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Agenda 03/12/2024 Item #16F10 (Settlement of a clain filed by the FAA)03/12/2024 EXECUTIVE SUMMARY Recommendation to approve and authorize the Chairman to execute a Settlement Agreement with the Federal Aviation Administration (FAA) in the amount of $5,000 based on the Notice of Proposed Civil Penalty issued to Collier County Helicopter Operations regarding an alleged violation of FAA regulations. OBJECTIVE: Recommendation to approve settlement of a claim filed by the FAA. CONSIDERATIONS: The FAA conducts an annual audit of Collier County Helicopter Operations (Helicopter Operations) which includes reviews of all employee files, including review for required background screening information. Based on the audit conducted in May 23, 2023, the FAA issued a Notice of Proposed Civil Penalty to Helicopter Operations on November 29, 2023. The violation alleges that Collier County did not obtain the required drug and alcohol information before a new hire was allowed to perform safety-sensitive functions in violation of 49 C.F.R. Sec. 40.25(d). The new hire was a helicopter maintenance employee. Collier County successfully performed required drug and alcohol screenings; however, Collier County did not timely collect the FAA required background documentation from the employee’s former employer. The proposed fine was $6,750. Based on the FAA audit, Risk Management worked with Human Resources and Helicopter Operations to develop Standard Operating Procedures to ensure that the County is timely requesting and receiving all FAA required documentation for new hire employees at Helicopter Operations. The Notice of Proposed Civil Penalty provided the County with the opportunity for an informal hearing to discuss the proposed penalty. On January 29, 2024, the County participated in the informal hearing, and Risk Management presented the Standard Operating Procedures to the FAA together with the Human Resources Department, Helicopter Operations, and County Attorney’s Office. The County requested that the FAA consider removing the fine based on the new processes implemented, that the FAA reduce the fine , or that if a fine was imposed, that the County be authorized to use the funds for training or for another public purpose. Following the hearing, the FAA responded that after taking into consideration the statements and evidence presented the hearing, the FAA is willing to reduce the amount of the civil penalty in this matter from $6,750 to $5,000. The County Attorney and the Risk Management Director recommend that the Board approve this proposed settlement as reasonable. In the alternative, with Board direction, the County may file a formal appeal of the Notice of Proposed Civil Penalty in accordance with 14 C.F.R. Section 13.16 resulting in a formal administrative proceeding with the FAA, but this course of action is not recommended by the County Attorney. FISCAL IMPACT: Funds are budgeted and available in Fund MF Operating Fund #144505 EMS/Helicopter Operations Fund and the total impact will be $5,000. GROWTH MANAGEMENT IMPACT: There is no Growth Management Impact related to this request. LEGAL CONSIDERATIONS: This item is approved as to form and legality and requires a majority vote for approval. - CMG RECOMMENDATION: To approve and authorize the Chairman to execute a Settlement Agreement with the Federal Aviation Administration (FAA) in the amount of $5,000 based on the Notice of Proposed Civil Penalty issued to Collier County Helicopter Operations regarding an alleged violation of FAA regulations. PREPARED BY: Bruce Gastineau, Interim Chief, Collier County EMS/President Helicopter Operations ATTACHMENT(S) 1. FAA Collier County Drug & Alcohol Testing Protocol (PDF) 16.F.10 Packet Pg. 1695 03/12/2024 COLLIER COUNTY Board of County Commissioners Item Number: 16.F.10 Doc ID: 28221 Item Summary: Recommendation to approve and authorize the Chairman to execute a Settlement Agreement with the Federal Aviation Administration (FAA) in the amount of $5,000 based on the Notice of Proposed Civil Penalty issued to Collier County Helicopter Operations regarding an alleged violation of FAA regulations. Meeting Date: 03/12/2024 Prepared by: Title: – Emergency Medical Services Name: Cherie DuBock 03/04/2024 3:39 PM Submitted by: Title: – Emergency Medical Services Name: Bruce Gastineau 03/04/2024 3:39 PM Approved By: Review: Emergency Medical Services Bruce Gastineau EMS Chief Review Completed 03/04/2024 3:51 PM Emergency Management Michael Choate Executive Director Review Completed 03/05/2024 10:49 AM Risk Management Michael Quigley Other Reviewer Completed 03/05/2024 10:50 AM Office of Management and Budget Debra Windsor Level 3 OMB Gatekeeper Review Completed 03/05/2024 11:06 AM County Attorney's Office Jeffrey A. Klatzkow Level 3 County Attorney's Office Review Completed 03/05/2024 11:21 AM Corporate Business Operations Jennifer Reynolds OMB Reviewer Completed 03/05/2024 11:27 AM Office of Management and Budget Agnieszka Chudy OMB Reviewer Completed 03/05/2024 12:30 PM County Manager's Office Amy Patterson Level 4 County Manager Review Completed 03/06/2024 9:50 AM Board of County Commissioners Geoffrey Willig Meeting Pending 03/12/2024 9:00 AM 16.F.10 Packet Pg. 1696 RISK MANAGEMENT DIVISION STANDARD OPERATING PROCEDURE _ SUBJECT: COLLIER COUNTY DRUG AND ALCOHOL TESTING PROTOCOL (FAA) REFERENCE: CMA #5312 DRUG FREE WORKPLACE; U. S. Department of Transportation 49 CFR Part 40; Federal Aviation Administration FAA) (14 CFR part 120); Drug-Free Workplace Act of 1988, and § 112.0455, Fla. Stat. Drug Free Workplace. EFFECTIVE DATE: May 2023 REVISION DATE: 1/5/2024 PURPOSE The purpose of this Instruction is to provide for procedures and implementation of the Drug-Free Workplace policy for positions that fall under the Federal Aviation Administration (FAA) as authorized by the County Manager. It is the SOP to meet the requirements of CMA #5312 DRUG FREE WORKPLACE. Additionally, the purpose of this policy is to establish guidelines to maintain a drug and alcohol-free workplace in compliance with the Drug-Free Workplace Act of 1988, and the Omnibus Transportation Employee Testing Act of 1991. This policy is intended to comply with all applicable Federal regulations governing workplace anti-drug and alcohol programs in the aviation industry. The U. S. Department of Transportation (USDOT) has also published 49 CFR Part 40, as amended, that sets standards for the collection and testing of urine, breath or saliva specimens. Specifically, the Federal Aviation Administration (FAA) 14 CFR part 120 which mandates urine drug testing and breath alcohol testing for FAA covered employees in safety- sensitive positions, and prohibits performance of safety-sensitive functions when there is a positive test result. CONCEPT The Board of County Commissioners has a vital interest in maintaining a safe, healthy, and efficient working environment. Being under the influence of a drug or alcohol on the job or the use, sale, purchase, transfer, or possession of an illegal drug or alcohol in the workplace poses unacceptable risks for safe, healthy, and efficient operations to the user and to all those who work with the user. Collier County is obligated to the public and its FAA covered employees to provide services that are free of the influence of illegal drugs and alcohol and will endeavor through this policy to provide drug-and alcohol-free services. 1. FAA covered employees will be informed of the dangers of alcohol and/or drug use in the workplace during New Hire Orientation within the first month of employment. 2. The County intends, through this policy, to comply with federal and state rules, regulations or laws that relate to the maintenance of a workplace free from illegal drugs and alcohol. POLICY This policy applies ONLY to BCC FAA covered employees and complies with 14 CFR part 120, as amended and 49 CFR Part 40, as amended. 