (b)(2)\]
    [and]{.underline} a supervisor has a reasonable belief based on
    specific and articulable facts that the covered service person's
    acts or omissions contributed to the occurrence or severity of the
    accident/incident; or

b.  Committed a rule violation described in 219.301 (b)(3).

> If operating on tracks of another railroad, this railroad will
> coordinate with the host railroad and decide how the supervisor on the
> site will immediately communicate and coordinate decisions to test and
> who will administer the necessary testing. In all reasonable suspicion
> and reasonable cause cases, the supervisor will ensure that the
> covered service person is transported immediately to a collection site
> for a timely collection of a urine and/or breath specimen. If the
> covered service person is deemed not fit to return to work, the
> supervisor will arrange transportation for the person. This is not a
> Federal requirement, but safety will be better assured if
> accomplished.
>
> Supervisors must document the observations that led them to decide
> that there was a "reasonable suspicion or cause" to have the covered
> service person submit to a Federal drug and/or alcohol test.

C.  [FRA Post-Accident Drug/Alcohol Testing]{.underline} -- (49 CFR
    219.201)

> FRA regulations require blood and urine specimens from all surviving
> covered service personnel when they are directly involved in a
> qualifying accident or incident. Tissues are also collected, in
> addition to urine and blood from any fatality involving an on-duty
> railroad employee (direct or contractual employee). Events requiring
> FRA post-accident testing include (note regulatory exceptions will be
> followed):

1.  [Major Train Accident]{.underline} involving any rail equipment
    accident with reportable damages in excess of the current reporting
    threshold under 49 CFR Part 225 (\$8,200 in 2007) [and]{.underline}
    one or more of the following:

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a.  A fatality (any fatality).

b.  A release of hazardous materials from railroad "lading" that results
    in an evacuation [or]{.underline} reportable injury caused by the
    hazmat release.

c.  Damage to railroad property of \$1 Million or more.

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2.  [Impact Accident]{.underline} involving reportable damage in excess
    of the current reporting threshold that results in:

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a.  A reportable injury; [or]{.underline}

b.  Damage to railroad property of \$150,000 or more.

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3.  [Fatal Train Incident]{.underline} involving any on-duty railroad
    employee where damages do not exceed the current reporting
    threshold.

4.  [Passenger Train Accident]{.underline} 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.

The railroad supervisor(s) on the scene will make [timely]{.underline}
determinations as to the event being a qualifying event and which
covered service employees (if any) are required to be tested according
to the rule.

Specimens for any FRA post-accident testing will be collected using
procedures required in Part 219 Appendix C. The railroad's FRA
post-accident specimen kits must be used. Specimens will be collected,
packaged, and shipped via express courier service by the railroad. The
shipping address is as follows:

Quest Diagnostics

3175 Presidential Drive

Atlanta, GA 30340

1-800-729-6432 (Monday through Saturday)

1-770-519-1654 (Sunday)

Fax: 770-936-5012

This railroad will identify the appropriate personnel who must be tested
and then ensure that specimens are collected and shipped.

D.  [Random Drug and Alcohol Testing]{.underline} -- (49 CFR 219.601)

> The railroad is responsible for ensuring that the random program meets
> regulatory requirements and is approved by FRA (see Appendix A). The
> principles which are required in the FRA regulation for the plan to be
> in compliance are attached (see Appendix B). The selection process
> will ensure that each covered service person has an equal chance of
> being selected at every random selection. The random plan shall ensure
> that testing is accomplished at the beginning and at the end of the
> duty period for alcohol. The [minimum]{.underline} percentage of
> alcohol testing at either end of the duty period is 10 percent over
> the course of the year. Current (2005) employers must test at a
> [minimum]{.underline} 10 percent rate for alcohol and 25 percent rate
> for drugs. A railroad is permitted to test at a higher rate than the
> minimum. Identify if you are testing at a higher rate and if so, the
> rate(s):
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> **Random Testing Pools:**

1.  Identify and maintain an up-to-date database or list of all
    personnel working in covered service (at least once per quarter) and
    ensure they are all in the random pool(s). Identify how many random
    testing pools you have. For example, most short line railroads will
    have only one random pool:
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2.  Identify what covered service employees are in the railroad's random
    testing pool(s). For example, engineers, conductors, brakemen,
    switchmen, utility employees, hostlers, mechanical employees
    performing hostling duties, train dispatchers, signal maintainers,
    etc.

> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Random Selection and Testing Procedures:**

1.  There are only two acceptable methods of selection: computer program
    or random number table. Appendix C contains a random number table
    that your railroad may use. (Delete Appendix C if you are not using
    this random number table). The lottery style, e.g., drawing names
    out of a hat is no longer an acceptable method of selection.
    Identify your railroad's method of selection:
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2.  Identify whether your railroad is making selections by name, ID
    number, train number, job number, etc.
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

3.  If your railroad is using a consortium/third party administrator
    (C/TPA) to assist in random testing, identify the following
    information for the C/TPA:

> Name of C/TPA:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> Address:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> Contact Person: \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_ Phone:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> What services is the C/TPA performing for your railroad:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

4.  Identify how often your railroad is making selections, e.g.,
    monthly:

> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> Note: If selections are made on a quarterly basis, your railroad must
> identify an objective procedure for testing the selected persons
> within the quarter. For example, if a C/TPA selects 9 employee names
> for the quarter, your plan could state that the first 1/3 of the names
> will be tested in the first month, the second 1/3 names will be tested
> in the second month, etc. Also ensure that the list of selections are
> not tested in alphabetical order.
>
> Objective Procedure, if making quarterly selections:
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

5.  Identify how you determine whether a selection is to be tested for
    drugs, for alcohol, or both:

> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

6.  Identify your testing "window," e.g., 30 days.

> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> Note that testing windows may not normally exceed 30 days; and if
> making selections monthly, not past the end of the month.

