Model Training Course for Drug and Alcohol Testing Officers authorised by Accredited Rail Transport

1
Model Training Course for Drug and Alcohol
Testing Officers authorised by Accredited Rail
Transport Operators
Last updated May 2009
2
Module 1 Course overview and legislative
requirements

• Aims and learning outcomes of the training course
• Key requirements of accredited rail transport
  operator drug and alcohol management programs
• Legal obligations of accredited rail transport
  operators under the drug and alcohol testing
  Regulation
• Who is to be tested?
• What is a positive test result? Offences and
  penalty provisions
• Understanding alcohol and other drugs (optional)

3
Aims of the training course

• To fulfil the training requirements for testing
  officers as outlined in the NSW Training
  Requirements for Testing Officers approved by
  ITSRR.
• To ensure that testing officers have sufficient
  knowledge and skills to carry out the functions
  of a testing officer under the Rail Safety (Drug
  and Alcohol Testing) Regulation 2008 and under
  the rail transport operators drug and alcohol
  management program.
• To improve the quality and consistency of drug
  and alcohol testing in the rail industry in New
  South Wales.

4
Summary of content of testing officer training

• Modules to be covered are
• 1. Legislative requirements
• 2. Rights, roles and responsibilities
• 3. Planning the use of equipment and
  communicating about testing
• 4. Random testing
• 5. Reasonable cause testing
• 6. Post-incident testing
• 7. Managing notification responsibilities, record
  keeping and other testing issues

5
Overall learning outcomes

• On completion of the training participants
  should be able to
• outline the legislative requirements for drug and
  alcohol testing, including the offences under the
  Regulation,
• outline their organisations requirements for
  drug and alcohol testing,
• describe the respective rights, roles and
  responsibilities of rail transport operators,
  rail safety workers engaged in rail safety work,
  and those involved in the drug and alcohol
  testing process,
• detail best practice principles that ensure
  privacy and confidentiality, duty of care,
  provision of information, fairness and gender and
  cultural sensitivity,
• plan and conduct appropriate testing activities
  and respectful communications about testing
  activities and outcomes,

6
Overall learning outcomes continued

• On completion of the training participants should
  be able to
• explain their organisations required procedures
  for random, reasonable cause and post-incident
  testing,
• apply appropriate assessment tools and techniques
  to support testing and to facilitate
  self-disclosure by rail safety workers,
• respond effectively to testing and assessment
  challenges, including responding to positive test
  results, providing testing in remote locations,
  dealing with refusal or failure to undergo
  testing, and collecting and validating additional
  assessment information, and
• outline notification and record keeping
  requirements for drug and alcohol testing.

7
Key requirements of accredited rail transport
operator DA management programs

• The program must include the following
• guidelines and provision for training for
  managers and supervisors for dealing with rail
  safety workers whose work is or may be affected
  by the use of alcohol or other drugs,
• confidentiality requirements and protocols for
  personal information obtained from rail safety
  workers during counselling, treatment or
  rehabilitation,
• measures to be taken by or on behalf of the
  operator relating to the use of alcohol or other
  drugs by rail safety workers, including
• the prohibition or restriction of the
  availability of alcohol and other drugs,
• the establishment of rules relating to the use of
  alcohol and other drugs,
• the identification of workers who have alcohol or
  other drug related problems and the referral of
  those workers, where appropriate, for assessment,
  treatment and rehabilitation,
• the use of appropriate personnel management and
  employment practices to reduce any other alcohol
  or other drug related problems,

8
Key requirements of accredited rail transport
operator DA management programs continued

• the provision of leave, if appropriate, to rail
  safety workers for the purpose of rehabilitation
  and treatment programs, and
• the provision of information to rail safety
  workers about the rules relating to the use of
  alcohol and other drugs and the safety risks that
  may arise from the use of alcohol and other
  drugs.
• a drug and alcohol policy,
• an emphasis, in relation to rail safety workers,
  on drug and alcohol education and rehabilitation,
• matters relating to the obligations of rail
  safety workers with respect to the management of
  alcohol and other drug use, and the actions,
  including disciplinary sanctions, that may be
  taken by the rail transport operator if there is
  a breach of those obligations, including
• the requirement to notify the operator if they,
  or another worker, is affected by alcohol or any
  other drug (including prescription drugs),
• the provision of education and rehabilitation
  measures for workers, including those who
  self-identify,

9
Key requirements of accredited rail transport
operator DA management programs continued

• the provision of information about workers
  responsibilities in relation to alcohol and other
  drug use, under the Act, Regulation and program,
• the provision of information about the problems
  arising from the consumption or use of alcohol or
  other drugs and the applicable disciplinary
  sanctions,
• appeals against disciplinary sanctions relating
  to the use of alcohol or other drugs,
• grievance mechanisms for dealing with complaints
  about the application of sanctions or the
  implementation of the program, and
• protocols for fair procedures relating to the
  operation of the program and testing under the
  Regulation,
• testing procedures, and
• testing officer authorisation and training
  procedures.