16.F.10.b Packet Pg. 1697 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 2 All FAA covered employees are required to submit to drug and alcohol tests as a condition of employment in accordance with 14 CFR part 120. In addition, DOT has published 49 CFR Part 32, implementing the Drug-Free Workplace Act of 1988, which requires the establishment of drug-free workplace policies and the reporting of certain drug-related offenses to the FAA. All Board of Collier County Commissioners (BCC) FAA covered employees are subject to the provisions of the Drug-Free Workplace Act of 1988. The unlawful manufacture, distribution, dispensation, possession or use of a controlled substance is prohibited in the FAA covered workplace. An FAA covered employee who is convicted of any criminal drug statute for a violation occurring in the workplace shall notify the BCC DER/DAPM no later than five days after such conviction. Employee Categories Subject To Testing. All persons performing any of the following safety- sensitive functions are subject to the DOT/FAA drug and alcohol testing program: - Flight crewmember - Flight attendant - Flight instruction - Aircraft dispatch - Aircraft maintenance/preventive maintenance - Ground security coordinator - Aviation screening - Air traffic control - Operations Control Specialist For More Information about DOT and FAA Requirements or our Company Policy, contact Andrew Kelly, DAPM, DER at 239-252-8091. For more information relating to the FAA/DOT program requirements, visit the following Web sites: For FAA: http://www.faa.gov/go/drugabatement For DOT: http://www.dot.gov/ost/dapc/ 16.F.10.b Packet Pg. 1698 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 3 Prohibited Behavior Use of illegal drugs is prohibited at all times. All FAA covered employees are prohibited from reporting for duty or remaining on duty any time there is a quantifiable presence of a prohibited drug in the body at or above the minimum thresholds defined in Part 40. Prohibited drugs include: 1. marijuana 2. cocaine 3. phencyclidine (PCP) 4. opioids 5. amphetamines All FAA covered employees are prohibited from performing or continuing to perform safety- sensitive functions while having an alcohol concentration of 0.04 or greater . All FAA covered employees are prohibited from consuming alcohol while performing safety- sensitive job functions or while on-call to perform safety-sensitive job functions. If an on-call FAA covered employee has consumed alcohol, they must acknowledge the use of alcohol at the time that they are called to report for duty. If the on-call FAA covered employee claims the ability to perform his or her safety-sensitive function, he or she must take an alcohol test with a result of less than 0.02 prior to performance. All FAA covered employees are prohibited from consuming alcohol within four (4) hours prior to the performance of safety-sensitive job functions. All FAA covered employees are prohibited from consuming alcohol for eight (8) hours following involvement in an accident or until he or she submits to the post-accident drug and alcohol test, whichever occurs first. Consequences for Violations Following a positive drug or alcohol (BAC at or above 0.04) test result or test refusal, the FAA covered employee will be immediately removed from safety-sensitive duty and referred to a Substance Abuse Professional. Following a BAC of 0.02 or greater, but less than 0.04, the FAA covered employee will be immediately removed from safety-sensitive duties for at least eight hours unless a retest results in the FAA covered employee’s alcohol concentration being less than 0.02. Treatment/Discipline Per Board of Collier County Commissioners (BCC) policy, an employee who has a verified positive drug test, has a verified alcohol concentration of 0.04 or greater, or refuses to submit to a drug or alcohol test (including mandatory requirements of immediate removal from the safety-sensitive function and evaluation by a SAP), and the consequences (as set forth in Part 655.35) for an employee who has a verified alcohol concentration of 0.02 or greater but less than 0.04. The employee may be recommended for corrective action, up to and including termination. A violating employee who successfully completes the USDOT's RTD process will be eligible to retain employment with Collier County. 16.F.10.b Packet Pg. 1699 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 4 FAA Pre-employment / Collier County HR Conditional Post-Offer Requirements The Department of Transportation (DOT) and Federal Aviation Administration (FAA) drug and alcohol testing regulations (49 CFR part 40 and 14 CFR part 120) require specific steps to take when hiring any individual for or transferring any employee into a safety-sensitive position. For more information, visit www.faa.gov/go/drugabatement. Prior to performing any FAA Safety Sensitive functions, Collier County shall ensure the following is completed:  Notified applicant/employee of requirement to undergo pre-employment testing for the presence of marijuana, cocaine, opioids, phencyclidine (PCP), and amphetamines  Asked applicant/employee if they ever tested positive or refused a pre-employment drug or alcohol test administered by a DOT-regulated employer in the past two years, as required by 49 CFR § 40.25(j)  Notified applicant/employee to report for DOT pre-employment drug test  Received Medical Review Officer verified negative DOT/FAA pre-employment drug and alcohol (optional) test result  Sent Release of Information Form(s) to former employer(s), as required by 49 CFR § 40.25 or PRIA  Date Hired/Transferred employee into DOT/FAA safety-sensitive function  Added new safety-sensitive employee to the DOT/FAA random pool  Completed and documented Employee Drug and Alcohol Training and distributed drug and alcohol informational and educational materials The following forms/templates are located at the end of this document:  Checklist: New Hire/Transfer for Safety Sensitive Position  DOT/FAA Pre-employment drug test acknowledgment  DOT/FAA Drug & Alcohol Pre-employment Notification  Release of Information Form – 49 CFR Part 40, Drug and Alcohol Testing for Aviation Employers 16.F.10.b Packet Pg. 1700 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 5 SUBSTANCE ABUSE INFORMATION for DOT/FAA DRUG AND ALCOHOL TESTING Collier County Board of County Commissioners complies with the drug and alcohol testing regulations of the Department of Transportation (DOT) (49 CFR part 40) and the Federal Aviation Administration (FAA) (14 CFR part 120). Community Service Hotline. If you have any personal problems or questions concerning drug abuse or alcohol misuse and need to confide in someone, you are encouraged to contact: Name: The Standard, Employee Assistance Program Telephone: 888-293-6948 For More Information About DOT and FAA Requirements or our Company Policy, contact Andrew Kelly, DER, Risk Manager-EHS at 941-252-8091. For more information relating to the federal drug and alcohol testing requirements, visit the websites below: For FAA: https://www.faa.gov/go/drugabatement For DOT: http://www.dot.gov/odapc/ Consequences of Using Drugs or Alcohol While Performing Safety-Sensitive Functions. A covered employee who has engaged in prohibited drug use or alcohol misuse during the performance of a safety-sensitive function will be immediately removed from performing safety- sensitive functions and permanently precluded from performing the same safety-sensitive function for any FAA-regulated employer. [14 CFR §§ 120.111(e)(2) and 120.221(b)(1)] Consequences of a Verified Positive Drug Test or an Alcohol Test at 0.04 or Higher Breath Alcohol Content (BAC). A covered employee who receives a verified positive drug test result or alcohol violation on a federally required test will be immediately removed from safety-sensitive duties. An employee who has violated the federal drug or alcohol testing rules cannot return to the performance of safety-sensitive duties until the employee has been evaluated by a Substance Abuse Professional and successfully completed the treatment and/or education requirements in accordance with the return-to-duty process outlined in 49 CFR Part 40, Subpart O. [49 CFR § 40.23(d)] A covered employee who receives a verified positive drug test on two federal drug tests or used a prohibited drug while performing covered functions will be immediately removed and permanently disqualified from performing the safety-sensitive functions performed prior to the second drug test. [14 CFR § 120.111(e)(1)] A covered employee who had an alcohol test result with a BAC of 0.04 or higher on a federal alcohol test and had a previous alcohol test result with a BAC of 0.04 or higher will be immediately removed from performing safety-sensitive functions and is permanently disqualified from performing the same safety-sensitive functions performed prior to the second alcohol test. [14 CFR § 120.221(b)(2)] Consequences of an Alcohol Test with a BAC of 0.02 but less than 0.04. Immediate removal from safety-sensitive functions, until the employee's breath alcohol concentration measures less than 0.02, or the start of the employee's next regularly scheduled duty period, but not less than 8 hours following administration of the test. 16.F.10.b Packet Pg. 1701 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 6 [14 CFR § 120.221(f)] Consequences of Refusing to Submit to a Required Drug or Alcohol Test. Immediate removal from performing safety-sensitive functions until or unless the employee successfully completes the return-to-duty process outlined in 49 CFR Part 40, Subpart O. A verified adulterated or substituted drug test result will be considered a refusal to test. [49 CFR § 40.23(b)] Reporting to the FAA. Any violation by an employee who holds an airman medical certificate issued under 14 CFR Part 67 must be reported to the FAA’s Federal Air Surgeon. [14 CFR § 120.113(d)(1) and 120.221(c)(1)] If you are a pilot, drug and alcohol testing information may be entered into the FAA’s Pilot Records Database in accordance with 14 CFR part 111. In addition, any employee who holds a certificate under 14 CFR Part 61, Part 63, 65, or 67 and who has refused to submit to a FAA required drug or alcohol test