7.  Provide additional descriptions of your random testing selection
    procedure, as applicable:
    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

8.  This railroad will safeguard these selection records to ensure that
    information concerning collection dates and selections are not
    disclosed until necessary to arrange for collection or provide
    notifications.

9.  These random testing records are required to be maintained for 2
    years. This includes an electronic or hard copy "snapshot" 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, and the reason for not testing any of
    the selected employees.

10. In the event that all or a clearly defined portion of the railroad
    is subject to an emergency such as a flood or severe ice storm, the
    ranking operations officer on duty is authorized to declare an
    emergency by completing a memorandum setting forth the facts
    necessitating this action. If such an emergency determination is
    made, the date/time of the emergency and random drug/alcohol tests
    that were suspended must be entered into the DER's files. Random
    selections not administered because of the emergency are deemed
    void, and the selection numbers will be adjusted later to make the
    required percentage.

11. Only a substantiated medical emergency involving the selected person
    or an emergency involving an immediate family member (e.g., birth,
    death, or a medical emergency) provides the basis for excusing a
    covered employee/person from being tested once notified. A medical
    emergency is defined as an acute medical condition requiring
    immediate emergency care. 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 prior to this release or
    within a reasonable period of time after the emergency has been
    resolved. Such excluded (excused) persons will [not]{.underline} be
    tested based on this selection.

12. Once the covered service person selection is made, the DER will
    arrange notification. No prior notification will be given. A
    selected person will only be tested during his/her tour of duty,
    extended only long enough to complete testing but not to exceed
    Federal hours of service law requirements. The person, once
    notified, must proceed to the selected testing facility IMMEDIATELY.
    Identify how your railroad will notify selected employees:

> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

13. The collection date and time during the selection period (testing
    window) will be varied by the DER to ensure that it cannot be
    anticipated. It is not necessary for the railroad to randomly select
    the "testing date."

## Drug Testing 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.

g.  External blind performance testing of specimens is now only required
    for those employers or C/TPAs with an aggregate of 2,000 or more
    DOT-covered employees per 49 CFR 40.103.

### Alcohol Testing Procedures

> 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 the railroad's DER.

a.  [Negative results]{.underline}. The DER will be mailed a copy of the
    negative test results.

b.  [Positive results]{.underline}. The BAT will immediately and
    [directly]{.underline} notify the railroad'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.

### Drug Test Results

> For any FRA testing, the railroad should as a "best practice" notify
> the employee in writing of test results.
>
> [Positive or Otherwise Non-Negative Results]{.underline}. 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.

b.  The MRO will complete and document the review as required by 49 CFR
    Part 40 Subpart G, 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 also make the special
    determinations required by the regulation.

c.  If the MRO verifies the test result as [positive]{.underline}, the
    MRO will report the result to the railroad'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 chart at Appendix D delineates the appropriate
    action. The MRO will provide the DER with a certified copy of copy
    two of the custody and control form, showing verification by the
    MRO. The MRO will [not]{.underline} provide the DER with the
    quantitative test results unless the employee, as stipulated in the
    regulation, disputes the test.

> [Negative results]{.underline}. 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 should "as a best practice" provide the person with
> a negative report.

**VIII. Confidentiality**

a.  Medical information a covered person provides to the MRO during the
    verification process is treated as confidential by the MRO and is
    [not]{.underline} communicated to the railroad except as provided in
    Part 40.

b.  Confidentiality of Federal drug or alcohol testing results will be
    maintained as required by the regulations. For example:

    1.  The laboratory observes confidentiality requirements as provided
        in the regulations. This railroad does not advise the laboratory
        of the identity of persons submitting specimens. The laboratory
        performing the testing must keep all records pertaining to the
        drug test for a period of two years.

    2.  All test results will remain exclusively in the secure files of
        the MRO. The MRO 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.

    3.  The DER will maintain all test results reported by the MRO, both
        positive and negative, in secure storage. The results will be
        retained as required in Part 219 Subpart J. 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.

**IX. Covered Service Personnel Training Program (49 CFR 219.11)**

a.  Supervisors will have the required three (or more) hours of
    education and training on alcohol misuse and controlled substance
    use. The training will cover the physical, behavioral, speech and
    performance indicators of probable alcohol misuse and use of
    controlled substances. It will also prepare the supervisors to make
    the decisions necessary in reasonable suspicion and FRA
    post-accident situations (i.e., what is a qualifying event and who
    is to be tested).

b.  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.

**X. Prescription Drugs (40 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 or authorized. Either one treating medical
professional or a railroad-designated physician should determine that
use of the prescription(s) at the prescribed or authorized dosage is
consistent with the safe performance of the employee's duties. 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.

### 

### XI. Compliance with Testing Procedures

a.  All covered service personnel/applicants requested to undergo a
    Federal drug and/or alcohol test are required to promptly comply
    with this request. This railroad expects all prospective and current
    covered service personnel to exercise good faith and cooperation in
    complying with any procedures required under this policy. 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 show up on time for a drug/alcohol test or
    postponing or rescheduling of specimen collections. This railroad
    reserves the right to require a direct observation collection for
    subsequent return-to-duty or follow-up urine specimen collections
    when the covered service employee has had a previous positive
    Federal test result, or has previously refused to take a Federal
    test.

b.  As a minimum, a covered service person will be removed from FRA
    covered service for a minimum of nine months if there is a finding
    of "refusal to test."

### XII. Positive Test Results

a.  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 hours.

b.  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) that is railroad approved, 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.

> 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. Note: Federal regulation does not guarantee the
> employee will maintain an employment relationship. This is determined
> via employer and employee negotiation.

c.  Identify other employer sanctions (if applicable) for a Federal
    alcohol test result of at least 0.02 percent but less than 0.04
    percent:

> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> Identify other employer sanctions (if applicable) for a Federal
> alcohol test result of 0.04 percent or greater:
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> Identify other employer sanctions (if applicable) for a Federal
> positive drug test:
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

### XIII. Rehabilitation

a.  This railroad has an employee assistance program (EAP) and SAP which
    provides covered service personnel with a comprehensive EAP/SAP that
    can help individuals with alcohol and/or drug abuse problems.

> **[Employee Assistance Professional]{.underline}:**
>
> Contact person:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> Address:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> Phone:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> **[Substance Abuse Professional]{.underline}:**
>
> Contact person:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> Address:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> Phone:
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

b.  Other rehabilitation information is as follows:

> **Voluntary Referral Policy.** This railroad's policy to comply with
> Part 219.403 is as follows:

[Employment Relationship]{.underline}. A covered employee who enters and
follows the tenants of this program as discussed below, will maintain
his or her position upon successful completion of the program. Before
the employee is charged with conduct deemed by the railroad sufficient
to warrant dismissal, the employee must seek assistance through the
railroad for his or her alcohol or drug use problem or be referred for
such assistance by another employee or by a representative of the
employee's collective bargaining unit.

[Referral Sources]{.underline}. The railroad must specify whether, and
under what circumstances, its policy provides for the acceptance of
referrals from other sources, including (at the option of the railroad)
supervisory employees. Identify acceptable referral sources besides the
affected covered service employee:

> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_
>
> [Confidentiality]{.underline}. The railroad 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 the railroad 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. 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.
>
> [Leave of Absence]{.underline}. The railroad will, to the extent
> necessary for treatment and rehabilitation, grant the employee a leave
> of absence from the railroad for the period necessary to complete
> primary treatment and establish control over the employee's alcohol or
> drug problem. The policy must allow a leave of absence of not less
> than 45 days, if necessary for the purpose of meeting initial
> treatment needs.
>
> [Return to Service]{.underline}. The employee will be returned to
> service on the recommendation of the SAP. Approval to return to
> service may not be unreasonably withheld.
>
> [Optional Provisions]{.underline}.

1.  The policy may provide that it does not apply to an employee who has
    previously been assisted by the railroad under a policy or program
    substantially consistent with 219.403 or who has previously elected
    to waive investigation under 219.405 (co-worker report policy).

> Identify whether you adopt this optional provision:
>
> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

2.  A voluntary referral policy may provide that the rule of
    confidentiality is waved 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. Identify whether you adopt the first,
    second, or both options:

> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

3.  The policy may provide that, in order to invoke its benefits, the
    employee must report to the contact designated by the railroad
    either during non-duty hours (i.e., at a time when the employee is
    off duty); or while unimpaired and otherwise in compliance with the
    railroad's alcohol and drug rules consistent with 219.403. Identify
    whether you adopt this optional provision:

> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

4.  The policy may require successful completion of a return-to-service
    medical examination as a further condition on reinstatement in
    covered service. Identify whether you adopt this optional provision:

> *\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_*

5.  Other Optional
    Provisions:\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

> \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

**Co-Worker Report Policy.** This railroad's policy to comply with
219.405 is as follows:

[Employment Relationship]{.underline}. A covered employee who enters and
follows the tenants of this program as discussed below, 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 the railroad's alcohol and drug rules, subject to the
conditions and procedures contained in 219.405.

[General Conditions and Procedures]{.underline}.

1)  The alleged violation must come to the attention of the railroad 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 the railroad's alcohol and drug rules.

2)  If the railroad representative determines that the employee is in
    violation, the railroad 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 within a
    reasonable period specified by the policy. Contact time:
    \_\_\_\_\_\_.

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]{.underline}. 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]{.underline}. The railroad must, to the extent
    necessary for treatment and rehabilitation, grant the employee a
    leave of absence from the railroad for the period necessary to
    complete primary treatment and establish control over the employee's
    alcohol or drug problem. The policy must allow a leave of absence of
    not less than 45 days, if necessary for the purpose of meeting
    initial treatment needs.

2)  [Agreement]{.underline}. The employee must agree to undertake and
    successfully complete a course of treatment deemed acceptable by the
    SAP.

3)  [Return to Service]{.underline}. The railroad must promptly return
    the employee to service, on recommendation of the SAP, when the
    employee has established control over the substance abuse problem.
    Return to service may also be conditioned on successful completion
    of a return-to-service medical examination. Identify whether your
    railroad will be requiring a return-to-service medical examination:

> [\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_]{.underline}

Approval to return to service may not be unreasonably withheld.