must be reported to the FAA. [14 CFR §§ 120.111(d) and 120.221(d)] THIS SPACE LEFT BLANK INTENTIALLY An individual hired to perform safety-sensitive functions directly or by contract is subject to drug and alcohol testing in accordance with 14 CFR part 120. This includes part-time, full-time, temporary, or intermittent employees regardless of degree of supervision. [14 CFR §§ 120.105 and 120.215] An employee is subject to alcohol testing during any period when performing a safety-sensitive function. An employee is performing a safety-sensitive function during any period in which he or she is actually performing, ready to perform, or immediately available to perform such functions. [14 CFR § 120.7] 16.F.10.b Packet Pg. 1702 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 7 Circumstances Under Which a Covered Employee will be Tested for Drugs Pre-Employment Testing A negative pre-employment drug test result is required before an FAA covered employee can first perform safety-sensitive functions. If a pre-employment test is cancelled, the individual will be required to undergo another test and successfully pass with a verified negative result before performing safety-sensitive functions. If a FAA covered employee has not performed a safety-sensitive function for 90 or more consecutive calendar days, and has not been in the random testing pool during that time, the FAA covered employee must take and pass a pre-employment test before he or she can return to a safety-sensitive function. A FAA covered employee or applicant who has previously failed or refused a DOT pre-employment drug and/or alcohol test must provide proof of having successfully completed a referral, evaluation, and treatment plan meeting DOT requirements. Reasonable Suspicion Testing All FAA covered employees shall be subject to a drug and/or alcohol test when Board of Collier County Commissioners (BCC) has reasonable suspicion to believe that the FAA covered employee has used a prohibited drug and/or engaged in alcohol misuse. A reasonable suspicion referral for testing will be made by a trained supervisor or other trained company official on the basis of specific, contemporaneous, articulable observations concerning the appearance, behavior, speech, or body odors of the FAA covered employee. Reasonable suspicion tests for alcohol misuse can only be performed if the observations are made just before, during, or just after the performance of safety sensitive functions. FAA covered employees may be subject to reasonable suspicion drug testing any time while on duty. FAA covered employees may be subject to reasonable suspicion alcohol testing while the FAA covered employee is performing safety-sensitive functions, just before the FAA covered employee is to perform safety-sensitive functions, or just after the FAA covered employee has ceased performing such functions. Post-Accident Testing FAA covered employees shall be subject to post-accident drug and alcohol testing under the following circumstances: Fatal Accidents As soon as practicable following an accident involving the loss of a human life, drug and alcohol tests will be conducted on each surviving FAA covered employee operating the public transportation vehicle at the time of the accident. In addition, any other FAA covered employee whose performance could have contributed to the accident, as determined by Board of Collier 16.F.10.b Packet Pg. 1703 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 8 County Commissioners (BCC) using the best information available at the time of the decision, will be tested. Non-fatal Accidents The Federal Aviation Administration's (FAA’s) drug and alcohol testing regulation (14 CFR part 120) describes when an employer is required to conduct and when an employee must submit to post-accident drug and/or alcohol testing. As soon as practicable following an accident, each employer must test each surviving safety- sensitive employee for the presence of marijuana, cocaine, opioids, phencyclidine (PCP), and amphetamines, or a metabolite of those drugs in the employee's system, and for alcohol, if that employee's performance either contributed to the accident or cannot be completely discounted as a contributing factor to the accident. For post-accident drug testing, the employee must be tested as soon as possible but not later than 32 hours after the accident. For post-accident alcohol testing, the employee must be tested as soon as possible but the time of testing cannot exceed 8 hours from the time of the accident. If a test is not administered within 2 hours following the accident, the employer must prepare and maintain on file a record stating the reasons why the test was not promptly administered. If a test is not administered within 8 hours following the accident, the employer must cease attempts to administer an alcohol test and must prepare and maintain the same record. The decision not to administer a test must be based on the employer’s determination, using the best information available at the time of the determination, that the employee's performance could not have contributed to the accident. The FAA and the National Transportation Safety Board (NTSB) define an accident as an occurrence associated with the operation of an aircraft which takes place between the time any person boards the aircraft with the intention of flight and all such persons have disembarked, AND in which any person suffers death or serious injury or in which the aircraft receives substantial damage. The NTSB regulations (49 CFR part 830) define "serious injury" and "substantial damage" as follows: “Serious injury means any injury which: (1) Requires hospitalization for more than 48 hours, commencing within 7 days from the date of the injury was received; (2) results in a fracture of any bone (except simple fractures of fingers, toes, or nose); (3) causes severe hemorrhages, nerve, muscle, or tendon damage; (4) involves any internal organ; or (5) involves second- or third-degree burns, or any burns affecting more than 5 percent of the body surface.” “Substantial damage means damage or failure which adversely affects the structural strength, performance, or flight characteristics of the aircraft, and which would normally require major repair or replacement of the affected component. Engine failure or damage limited to an engine if only one engine fails or is damaged, bent fairings or cowling, dented skin, small punctured holes in the 16.F.10.b Packet Pg. 1704 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 9 skin or fabric, ground damage to rotor or propeller blades, and damage to landing gear, wheels, tires, flaps, engine accessories, brakes, or wingtips are not considered “substantial damage” for the purpose of this part.” Monetary damage is not a factor in determining what constitutes an "accident." Random Testing Random drug and alcohol tests are unannounced and unpredictable, and the dates for administering random tests are spread reasonably throughout the calendar year. Random testing will be conducted at all times of the day when safety-sensitive functions are performed. Testing rates will meet or exceed the minimum annual percentage rate set each year by the FAA administrator. The current year testing rates can be viewed online at www.transportation.gov/odapc/random-testing-rates. (Currently 50/10) The selection of FAA covered employees for random drug and alcohol testing will be made by a scientifically valid method, such as a random number table or a computer-based random number generator. Under the selection process used, each FAA covered employee will have an equal chance of being tested each time selections are made. A FAA covered employee may only be randomly tested for alcohol misuse while the FAA covered employee is performing safety-sensitive functions, just before the FAA covered employee is to perform safety-sensitive functions, or just after the FAA covered employee has ceased performing such functions. A FAA covered employee may be randomly tested for prohibited drug use anytime while on duty. Each FAA covered employee who is notified of selection for random drug or random alcohol testing must immediately proceed to the designated testing site. Random Testing – End of Shift Random testing may occur anytime an FAA covered employee is on duty so long as the FAA covered employee is notified prior to the end of the shift. FAA covered employees who provide advance, verifiable notice of scheduled medical or child care commitments will be random drug tested no later than three hours before the end of their shift and random alcohol tested no later than 30 minutes before the end of their shift. Verifiable documentation of a previously scheduled medical or child care commitment, for the period immediately following an FAA covered employee’s shift, must be provided at least 8 hours before the end of the shift. Return to Duty Testing Any FAA covered employee who is allowed to return to safety-sensitive duty after failing or refusing to submit to a DOT drug and/or alcohol test must first be evaluated by a substance abuse