4)  [Follow-Up Treatment]{.underline}. 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]{.underline}. If there has been a violation of
    Federal regulations (219.101 or 219.102), the railroad 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]{.underline}. If the SAP determines that
the employee is not affected by an identifiable and treatable mental or
physical disorder, (1) The railroad 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, the railroad 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), the railroad 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.

**APPENDIX A**

Once the FRA has approved a Random drug and alcohol testing plan, the
railroad will receive an approval letter, which includes these
conditions.

**STANDARD APPROVAL CONDITIONS FOR RANDOM TESTING PROGRAMS**

1.  This approval is effective upon receipt with respect to all matters
    within its scope. FRA reserves administration jurisdiction over all
    approvals and may reopen review based upon experience gained during
    implementation (audits).

2.  Approval of the subject random testing program does not constitute
    or imply the granting of a waiver or exemption from any provision of
    Federal law or regulation. Compliance with all applicable provisions
    of 49 CFR Parts 219 and 40 is required. All random program plans
    must be applied in accordance with the criteria listed in this
    Appendix A and Appendix B.

3.  Approval is contingent upon the railroad making appropriate
    amendments to the program to conform to any pertinent regulatory
    amendments that may be issued hereafter. Any such program amendments
    that may be required shall be submitted to the Associate
    Administrator for Safety at FRA by the effective date of the subject
    regulatory amendments, or by the expiration of 30 days from
    publication of the regulatory amendments in the *Federal Register*,
    whichever is later.

4.  Amendments to the program shall be submitted as required by 49 CFR
    219.601(a) and 49 CFR 219.607 (a) and shall not be implemented prior
    to approval. The following guidance is provided with respect to when
    a program is deemed to have been amended.

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A.  Any change in the selection methodology, the criteria for scheduling
    collections, non-availability criteria, or other structural element
    is a program amendment. Any change in the organizational level at
    which a function is carried out is a program amendment.

B.  Substitution of incumbents performing the same function at the same
    organizational level (persons or contractors/volunteers) is not
    deemed to amend the program. Notification of these changes would be
    appreciated to assist FRA in maintaining liaison, but is not
    required.

C.  Any change in a program that is occasioned by an amendment of an
    applicable DOT/FRA regulation and that involves the exercise of
    discretion to choose between or among one or more courses of action
    is a program amendment required to be filed under item 3 above. Any
    non-discretionary change in a program that is required by amendment
    of an applicable DOT/FRA regulation is not considered a program
    amendment requiring approval; however, the Office of Safety, FRA,
    would appreciate receipt of an informational copy of the revised
    program document showing current compliance.

D.  Any case not addressed above may be resolved by contacting the
    Office of Safety, Administrator for Safety or that individual's
    delegate.

    **APPENDIX B**

    **CRITERIA FOR ASSESSING DEPARTMENT OF TRANSPORTATION (DOT)**

# RANDOM DRUG AND ALCOHOL TESTING PROGRAMS {#random-drug-and-alcohol-testing-programs .unnumbered}

### Section I. Random Testing Pools {#section-i.-random-testing-pools .unnumbered}

### 

### Random pool(s) must accurately and completely include all covered service personnel. Whoever is performing the safety-sensitive "covered service", regardless of job title or status, is subject to 49 CFR Part 219 requirements (supervisors, volunteers, contractors, etc.). Pool lists must be retained for a minimum of two years.

A.  An employer may not mix covered service and non-covered service
    personnel in the same pool.

B.  Multiple pools for an employer are acceptable.

C.  Employees do not need to be placed in separate pools for drug and
    alcohol testing selection.

D.  Employees from different DOT operating administrations can be
    included in the same pool. It is strongly recommended, however, that
    employers not mix groups of personnel subject to different drug or
    different alcohol testing rates (i.e., having some employees subject
    to a 50% rate for drugs and other employees subject to a 25% rate in
    the same pool). If they do, they must test the entire pool at the
    highest selection rate for any of the groups with personnel in the
    pool.

E.  Pools may not be diluted with covered service personnel who rarely
    perform covered service duties (i.e., less than once per quarter).

F.  Pools must be routinely updated (i.e., at least monthly for
    employers with either a changing workforce or seasonal employees;
    and quarterly for employers with a generally stable workforce).

G.  Besides individual employees, specific jobs (i.e., third shift main
    dispatcher at XYZ location) or operational units (i.e., trains) may
    also be pool entries. However, there may not be a significant
    difference in the size of the entries in the pool.

H.  Pool entries may not be constructed in a way which could result in a
    manager/supervisor having discretion as to who would be actually
    provide a sample (e.g., a specific job cannot be selected with
    multiple people working in it at the same time, but with only one to
    be tested).

    **Section II. Random Selections**

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A.  Everyone in a pool must have an equal chance of selection in each
    selection period.

    1.  No individual, job, or operational unit may be removed from the
        pool if it is still actively performing covered service.
        However, employees doing de minimus covered service may be
        eliminated from the pool (see Section I.-F).

    2.  There may be no selections without replacement (i.e., an
        individual cannot be removed from the pool because he or she was
        previously tested).

    3.  No selection weightings are allowed which would increase or
        decrease the chance of any individual being selected.

B.  The following selection options are acceptable. Note that manual
    selection using names or social security numbers drawn out of a hat
    (or equivalent) is no longer an acceptable practice:

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1.  Computer programs which randomly select entries from an employee
    list without apparent bias. The specific selection criteria used by
    the computer must be extensively detailed in writing, and each
    computer draw must be retained as a record for a minimum of two
    years; or

2.  Manual selection from a list of employees using a random-number
    table. The specific criteria used to select from the table must be
    documented in writing, including detail on how the initial starting
    point in the table was determined. Each draw, as well as a copy of
    the table portion used, must be retained as a record for a minimum
    of two years. See Appendix C for Model Procedures to Conduct a
    FRA-Acceptable Random Testing Program Using a Random Number Table
    for Selections.

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C.  If the employee testing pool is so small that it does not allow
    testing each selection period, then the employer must have in place
    a mechanism to randomly determine which selection periods will have
    selections and which will not. The specific criteria used to make
    this determination must be detailed in writing and the determination
    itself must be retained as a record for a minimum of two years.

D.  If required drug and alcohol testing rates are different (i.e., 25%
    for drugs and 10% for alcohol) and a single pool is being used, it
    is permissible to select one list of employees and designate a
    proportion for both drug and alcohol testing and a proportion for
    drug testing only. The specific criteria used to make this
    determination must be detailed in writing, and the master selection
    list with both sub-groups clearly identified must be retained as a
    record for a minimum of two years.

E.  Employers should carefully monitor significant changes in its
    workforce in order to ensure that an appropriate number of tests
    will be conducted each year. Unless otherwise directed by the DOT
    Operating Administration, changes in the employee base of greater
    than 10% in a quarter should result in a recalculation of total
    tests required.

    **Section III. Implementation of Random Collections**

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A.  Collections must be distributed unpredictably throughout the
    designated testing period, covering all operating days (including
    holidays) and shifts (24-hour clock). There is no expectation that
    day/night or shift collection distributions be equal but there has
    to be sufficient testing to establish deterrence by generally
    mirroring employer operations.

B.  Collections must be unpredictable within a work shift (some
    collections must be conducted at the beginning, middle, and end).
    There is no expectation that "within-shift" collection distributions
    be equal. Sufficient testing must be conducted at the start, middle
    and end of shifts to provide deterrence. Both beginning of and
    ending of shift collections are particularly important. For alcohol
    testing, at least 10% of successful collections must fall within
    each period of the shift.

C.  No discretion is allowed with collection dates or collection times
    which would result in a subjective choice by a field
    manager/supervisor as to who was actually collected. That is, if a
    test time frame is permitted in the employer's program, a
    manager/supervisor with knowledge of specific personnel assignments
    may not have discretion in the selection of who will be tested.

D.  Specific reasons for "no-tests" must be documented in writing by the
    employer, with records maintained for two 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.

    **Section IV. Records**

    All records which support the random testing program, including
    notes, memoranda, pool makeups, number tables, etc., must be
    retained for a minimum of two years.

    **APPENDIX C**

    (Delete this Appendix if not using this random number table)

    **MODAL PROCEDURES TO CONDUCT A FRA-ACCEPTABLE**

    **RANDOM TESTING PROGRAM USING A**

    **RANDOM NUMBER TABLE FOR SELECTIONS**

    This addresses how a carrier can properly select covered employees
    for testing if it is unable to utilize a specialized computer
    program. The only alternative to a computer-based selection
    procedure currently accepted by FRA is use of a "random number
    table."

    Random number tables can usually be found as an appendix to a basic
    statistics book. They are a series of numbers which have been
    certified by competent authority to be ordered without
    predictability or bias. The numbers are most often organized in rows
    and columns.

    **Model Selection Procedure Using a Random Number Table:**

    The carrier must first establish one or more pools of covered
    employees from which to draw. The method of selection, including a
    detailed description of the procedures employed, must already be
    part of a FRA-approved Random Plan. If a random number table is to
    be used, the carrier must adequately describe the process of
    selection to ensure that FRA can be confident that the procedure on
    its face is free from apparent bias or manipulation.

    The following procedures can be used as a model of how to use a
    random number table to select entries from a pool. Carriers may
    choose to modify these recommended procedures, although care should
    be taken to retain FRA's core intent. An illustration of how this
    model procedure might work in practice is provided in the next
    section of this guidance document.

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1.  Assign a sequential number to every pool entry, starting with 1. If
    there are nine or less total entries, it should be a single digit
    (e.g., 1). If 10-99, it should be two digits (e.g., 01). If 100-999,
    it should be three digits (e.g., 001).

2.  Based on the testing rate established by FRA for that year,
    determine the number of entries that you wish to draw from the pool
    for the upcoming testing period. In accordance with your Random
    Plan, determine how each selection is to be tested (i.e., which
    selections are to be tested for drugs and alcohol; for drugs only;
    and/or for alcohol only).

3.  Turn to a random number table, such as the one attached.

4.  Although it may be determined arbitrarily, the selector may not pick
    the starting point in a manner which gives the appearance of
    targeting one or more employees for testing. This must be affirmed
    in the documents retained for FRA audit, either by a witness
    statement or by the type of process used to pick the starting point
    and direction.

5.  From the starting point, proceed in the selected direction the
    number of digits assigned to the pool entries (one, two, etc.).
    Review this first sequence of numbers initiated by the starting
    point. If the sequence is within the pre-established parameters
    (between one and the last number in the pool), it is a valid
    selection and must be recorded. You then proceed to the next set of
    numbers in sequence. If the number is outside the parameters, or a
    duplicate of a previous selection, the number is to be disregarded
    and you are to proceed to the next sequence of numbers.