professional (SAP), complete a SAP-required program of education and/or treatment, and provide a negative return-to-duty drug and/or alcohol test result. All tests will be conducted in accordance with 49 CFR Part 40, Subpart O. 16.F.10.b Packet Pg. 1705 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 10 Follow-up Testing FAA covered employees returning to safety-sensitive duty following leave for substance abuse rehabilitation will be required to undergo unannounced follow-up alcohol and/or drug testing for a period of one (1) to five (5) years, as directed by the SAP. The duration of testing will be extended to account for any subsequent leaves of absence, as necessary. The type (drug and/or alcohol), number, and frequency of such follow-up testing shall be directed by the SAP. All testing will be conducted in accordance with 49 CFR Part 40, Subpart O. DRUG TESTING PROCEDURES 1) Testing shall be conducted in a manner to assure a high degree of accuracy and reliability and using techniques, equipment, and laboratory facilities which have been approved by the U.S. Department of Health and Human Service (HHS). All testing will be conducted consistent with the procedures set forth in 49 CFR Part 40, as amended. The procedures will be performed in a private, confidential manner and every effort will be made to protect the employee, the integrity of the drug testing procedure, and the validity of the test result. Collier County requires all individuals who collect samples in our program meet the requirements of Section 40.31(a) which states "Collectors meeting the requirements of this subpart are the only persons authorized to collect urine specimens for DOT drug testing. (b) A collector must meet training requirements of §40.33." 2) The drugs that will be tested for include Marijuana metabolites/THC. Cocaine metabolites, Amphetamines (including methamphetamine, MDMA), Opioids (including codeine, heroin (6- AM), morphine, hydrocodone, oxycodone, hydromorphone, and oxymorphone) and Phencyclidine (PCP). After the identity of the donor is checked using picture identification, a urine specimen will be collected using the split specimen collection method described in 49 CFR Part 40, as amended. Each specimen will be accompanied by a Federal Chain of Custody and Control Form and identified using a unique identification number that attributes the specimen to the correct individual. The specimen analysis will be conducted at a HHS certified laboratory. An initial drug screen and validity test will be conducted on the primary urine specimen. For those specimens that are not negative, one of two tests will be performed 1.A confirmatory Gas Chromatography/Mass Spectrometry (GC/MS) or, 2. A Liquid Chromatography/ Mass Spectrometry (LC/MS). The test will be considered positive if the amounts of the drug(s) and/or its metabolites identified by the GC/MS or LC/MS test are at or above the minimum thresholds established in 49 CFR Part 40, as amended. 3) The test results from the HHS certified laboratory will be reported to a Medical Review Officer. A Medical Review Officer (MRO) is a licensed physician with detailed knowledge of substance abuse disorders and drug testing. The MRO will review the test results to ensure the scientific validity of the test and to determine whether there is a legitimate medical explanation for a confirmed positive, substituted, or adulterated test result. The MRO will attempt to contact the employee to notify the employee of the non-negative laboratory result, and provide the employee with an opportunity to explain the confirmed laboratory test result. The MRO will subsequently review the employee’s medical history/medical records as appropriate to 16.F.10.b Packet Pg. 1706 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 11 determine whether there is a legitimate medical explanation for a non-negative laboratory result. If no legitimate medical explanation is found, the test will be verified positive or refusal to test and reported to the Collier County EHS Manager (DER/DAPM). If a legitimate explanation is found, the MRO will report the test result as negative to the DER/DAPM. 4) If the test is invalid without a medical explanation, a retest will be conducted under direct observation. Employees do not have access to a test of their split specimen following an invalid result. 5) Any covered employee who questions the results of a required drug test may request that the split sample be tested. The split sample test must be conducted at a second HHS-certified laboratory with no affiliation with the laboratory that analyzed the primary specimen. The test must be conducted on the split sample that was provided by the employee at the same time as the primary sample. 6) The method of collecting, storing, and testing the split sample will be consistent with the procedures set forth in 49 CFR Part 40, as amended. The employee's request for a split sample test must be made to the Medical Review Officer within 72 hours of notice of the original sample verified test result. Requests after 72 hours will only be accepted at the discretion of the MRO if the delay was due to documentable facts that were beyond the control of the employee. 7) If the analysis of the split specimen fails to confirm the presence of the drug(s) detected in the primary specimen, if the split specimen is not able to be analyzed, or if the results of the split specimen are not scientifically adequate, the MRO will declare the original test to be canceled. If the split specimen is not available to analyze the MRO will direct Collier County to retest the employee under direct observation. 8) The split specimen will be stored at the initial laboratory until the analysis of the primary specimen is completed. If the primary specimen is negative, the split will be discarded. If the primary is positive, the split will be retained for testing if so requested by the employee through the Medical Review Officer. If the primary specimen is positive, it will be retained in frozen storage for one year and the split specimen will also be retained for one year. 9) Observed collections a) Consistent with 49 CFR part 40, as amended, collection under direct observation (by a person of the same gender) with no advance notice will occur if: 1) The laboratory reports to the MRO that a specimen is invalid, and the MRO reports to Collier County EHS Manager (DER/DAPM) that there was not an adequate medical explanation for the result; 2) The MRO reports to Collier County that the original positive, adulterated, or substituted test result had to be cancelled because the test of the split specimen could not be performed; 3) The laboratory reported to the MRO that the specimen was negative-dilute with a 16.F.10.b Packet Pg. 1707 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 12 creatinine concentration greater than or equal to 2 mg/dL but less than or equal to 5 mg/dL, and the MRO reported the specimen to you as negative-dilute and that a second collection must take place under direct observation. 4) The collector observes materials brought to the collection site or the employee's conduct clearly indicates an attempt to tamper with a specimen; 5) The temperature on the original specimen was out of range; 6) Anytime the employee is directed to provide another specimen because the original specimen appeared to have been tampered with. 7) All follow-up-tests; or 8) All return-to-duty tests Dilute Urine Specimen If there is a negative dilute test result, Board of Collier County Commissioners (BCC) will conduct one additional retest. The result of the second test will be the test of record. Dilute negative results with a creatinine level greater than or equal to 2 mg/dL but less than or equal to 5 mg/dL require an immediate recollection under direct observation (see 49 CFR Part 40, section 40.67). Split Specimen Test In the event of a verified positive test result, or a verified adulterated or substituted result, the FAA covered employee can request that the split specimen be tested at a second laboratory at their own expense. Board of Collier County Commissioners (BCC) guarantees that the split specimen test will be conducted in a timely fashion. THIS SPACE LEFT BLANK INTENTIALLY 16.F.10.b Packet Pg. 1708 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 13 ALCOHOL MISUSE PREVENTION POLICY (AMPP) for DOT/FAA ALCOHOL TESTING Functions and Period of the Work Day Employees are Covered by the AMPP Any employee performing a safety-sensitive function is subject to alcohol testing and must refrain from consuming any alcohol (not just alcoholic beverages) whenever they are performing, ready to perform, or immediately available to perform these functions. Conduct Prohibited by the AMPP Alcohol and Alcohol Use  Alcohol is defined as the intoxicating agent in beverage alcohol, ethyl alcohol, or other low molecular weight alcohols, including methyl or isopropyl alcohol.  Alcohol use is defined as the consumption of any beverage, mixture, or preparation, including any medication (prescribed or over-the-counter, intentional or unintentional), containing alcohol. Alcohol Concentration  Covered employees may not report for duty or remain on duty in a position requiring the performance of safety-sensitive functions while having an alcohol concentration of 0.04 or greater. Pre-Duty Use  Employees may not perform flight crewmember, flight attendant, or air traffic controller duties within 8 hours after consuming alcohol.  Employees may not perform flight instruction, aircraft dispatcher, aircraft maintenance or preventive maintenance, ground security coordinator, or aviation screening duties within 4 hours after consuming alcohol. On-Duty Use  Covered employees may not consume alcohol in any form while performing safety-sensitive functions.  This prohibition also applies to covered employees who are at work and immediately available to perform safety-sensitive functions. Use After an Accident  Covered employees with knowledge of an accident involving an aircraft for which they performed a safety-sensitive function at or near the time of the accident may not use alcohol for 8 hours after the accident unless they have been given a post-accident test, or Collier 16.F.10.b Packet Pg. 1709 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 14 County Risk Management’s EHS manager or his designee has determined that their performance could not have contributed to the accident.  Accident is defined as an occurrence associated with the operation of an aircraft which takes place between the time any person boards the aircraft with the intention of flight and the time that all such persons have disembarked, and in which any person suffers death or serious injury or in which the aircraft receives substantial damage. Refusal to Submit to Testing  Covered employees may not refuse to submit to a post-accident, random, reasonable suspicion, return-to-duty, or follow-up alcohol test. Collier County will not permit an employee who refuses to submit to such a test to perform or continue to perform safety- sensitive functions.  Refusal to submit to a pre-employment test is not a violation of the FAA AMPP rule, but a refusal will preclude any person from being hired for a safety-sensitive function, unless he or she completes the SAP and return-to-duty processes. Circumstances Under Which a Covered Employee will be Tested for Alcohol Covered employees are subject to the following Federally mandated alcohol tests. It is an employer’s option whether to require alcohol pre-employment testing. If a company elects to do so, all applicants/employees must be subject to testing after a contingent offer of employment is made or the employee is transferred and prior to the first performance of safety-sensitive function. Post-Accident  As soon as practicable following an accident, each covered employee must be alcohol tested if that employee’s performance either contributed to the accident or cannot be discounted as a contributing factor to the accident.  A covered employee who is subject to post-accident alcohol testing will remain readily available for testing or may be deemed by the Collier County DER, or assistant DER if primary DER is not available, to have refused to submit to testing.  Attempts to conduct post-accident alcohol testing will cease 8 hours after the accident, even if no alcohol test has been conducted. The Federal Aviation Administration's (FAA’s) drug and alcohol testing regulation (14 CFR part 120) describes when an employer is required to conduct and when an employee must submit to post-accident drug and/or alcohol testing. As soon as practicable following an accident, each employer must test each surviving safety- sensitive employee for the presence of marijuana, cocaine, opioids, phencyclidine (PCP), and amphetamines, or a metabolite of those drugs in the employee's system, and for alcohol, if that employee's performance either contributed to the accident or cannot be completely discounted as a contributing factor to the accident. 16.F.10.b Packet Pg. 1710 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 15 For post-accident drug testing, the employee must be tested as soon as possible but not later than 32 hours after the accident. For post-accident alcohol testing, the employee must be tested as soon as possible but the time of testing cannot exceed 8 hours from the time of the accident. If a test is not administered within 2 hours following the accident, the employer must prepare and maintain on file a record stating the reasons why the test was not promptly administered. If a test is not administered within 8 hours following the accident, the employer must cease attempts to administer an alcohol test and must prepare and maintain the same record. The decision not to administer a test must be based on the employer’s determination, using the best information available at the time of the determination, that the employee's performance could not have contributed to the accident. The FAA and the National Transportation Safety Board (NTSB) define an accident as an occurrence associated with the operation of an aircraft which takes place between the time any person boards the aircraft with the intention of flight and all such persons have disembarked, AND in which any person suffers death or serious injury or in which the aircraft receives substantial damage. The NTSB regulations (49 CFR part 830) define "serious injury" and "substantial damage" as follows: “Serious injury means any injury which: (1) Requires hospitalization for more than 48 hours, commencing within 7 days from the date of the injury was received; (2) results in a fracture of any bone (except simple fractures of fingers, toes, or nose); (3) causes severe hemorrhages, nerve, muscle, or tendon damage; (4) involves any internal organ; or (5) involves second- or third-degree burns, or any burns affecting more than 5 percent of the body surface.” “Substantial damage means damage or failure which adversely affects the structural strength, performance, or flight characteristics of the aircraft, and which would normally require major repair or replacement of the affected component. Engine failure or damage limited to an engine if only one engine fails or is damaged, bent fairings or cowling, dented skin, small punctured holes in the skin or fabric, ground damage to rotor or propeller blades, and damage to landing gear, wheels, tires, flaps, engine accessories, brakes, or wingtips are not considered “substantial damage” for the purpose of this part.” Monetary damage is not a factor in determining what constitutes an "accident." Random  Covered employees will be selected for random alcohol testing through a scientifically valid method.  Random tests will be spaced throughout the year and will be unannounced.  Employees notified of selection for random testing must proceed immediately to the testing site. 16.F.10.b Packet Pg. 1711 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 16  Random tests will be conducted while the employee is performing safety-sensitive functions, just before the employee is to perform safety-sensitive functions, or just after the employee has ceased performing safety-sensitive functions. Reasonable Suspicion  A covered employee must submit to an alcohol test if Collier County Risk Management DER has determined that reasonable suspicion exists that the employee has violated the alcohol misuse prohibitions.  This determination must be based on a trained supervisor’s specific, contemporaneous, articulable observations concerning the appearance, behavior, speech or body odors of the employee.  Even if an alcohol test cannot be administered, no employee who is under the influence of or impaired by alcohol, as shown by behavioral, speech, or performance indicators of alcohol misuse, should report for duty or remain on duty requiring the performance of safety- sensitive functions until a test can be administered and the results are below 0.02 or until the commencement of the employee’s next duty period if at least 8 hours has elapsed.  Similarly, even if an alcohol test cannot be administered, Collier County BCC will not permit any employee who is under the influence of or impaired by alcohol, as shown by behavioral, speech, or performance indicators of alcohol misuse, to report for duty or remain on duty requiring the performance of safety-sensitive functions until a test can be administered and the result is below 0.02 or until the commencement of the employee’s next duty period if at least 8 hours has elapsed.  A supervisor who identifies an employee for a reasonable suspicion test cannot conduct the alcohol test as the breath alcohol technician for that employee. Return-to-Duty  Before a covered employee returns to duty in a safety-sensitive function after engaging in prohibited conduct, he or she will undergo a return-to-duty test.  The employee cannot perform a safety-sensitive function until a result indicating an alcohol concentration of less than 0.02 is obtained. Follow-Up  Each covered employee who has been identified by a substance abuse professional (SAP) as needing assistance in resolving a problem with alcohol misuse and who has returned to duty performing a safety-sensitive function will be subject to follow-up testing.  