6.  When you get to the end of a column or a row, wrap around to the
    next column or row and proceed as before until you select enough
    number sequences to meet FRA requirements. Be sure to select
    sufficient entries so you have alternates in case they are needed.

7.  A list of the selections made and a copy of the table the selections
    were drawn from are additional records that must be retained for two
    years by the carrier.

8.  It is permissible to start the next month's selections from the
    point left off in the table this month.

    **Illustration from attached random number table:**

    ABC Rail has 57 covered employees in a pool and wishes to select
    three entries this month. In their approved FRA plan, selection one
    is to be tested for drugs and alcohol, selection two for drugs only,
    and selection three is the first alternate.

    Using the attached random number table, the ABC Rail DER/Program
    Administrator selects Row 37, Column 2 as the starting point and
    "across" as the direction. This is properly witnessed and recorded.

    With two digit pool entries (57 is between 10 and 99), the DER
    reviews the first set of two digit numbers from the table. The
    digits in order are 1, 3. Since thirteen is a valid selection, the
    DER records pool entry 13 as part of the permanent record. This will
    be the drug and alcohol test selection.

    Proceeding across to the next two digits, the numbers in order are
    also 1, 3. Since this is a duplicate selection, the numbers are
    disregarded.

    Proceeding to the next two digits, the numbers in order are 7, 8.
    Seventy-eight is outside the range of 01-57. The number is
    disregarded. The next two digits (9, 8) are similarly outside the
    range and are disregarded.

    Proceeding to the next two digits (4, 9), forty-nine is a valid
    number and is recorded as the second selection. This number will be
    the drug-only test selection.

    Proceeding to the next two digits (3, 8), thirty-eight is also a
    valid number and is recorded as the third (alternate) selection.

    Since three valid selections have been made in accordance with the
    pre-established procedure, the DER terminates the selection process
    and completes the documentation by matching the selection numbers
    with the pool entries.

    The attached random number table is an example of an acceptable
    documentation of the random number table portion of the selection
    process (includes date and signatures of witnesses).

    **Records:**

    All records which support the random testing program, including
    notes, memoranda, pool makeups, number tables, etc., must be
    retained for a minimum of two years.

    NOTE: The attached Random Numbers table is from Downie and Heath,
    *Basic Statistical Methods*, Fifth Edition, New York: Harper & Row,
    1983

    **RANDOM NUMBERS** *ABC Rail - 5/18/01 Selections for the month of
    June 2001*

    **\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

    **Row 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19**

    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

    1 9 8 9 6 9 9 0 9 6 3 2 3 3 8 6 8 4 4 2

    2 3 5 6 1 7 4 1 3 2 6 8 6 0 4 7 5 2 0 3

    3 4 0 6 1 6 9 6 1 5 9 5 4 5 4 8 6 7 4 0

    4 6 5 6 3 1 6 8 6 7 2 0 7 2 3 2 1 5 0 9

    5 2 4 9 7 9 1 0 3 9 6 7 4 1 5 4 9 6 9 8

    6 7 6 1 2 7 5 6 9 4 8 4 2 8 5 2 4 1 8 0

    7 8 2 1 3 4 7 4 6 3 0 7 5 0 9 2 0 0 6 1

    8 6 9 5 6 5 6 0 9 0 7 7 1 4 1 8 3 1 9 3

    9 7 2 1 9 9 8 0 1 6 1 6 2 3 6 9 5 5 8 4

    10 2 9 0 7 3 0 8 9 6 3 3 8 5 5 6 5 2 0 9

    11 9 4 5 4 5 7 4 0 3 0 1 0 4 3 3 9 5 3 2

    12 9 7 7 7 9 4 8 6 8 7 6 1 6 8 2 5 5 5 3

    13 4 1 7 8 6 8 1 0 5 8 8 6 1 6 8 2 9 0 4

    14 5 0 8 3 3 4 5 4 4 2 5 3 0 4 9 6 1 2 3

    15 3 5 0 2 9 4 1 0 0 3 9 0 5 8 6 0 9 9 6

    16 0 3 8 2 3 5 1 0 1 0 6 8 5 2 4 8 0 3 8

    17 1 7 2 9 1 2 7 8 4 7 0 3 3 1 5 8 2 7 3

    18 5 0 5 7 9 5 8 7 8 9 4 5 3 4 4 6 1 1 3

    19 7 7 3 3 5 3 6 1 3 2 8 5 4 1 4 8 3 9 0

    20 1 0 9 1 3 8 2 5 3 0 3 8 0 9 3 3 0 4 5

    21 1 3 8 5 1 8 5 9 4 1 9 3 9 3 6 5 9 8 4

    22 8 6 4 7 8 7 5 9 4 1 9 3 9 3 6 5 9 8 4

    23 0 6 9 6 5 1 0 3 2 6 7 7 4 9 6 0 3 4 0

    24 7 6 7 4 7 0 8 3 8 7 3 2 5 1 2 4 2 9 7

    25 3 2 3 8 1 3 1 8 7 4 5 9 0 0 2 4 1 2 1

    26 9 2 1 6 4 2 3 8 7 6 2 6 2 6 4 8 1 0 1

    27 3 7 4 2 2 8 1 7 8 0 6 0 0 0 3 2 2 9 7

    28 0 7 8 0 8 5 1 5 2 6 5 8 7 5 3 0 5 9 6

    29 7 4 2 3 3 2 6 0 0 6 5 2 2 3 6 3 9 0 4

    30 1 8 2 7 5 9 5 3 6 5 2 9 9 1 1 7 3 4 3

    31 4 3 1 8 7 0 6 0 8 6 5 0 1 0 4 0 6 1 5

    32 8 5 8 0 6 1 4 1 2 0 4 4 1 4 7 6 3 5 1

    33 4 5 8 5 0 4 5 8 3 9 2 8 7 8 9 0 8 4 3

    34 5 0 2 5 4 9 2 2 1 1 0 0 5 4 8 7 6 4 0

    35 0 8 1 7 0 6 3 3 4 7 6 2 6 8 9 3 4 1 4

    36 2 5 9 3 4 6 0 7 5 2 0 0 9 6 0 8 2 2 5

    37 2 \* [1 3]{.underline} [1 3]{.underline} [7 8]{.underline} [9
    8]{.underline} [4 9]{.underline} [3 8]{.underline} 0 2 2 1 8 1

    38 3 8 8 6 8 5 1 3 3 4 6 7 2 6 3 4 8 6 7

    39 0 9 9 8 5 9 8 4 4 2 2 1 1 0 1 7 6 1 3

    40 2 2 3 5 3 0 7 4 4 2 1 4 0 5 8 2 3 0 8

    Starting point selection by Ken Swart, Program Administrator;
    witnessed by Jim Edgell, Trainmaster.

    We certify that the selection starting point was made without bias
    or manipulation.