Follow-up tests will be unannounced.  The schedule for follow-up alcohol testing is established by the SAP. Retests  If Collier County BCC desires to permit an employee to perform a safety-sensitive function within 8 hours following administration of an FAA-mandated alcohol test indicating an 16.F.10.b Packet Pg. 1712 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 17 alcohol concentration of 0.02 or greater but less than 0.04, Collier County BCC will first retest the employee.  The employee may return to the safety-sensitive function if the retest result indicates an alcohol concentration of less than 0.02. PROCEDURES THAT WILL BE USED TO TEST FOR THE PRESENCE OF ALCOHOL; PROTECTING THE EMPLOYEE AND THE INTEGRITY OF THE BREATH TESTING PROCESS; SAFEGUARDING THE VALIDITY OF THE TEST RESULTS; AND ENSURING THAT THOSE RESULTS ARE ATTRIBUTED TO THE CORRECT EMPLOYEE. Collier County BCC will be using Harris Health Service on behalf of Vault Workforce Screening (Alternate Testing Facility is Advance Medical) to conduct alcohol testing. All tests will use one of the following procedures: Preparation for Breath Alcohol Testing  When the employee enters the alcohol testing location, the breath alcohol technician (BAT) /screening test technician (STT) will require the employee to provide positive identification (photo I.D. or identification issued by Collier County BCC). On request, the BAT/STT will provide positive identification to the employee. The BAT/STT will explain the testing procedures to the employee. Screening Tests  The BAT/STT will complete Step 1 on the alcohol testing form (ATF), and the employee will then complete Step 2 on the form, signing the certification. Refusal by the employee to sign this certification will be regarded as a refusal to take the test. Breath Tests  An individually sealed mouthpiece will be opened in view of the employee and the BAT and will be attached to the evidential breath-testing device (EBT) in accordance with the manufacturer’s instructions.  The BAT will instruct the employee to blow forcefully into the mouthpiece for at least 6 seconds or until the EBT indicates that an adequate amount of breath has been obtained.  If the EBT does not have a printer capable of generating a printed result showing a sequential test number, the manufacturer’s name for the device, the device’s serial number, and the time and date of the test, the BAT will record the displayed result, test number, testing device, serial number of the testing device, date, time and quantified result in Step 3 of the form. The BAT will then complete the rest of Step 3 in its entirety.  If the EBT provides a printed result, but does not print the results directly onto the form, the BAT will show the employee the result displayed on the EBT. The BAT will then affix the test result printout to the ATF in the designated space, using a method that will provide clear evidence of removal (e.g., tamper-evident tape).  If the EBT prints the test results directly onto the form, the BAT will show the employee the result displayed on the EBT and on the ATF. 16.F.10.b Packet Pg. 1713 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 18  In any case in which the result of the screening test is a breath alcohol concentration of less than 0.02, the BAT will date the form and sign the certification in Step 3 of the form.  If a test result printed by the EBT does not match the displayed result, the BAT will note the disparity in the remarks section. Both the employee and the BAT will initial or sign the notation. The test is then invalid and Collier County BCC and the employee will be so advised.  No further testing is authorized. The BAT will transmit the result of less than 0.02 to Collier County BCC Risk Management in a confidential manner and Collier County Risk Management Division will receive and store the information so as to ensure that confidentiality is maintained as required. Saliva Alcohol Screening Device (ASD)  The BAT/STT will check the expiration date on the device or on the package containing the device and show it to the employee. A device must not be used after its expiration date.  The BAT/STT will open an individually wrapped or sealed package containing the device in the presence of the employee.  The BAT/STT will offer the employee the opportunity to use the device. The BAT/STT will instruct the employee to insert it into his/her mouth and use it in a manner described by the device’s manufacturer.  If the employee chooses not to use the device, or in all cases in which a new test is necessary because the device did not activate, the BAT/STT must insert the device into the employee’s mouth and gather saliva in the manner described by the device’s manufacturer.  When the device is removed from the employee’s mouth, the BAT/STT must follow the manufacturer’s instructions regarding the necessary next steps to ensure that the device has activated.  The BAT/STT must read the result displayed on the device no sooner than the device’s manufacturer instructs. In all cases the result displayed must be read within 15 minutes of the test. The BAT/STT must then show the device and its reading to the employee and enter the result on the ATF.  The BAT/STT must note the fact that a saliva alcohol screening device was used in Step 3 of the ATF. Breath Tube Alcohol Screening Device (ASD)  The BAT/STT will check the expiration date on the detector device and the electronic analyzer or on the package containing the device and the analyzer and show it to the employee. A device or the analyzer must not be used after their expiration date. The BAT/STT must not use an analyzer which is not specifically pre-calibrated for the device being used in the collection.  The BAT/STT will remove the device from the package and secure an inflation bag onto the appropriate end of the device, as directed by the manufacturer on the device’s instructions.  The BAT/STT will break the tube’s ampoule in the presence of the employee.  The BAT/STT will offer the employee the opportunity to use the device. If the employee chooses to use the device, the BAT/STT will instruct the employee to blow forcefully and 16.F.10.b Packet Pg. 1714 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 19 steadily into the blowing end of the device until the inflation bag fills with air (approximately 12 seconds).  If the employee chooses not to hold the device, the BAT/STT must hold it and provide the use instructions.  Once the employee completes the breath process, the BAT/STT will take the device from the employee, remove the inflation bag, and prepare the device to be read by the analyzer in accordance with the manufacturer’s directions.  After waiting the required amount of time directed by the manufacturer for the detector device to incubate, the BAT/STT must place the device in the analyzer in accordance with the manufacturer’s directions. The result must be read from the analyzer no earlier than the required incubation time of the device. In all cases, the result must be read within 15 minutes of the test.  The BAT/STT must follow the manufacturer’s instructions for determining the result of the test. The BAT/STT must show the analyzer result to the employee and record the result on Step 3 of the ATF.  The BAT/STT must note the fact that a breath tube alcohol screening device was used in Step 3 of the ATF. Confirmation Tests  If the result of the screening test is an alcohol concentration of 0.02 or greater, a confirmation test will be performed. If a different BAT will conduct the confirmation test, the BAT who conducts the screening test will complete and sign step 3 of the ATF. The BAT will provide the employee with Copy 2 of the form.  In the presence of the employee, the BAT will conduct an “air blank” to ensure that the device is working correctly. You must show the reading to the employee. The air blank result must be 0.00. If the reading is greater than 0.00, the BAT will conduct one more air blank. If the reading is greater than 0.00, testing will not proceed using the instrument. However, testing may proceed on another instrument.  The BAT will instruct the employee not to eat, drink, put any object or substance in his or her mouth, and, to the extent possible, not belch during a waiting period before the confirmation test. This time period begins with the completion of the screening test, and will not be less than 15 minutes. The BAT will explain to the employee the reason for this requirement (i.e., to prevent any accumulation of mouth alcohol leading to an artificially high reading) and the fact that it is for the employee’s benefit. The BAT will also explain that the test will be conducted at the end of the waiting period, even if the employee has disregarded the instruction, the BAT will so note in the “Remarks” section of the ATF.  If a BAT other than the one who conducted the screening test is conducting the confirmation test, the new BAT will initiate a new ATF. The BAT will complete step 1 on the form. The employee will then complete Step 2 on the form, signing the certification. Refusal by the employee to sign this certification will be regarded as a refusal to take the test. The BAT will note in the “Remarks” section of the form that a different BAT conducted the screening process.  If the employee does not sign the certification in Step 4 of the form, it will not be considered a refusal to be tested. In this event, the BAT will note the failure to sign in the “Remarks” section of the form. 16.F.10.b Packet Pg. 1715 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 20  A breath alcohol test is invalid under the following circumstances: o The EBT does not pass its next external calibration check (invalidates all test results of 0.02 or greater on tests conducted since the last valid external calibration test; this does not invalidate negative tests). o The BAT does not observe the minimum 15-minute waiting period prior to the confirmation test. o The BAT does not perform an air blank on the EBT before a confirmation test, or such an air blank does not result in a reading of 0.00. o The BAT does not sign the form. o An EBT fails to print a confirmation test result. o The sequential test number or alcohol concentration displayed on the EBT is not the same as the sequential test number or alcohol concentration on the printed result.  Employee records pertaining to alcohol testing will be maintained in a secure location with controlled access.  These records will be promptly released to the employee, or a person identified by the employee (including subsequent employers), upon written request of the employee. This release of information will not be contingent upon payment for records other than those specifically requested.  These records must be released to Department of Transportation agency representatives upon request.  These records may must be released to the National Transportation Safety Board when requested as part of an accident investigation.  These records may be released to a Federal, state, or local safety agency with regulatory authority over the employer or the employee upon request. REQUIREMENTS THAT A COVERED EMPLOYEE SUBMIT TO ALCOHOL TESTS  The Federal Aviation Administration (FAA) Alcohol Misuse Prevention Program (AMPP) prohibits certain conduct by, and requires alcohol testing of persons who perform specified safety-sensitive functions. Persons who violate this regulation will be subject to consequences, including removal from safety-sensitive functions. AN EXPLANATION OF WHAT CONSTITUTES A REFUSAL TO SUBMIT TO AN ALCOHOL TEST AND THE ATTENDANT CONSEQUENCES  As a safety-sensitive employee, you are considered to have refused to take an alcohol test if you: 1. Fail to appear for any test (except a pre-employment test) within a reasonable time, as determined by the employer, consistent with applicable DOT agency regulations, after being directed to do so by the employer. This includes the failure of an employee (including an owner-operator) to appear for a test when called by a C/TPA (see 49 CFR Part 40.241(a)); 16.F.10.b Packet Pg. 1716 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 21 2. Fail to remain at the testing site until the testing process is complete; Provided, that an employee who leaves the testing site before the testing process commences (see 49 CFR Part 40.243(a)) for a pre-employment test is not deemed to have refused to test; 3. Fail to provide an adequate amount of saliva or breath for any alcohol test required by this part or DOT agency regulations; Provided, that an employee who does not provide an adequate amount of breath or saliva because he or she has left the testing site before the testing process commences (see 49 CFR Part 40.243(a)) for a pre-employment test is not deemed to have refused to test; 4. Fail to provide a sufficient breath specimen, and the physician has determined, through a required medical evaluation, that there was no adequate medical explanation for the failure (see 49 CFR Part 40.265 (c)); 5. Fail to undergo a medical examination or evaluation, as directed by the employer as part of the insufficient breath procedures outlined at 49 CFR Part 40.265(c); 6. Fail to sign the certification at Step 2 of the ATF (see 49 CFR Part 40.241 (g) and 49 CFR Part 40.251(d)); or 7. Fail to cooperate with any part of the testing process.  Any covered employee who holds an airman certificate issued under 14 CFR Part 61, Part 63, or Part 65 and refuses to submit to required random, post-accident, reasonable suspicion, or follow-up alcohol testing will be reported to the FAA’s Drug Abatement Division.  The attendant consequences are described in the following section. THE CONSEQUENCES FOR COVERED EMPLOYEES FOUND TO HAVE VIOLATED THE PROHIBITIONS OF THE AMPP, INCLUDING THE REQUIREMENT THAT THE EMPLOYEE BE REMOVED IMMEDIATELY FROM PERFORMING SAFETY-SENSITIVE FUNCTIONS, AND THE PROCESS IN 49 CFR PART 40, SUBPART O: Immediate Removal from Safety-Sensitive Functions  Covered employees are prohibited from performing safety-sensitive functions if they have engaged in prohibited conduct under the FAA rule or another DOT agency’s alcohol misuse rule (including refusal to submit to random, reasonable suspicion, post-accident, or follow-up testing). Any employee who has violated the rules of the AMPP will be immediately removed from performing safety-sensitive functions. Permanent Prohibition from Service  If a covered employee is determined to have violated the on-duty use of alcohol prohibition, he or she is permanently precluded from performing the safety-sensitive duties he or she performed before such a violation.  If a covered employee is determined to have violated the prohibited alcohol-related conduct provision, other than on-duty use, two times after the employee becomes subject to the 16.F.10.b Packet Pg. 1717 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 22 prohibitions, he or she is permanently precluded from performing the safety-sensitive duties he or she performed before such a violation.  The bar on two-time violators will apply both to persons who go through rehabilitation and to those who, after evaluation by an SAP, are determined not to need treatment. Notice to the Federal Air Surgeon  Any covered employee who holds an airman medical certificate issued under 14 CFR Part 67 and violates the provisions of the rule will be reported to the Federal Air Surgeon.  No covered employee who holds a Part 67 airman medical certificate will perform a safety- sensitive function after a violation unless and until, in addition to the required return-to-duty steps in 49 CFR Part 40, the Federal Air Surgeon has recommended that the employee be permitted to perform such duties. Return-to-Duty Process and Follow-Up Procedures (49 CFR Part 40, Subpart O)  As an employee, when you have violated DOT drug and alcohol regulations, you cannot again perform any DOT safety-sensitive duties for any employer until and unless you complete the SAP evaluation, referral, and education/treatment process set forth in 49 CFR Part 40, Subpart O and in applicable DOT agency regulations.  A verified positive DOT drug test result, a DOT alcohol test with a result indicating an alcohol concentration of 0.04 or greater, a refusal to test (including by adulterating or substituting a urine specimen) or any other violation of the prohibition on the use of alcohol or drugs under a DOT agency regulation constitutes a DOT drug and alcohol regulation violation.  An employer must provide to each employee (including an applicant or new employee) who violates DOT drug and alcohol regulation a listing of SAPs readily available to the employee and acceptable to the employer. The list of SAPs must include names, addresses, and telephone numbers. The employer cannot charge the employee any fee for compiling or providing this list.  An employer is not required to provide a SAP evaluation or any subsequent recommended education or treatment for an employee who has violated a DOT drug and alcohol regulation. However, if an employer offers that employee an opportunity to return to a DOT safety-sensitive duty following a violation, the employer must, before the employee again performs that duty, ensure that the employee receives an evaluation by a SAP meeting the requirements of 40.281 and that the employee successfully complies with the SAPs evaluation recommendations. Payment for SAP evaluations and services is left for employers and employees to decide and may be governed by existing management-labor agreements and health care benefits.  A SAP is charged with: 1. Making a face-to-face clinical assessment and evaluation to determine what assistance is needed by the employee to resolve problems associated with alcohol and/or drug use; 2. Referring the employee to an appropriate education and/or treatment program; 16.F.10.b Packet Pg. 1718 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 23 3. Conducting a face-to-face follow-up evaluation to determine if the employee has actively participated in the education and/or treatment program and has demonstrated successful compliance with the initial assessment and evaluation recommendations; 4. Providing the DER with a follow-up drug and/or alcohol testing plan for the employee; and 5. Providing the employee and employer with recommendations for continuing education and/or treatment.  