    *Ken Swart* 5/18/01 *James Edgell* 5/18/01

    **RANDOM NUMBERS**

    **\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_**

    **Row 1 2 3 4 5 6 7 8 9 10 11 12 13 14 15 16 17 18 19**

    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

    1 9 8 9 6 9 9 0 9 6 3 2 3 3 8 6 8 4 4 2

    2 3 5 6 1 7 4 1 3 2 6 8 6 0 4 7 5 2 0 3

    3 4 0 6 1 6 9 6 1 5 9 5 4 5 4 8 6 7 4 0

    4 6 5 6 3 1 6 8 6 7 2 0 7 2 3 2 1 5 0 9

    5 2 4 9 7 9 1 0 3 9 6 7 4 1 5 4 9 6 9 8

    6 7 6 1 2 7 5 6 9 4 8 4 2 8 5 2 4 1 8 0

    7 8 2 1 3 4 7 4 6 3 0 7 5 0 9 2 0 0 6 1

    8 6 9 5 6 5 6 0 9 0 7 7 1 4 1 8 3 1 9 3

    9 7 2 1 9 9 8 0 1 6 1 6 2 3 6 9 5 5 8 4

    10 2 9 0 7 3 0 8 9 6 3 3 8 5 5 6 5 2 0 9

    11 9 4 5 4 5 7 4 0 3 0 1 0 4 3 3 9 5 3 2

    12 9 7 7 7 9 4 8 6 8 7 6 1 6 8 2 5 5 5 3

    13 4 1 7 8 6 8 1 0 5 8 8 6 1 6 8 2 9 0 4

    14 5 0 8 3 3 4 5 4 4 2 5 3 0 4 9 6 1 2 3

    15 3 5 0 2 9 4 1 0 0 3 9 0 5 8 6 0 9 9 6

    16 0 3 8 2 3 5 1 0 1 0 6 8 5 2 4 8 0 3 8

    17 1 7 2 9 1 2 7 8 4 7 0 3 3 1 5 8 2 7 3

    18 5 0 5 7 9 5 8 7 8 9 4 5 3 4 4 6 1 1 3

    19 7 7 3 3 5 3 6 1 3 2 8 5 4 1 4 8 3 9 0

    20 1 0 9 1 3 8 2 5 3 0 3 8 0 9 3 3 0 4 5

    21 1 3 8 5 1 8 5 9 4 1 9 3 9 3 6 5 9 8 4

    22 8 6 4 7 8 7 5 9 4 1 9 3 9 3 6 5 9 8 4

    23 0 6 9 6 5 1 0 3 2 6 7 7 4 9 6 0 3 4 0

    24 7 6 7 4 7 0 8 3 8 7 3 2 5 1 2 4 2 9 7

    25 3 2 3 8 1 3 1 8 7 4 5 9 0 0 2 4 1 2 1

    26 9 2 1 6 4 2 3 8 7 6 2 6 2 6 4 8 1 0 1

    27 3 7 4 2 2 8 1 7 8 0 6 0 0 0 3 2 2 9 7

    28 0 7 8 0 8 5 1 5 2 6 5 8 7 5 3 0 5 9 6

    29 7 4 2 3 3 2 6 0 0 6 5 2 2 3 6 3 9 0 4

    30 1 8 2 7 5 9 5 3 6 5 2 9 9 1 1 7 3 4 3

    31 4 3 1 8 7 0 6 0 8 6 5 0 1 0 4 0 6 1 5

    32 8 5 8 0 6 1 4 1 2 0 4 4 1 4 7 6 3 5 1

    33 4 5 8 5 0 4 5 8 3 9 2 8 7 8 9 0 8 4 3

    34 5 0 2 5 4 9 2 2 1 1 0 0 5 4 8 7 6 4 0

    35 0 8 1 7 0 6 3 3 4 7 6 2 6 8 9 3 4 1 4

    36 2 5 9 3 4 6 0 7 5 2 0 0 9 6 0 8 2 2 5

    37 2 1 3 1 3 7 8 9 8 4 9 3 8 0 2 2 1 8 1

    38 3 8 8 6 8 5 1 3 3 4 6 7 2 6 3 4 8 6 7

    39 0 9 9 8 5 9 8 4 4 2 2 1 1 0 1 7 6 1 3

    40 2 2 3 5 3 0 7 4 4 2 1 4 0 5 8 2 3 0 8

    **RANDOM NUMBERS, Continued**

    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

    20 21 22 23 24 25 26 27 28 29 30 31 32 33 34 35 36 37 38 39 40 Row

    \_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_\_

    0 9 7 1 1 9 1 2 7 3 5 1 8 4 0 4 1 0 6 0 3 1

    8 3 7 7 9 1 4 9 9 5 9 2 0 1 6 1 2 6 6 7 0 2

    2 5 6 3 7 8 3 3 8 4 3 9 3 9 0 0 9 8 3 5 2 3

    4 7 0 8 6 6 5 9 6 2 7 3 5 9 0 1 8 0 9 6 9 4

    0 9 8 7 3 5 6 8 8 1 2 0 2 3 2 6 4 3 1 9 7 5

    5 1 8 8 4 7 0 1 7 6 8 2 1 6 3 2 1 8 1 8 3 6

    1 3 7 8 6 9 5 4 1 7 3 8 7 1 5 6 5 6 4 4 6 7

    5 9 0 1 5 2 8 6 5 5 7 8 1 8 7 1 2 4 0 4 1 8

    2 2 5 5 2 1 8 6 9 8 9 8 0 5 8 9 9 4 1 3 4 9

    1 3 4 2 8 5 0 7 9 8 4 3 5 8 0 9 4 6 6 0 5 10

    2 6 8 6 6 4 7 1 5 1 6 4 6 7 6 0 8 7 3 5 2 11

    8 6 0 1 4 3 9 8 6 8 0 7 6 5 1 9 1 3 7 0 3 12

    9 5 7 0 9 8 7 6 0 9 6 5 4 0 3 6 5 6 3 5 0 13

    2 2 3 4 7 8 0 2 0 8 0 3 4 9 2 5 7 7 8 6 4 14

    2 4 6 1 0 5 0 6 1 4 9 4 7 3 9 1 7 6 4 5 8 15

    6 3 4 8 1 6 9 5 6 2 0 4 6 1 6 8 1 9 9 1 1 16

    9 0 5 1 3 6 1 9 5 4 1 2 5 4 2 9 5 6 2 4 0 17

    3 6 7 0 3 5 3 7 4 1 7 5 4 8 3 7 4 8 5 7 2 18

    4 3 6 6 3 6 3 0 0 9 4 2 2 5 1 8 9 5 1 9 7 19

    1 0 6 9 0 2 7 3 9 8 4 0 6 9 8 2 3 2 8 0 4 20

    9 1 3 5 7 9 6 2 4 3 4 6 4 9 1 3 1 7 5 2 2 21

    6 4 2 2 2 1 4 5 2 2 8 3 2 1 2 6 6 0 1 8 9 22

    7 2 6 9 0 7 5 3 2 5 6 2 7 6 3 8 1 4 1 5 1 23

    8 2 8 2 4 4 4 2 9 1 9 8 3 4 4 1 0 4 6 9 6 24

    7 3 1 4 3 0 4 7 1 3 7 4 8 6 7 3 2 6 6 2 0 25

    0 6 4 5 8 3 1 4 8 1 8 3 1 6 4 3 0 2 8 7 3 26

    4 2 2 8 3 2 1 9 3 0 1 7 5 9 0 9 1 2 5 8 2 27

    2 9 8 7 2 9 6 4 0 2 7 1 3 1 6 8 7 0 9 2 6 28

    0 8 0 5 6 8 2 4 3 6 1 3 5 2 3 5 9 8 6 2 1 29

    0 1 7 6 1 5 7 9 0 3 5 3 4 2 4 8 5 6 4 0 6 30

    5 1 9 8 5 2 4 5 1 7 5 3 2 4 6 7 9 9 6 7 2 31

    0 3 6 6 3 7 8 6 9 7 2 8 9 0 7 2 9 4 0 8 6 32

    5 0 0 0 2 0 8 9 0 1 0 6 2 0 4 6 9 6 5 4 9 33

    1 9 4 4 2 6 4 2 4 1 0 2 7 9 6 8 7 5 6 9 3 34

    0 0 5 3 8 3 2 7 5 0 4 7 6 4 6 3 0 4 7 5 3 35

    6 2 6 2 0 6 0 1 4 8 9 6 5 9 7 3 6 7 6 5 4 36

    6 3 9 0 3 5 0 9 1 2 0 5 9 7 3 2 5 9 3 0 2 37

    9 7 3 3 5 4 0 6 4 9 4 7 9 1 4 3 9 7 7 1 8 38

    1 9 6 2 9 4 2 9 7 0 3 8 9 5 7 0 6 9 7 2 5 39

    5 9 4 5 8 6 2 3 0 6 2 9 8 6 3 0 4 1 0 7 6 40

    **APPENDIX D**

    As guidance, attached are two flow charts; one for the handling of
    primary specimens and one for the handling of split specimens.

    ![](media/image1.wmf)

![](media/image2.wmf)