If an employer decides to permit the employee to return to the performance of safety- sensitive functions, the employer must ensure that the employee takes a return-to-duty test. This test cannot occur until: 1. The employee has been evaluated by a SAP to determine what education and/or treatment the employee needs to resolve problems related to alcohol use. A minimum of education is required; 2. The employee has successfully complied with the prescribed education and/or treatment; 3. The employee has been re-evaluated by the SAP to ensure that the employee has properly followed the education and/or treatment program.  A SAP must establish a written follow-up testing plan for each employee who has committed a DOT drug or alcohol regulation violation and who seeks to resume the performance of safety-sensitive functions. The SAP does not establish this plan until after it is determined that the employee has successfully complied with the education and/or treatment recommendations. The SAP must present a copy of the follow-up testing plan directly to the employer’s designated representative. The SAP is the sole determiner of the number and frequency of follow-up tests and whether these tests will be for drugs, alcohol, or both, unless otherwise directed by the appropriate DOT agency regulation. For example, if the employee had a positive drug test, but the SAP evaluation or the treatment program professionals determined that the employee had an alcohol problem as well, the SAP should require that the employee have follow-up tests for both drugs and alcohol. However, the SAP must, at a minimum, direct that the employee be subject to six (6) unannounced follow-up tests in the first 12 months of safety-sensitive duty following the employee’s return to safety-sensitive functions. The SAP may require a greater number of follow-up tests during the first 12-month period of safety-sensitive duty. The SAP may also require follow- up tests during the 48 months of safety-sensitive duty following this first 12-month period. The SAP is not to establish the actual dates for the follow-up tests he/she prescribes. The decision on specific dates to test is the employer’s. An employer must not impose additional testing requirements (e.g., under company authority) on the employee that go beyond the SAP’s follow-up testing plan. 16.F.10.b Packet Pg. 1719 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 24 THE CONSEQUENCES FOR COVERED EMPLOYEES FOUND TO HAVE AN ALCOHOL CONCENTRATION OF 0.02 OR GREATER BUT LESS THAN 0.04  If a covered employee is found to have an alcohol concentration of 0.02 or greater but less than 0.04, that employee will be immediately removed from performing safety-sensitive functions, until the employee is retested with a result below 0.02, or until the start of the employee’s next regularly scheduled duty period, if it occurs at least 8 hours following administration of the test. 16.F.10.b Packet Pg. 1720 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 25 DOT / FAA CHECKLIST: New Hire/Transfer for Safety-Sensitive Position Note: The Department of Transportation (DOT) and Federal Aviation Administration (FAA) drug and alcohol testing regulations (49 CFR part 40 and 14 CFR part 120) require specific steps to take when hiring any individual for or transferring any employee into a safety-sensitive position. For more information, visit www.faa.gov/go/drugabatement. GENERAL INFORMATION Applicant/Employee’s Name/ID or SSN: Safety-Sensitive Position: ACTION CHECKLIST Notified applicant/employee of requirement to undergo pre-employment testing for the presence of marijuana, cocaine, opioids, phencyclidine (PCP), and amphetamines. Date Notified: Asked applicant/employee if they ever tested positive or refused a pre-employment drug or alcohol test administered by a DOT- regulated employer in the past two years, as required by 49 CFR § 40.25(j). Date Asked: Notified applicant/employee to report for DOT pre-employment drug and alcohol (optional) test. Date Notified: Received Medical Review Officer verified negative DOT pre-employment drug and alcohol (optional) test result. Date Received: Sent Release of Information Form(s) to former employer(s), as required by 49 CFR § 40.25 or PRIA. Employer: Date Sent: Date Received: Employer: Date Sent: Date Received: Employer: Date Sent: Date Received: Hired/Transferred employee into DOT safety-sensitive function. Date Hired/Transferred: Added new safety-sensitive employee to the DOT random pool. Date Added: Completed and documented Employee Drug and Alcohol Training and distributed drug and alcohol informational and educational materials. Date Completed: Copy of all pre-employment documents and results received by Director of Flight Operation and/or Director of Maintenance. Name and Signature of Official Completing Form: Comments/Additional Information: 16.F.10.b Packet Pg. 1721 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 26 DOT/FAA Pre-Employment Acknowledgement I understand and acknowledge that I will be required to undergo a DOT/FAA pre-employment drug test for the following prohibited drugs (as defined in 49 CFR § 40.3) prior to being hired or transferred into a Department of Transportation (DOT) safety-sensitive position as defined in 14 CFR part 120 : • Marijuana, • Cocaine, • Opioids, • Phencyclidine (PCP), and • Amphetamines (Print Name)________________ (Signature)________________ (Date)____________ 16.F.10.b Packet Pg. 1722 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 27 DOT/FAA Drug & Alcohol Pre-Employment Notification The Department of Transportation’s (DOT’s) Procedural regulation, 49 CFR part 40, § 40.25(j), requires an employer to ask: Have you previously tested positive, or refused to test, on any pre-employment drug or alcohol test administered by a DOT employer to which you applied and did not obtain employment? NO If no, sign below. YES If yes, did you successfully complete the DOT return-to-duty procedures described in 49 CFR part 40, Subpart O, with a qualified Substance Abuse Professional (SAP), as well as the return-to- duty and follow-up testing? Please indicate your response and explanation below: YES; please explain: (Print Name)________________ (Signature)________________ (Date)____________ 16.F.10.b Packet Pg. 1723 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT) 28 FAA/Drug Abatement Division’s Suggested “Release of Information Form -- 49 CFR Part 40 Drug and Alcohol Testing” for Aviation Employers Section I. To be completed by the new aviation employer, signed by the safety-sensitive employee, and transmitted to the previous DOT-regulated employer: Employee Printed or Typed Name: Employee SS or ID Number: I hereby authorize release of information from my Department of Transportation regulated drug and alcohol testing records by my previous employer, listed in Section I-B, to the aviation employer listed in Section I-A. This release is in accordance with DOT regulation 49 CFR Part 40, § 40.25 and FAA regulation 14 CFR part 120. I understand that information to be released in Section II-A by my previous employer, is limited to the following DOT-regulated testing items: 1. Alcohol tests with a result of 0.04 or higher; 2. Verified positive drug tests; 3. Refusals to be tested; 4. Other violations of DOT agency drug and alcohol testing regulations; 5. Information obtained from previous employers of a drug and alcohol rule violation; 6. Documentation, if any, of completion of the return-to-duty process following a rule violation. Employee Signature: Date: I-A. New Aviation Employer Name: Address: Phone #: Designated Employer Representative: I-B. Fax #: Previous Employer Name: Address: Phone #: Designated Employer Representative (if known): Section II. To be completed by the previous employer and transmitted by mail or fax to the new employer: II-A. While employed ~ 1. Did the employee have alcohol tests with a result of 0.04 or higher? YES 2. Did the employee have verified positive drug tests? YES 3. Did the employee refuse to be tested? YES 4. Did the employee have other violations of DOT agency drug and alcohol testing regulations? YES 5. Did a previous employer or the employee report a drug and alcohol rule violation to you? YES 6. If you answered “yes” to any of the above items, did the NO NO NO NO NO employee complete the return-to-duty process? N/A YES NO NOTE: If you answered “yes” to any of the above items, you must provide the records concerning the result, violation and/or return- to-duty documentation (e.g., SAP report(s), follow-up testing results, etc.). II-B. Name and Title of person providing information in Section II-A: Phone #: Date: 16.F.10.b Packet Pg. 1724 Attachment: FAA Collier County Drug & Alcohol Testing Protocol (28221 : FAA SETTLEMENT AGREEMENT)