10
Exercise 1 Key requirements of your rail
transport operators drug and alcohol management
program

• Review your rail transport operators drug and
  alcohol management program.
• Read ?Information Sheet 1 What are the key
  requirements for rail transport operator drug and
  alcohol management programs?
• Answer the following questions
• ?What are 3 key requirements of your rail
  transport operators drug and alcohol management
  program?
• ?What are the implications for you as a testing
  officer?

11
The DA Testing Regulation When is testing
required?

• Testing may be conducted on a random, targeted or
  post-incident basis. (NB. Reasonable cause
  testing is a form of targeted testing.)
• Testing is mandatory for prescribed incidents.
• Accredited rail transport operators (except for
  heritage operators) are required to conduct
  random testing of not less than 25 of their rail
  safety workers in each year.
• Heritage operators will be targeted by ITSRRs
  random testing program.

12
The DA Testing Regulation requirements for
testing officers.

• The term testing officer has been adopted,
  replacing the term authorised officer.
• An accredited rail transport operators drug and
  alcohol management program must include
  procedures for the authorisation and training of
  testing officers for the purposes of conducting
  drug and alcohol testing.
• The requirement for ITSRR approval of testing
  officers has been removed, enabling accredited
  rail transport operators to authorise their own
  drug and alcohol testing officers.

13
The DA Testing Regulation requirements for
testing officers (cont)

• Testing officers are required to produce their
  certificate of authorisation if requested by a
  rail safety worker who is required to submit to
  testing.
• Accredited rail transport operators must ensure
  that testing officers are trained according to
  training requirements approved by the ITSRR.
  These are published on ITSRRs website.
• ITSRR has the power to audit testing procedures
  and to revoke authorisations.

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Who is to be tested?

• Rail safety workers who perform rail safety work
  are to be tested under the Regulation.
• The Rail Safety Act 2008 defines a rail safety
  worker as a natural person who has carried out,
  is carrying out or is about to carry out rail
  safety work, which includes employees,
  contractors or volunteers.
• An accredited rail transport operator may test
  other operators rail safety workers who are
  performing rail safety work on that accredited
  rail transport operators railway (eg. RailCorp
  may test contractors on their railway who are not
  RailCorp workers.) However, rail transport
  operators should consider limiting the authority
  of their testing officers (in their notices of
  authorisation) to only test their own rail safety
  workers, unless they have made an arrangement
  with the relevant rail transport operator.
• Rail transport operators may also test other
  employees under their drug and alcohol management
  program (but this is not required under the
  Regulation).

15
Rail safety work is.

• Section 7 of the Rail Safety Act 2008 provides
  the full definition of rail safety work. It
  includes
• driving or despatching rolling stock,
• signalling (and signalling operations), receiving
  or relaying communications,
• coupling or uncoupling rolling stock,
• maintaining, repairing, modifying, monitoring,
  inspecting or testing rolling stock or rail
  infrastructure,
• installation of components in relation to rolling
  stock,
• work on or about rail infrastructure relating to
  the design, construction, repair, modification,
  maintenance, monitoring, upgrading, inspection or
  testing of the rail infrastructure,
• installation or maintenance of
• a telecommunications system relating to rail
  infrastructure,
• the means of supplying electricity directly to
  rail infrastructure, any rolling stock using rail
  infrastructure or a telecommunications system,
• work involving certification as to the safety of
  rail infrastructure or rolling stock,
• work involving the decommissioning of rail
  infrastructure or rolling stock,
• work involving the development, management or
  monitoring of safe working systems for railways,
• work involving the management or monitoring of
  passenger safety on, in or at any railway.

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What is a positive test result offences for rail
safety workers under the Regulation

• carrying out rail safety work with the prescribed
  concentration of alcohol present in the workers
  breath or blood (0.02 grammes or more of alcohol
  in 210 litres of breath or 100 millilitres of
  blood) - clause 12,
• carrying out rail safety work while under the
  influence of alcohol or any other drug - clause
  13,
• refusal or failure to be tested - clause 27,
• interfering with test results - clause 29, and
• interfering or tampering with, or destroying
  blood or urine samples - clause 31.

17
Exercise 2 What are the legislative requirements
for testing?

• Read ?Information Sheet 2 What the
  legislation says about drug and alcohol testing.
• Read ?Information Sheet 3 What are the main
  offences and penalties relating to alcohol or
  other drugs?
• Turn to the Worksheet Module 1 Exercise 2
  Quiz questions legislative requirements for
  testing in your workbook.
• Answer the quiz questions
• ? Yes or No

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Exercise 3 Understanding alcohol and other drugs
(optional exercise)

• Read ?Information Sheet 4 Understanding
  alcohol and other drugs.
• Answer the following questions
• ? What are 3 of the most significant impacts of
  alcohol and/or drug overuse on
• - the individual
• - the workplace

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Module 1 summary

• Issues covered were
• ? key requirements of accredited rail transport
  operator drug and alcohol management programs
• ? legal obligations of accredited rail transport
  operators under the drug and alcohol testing
  Regulation
• ? who is to be tested?
• ? what is a positive test result? Offences and
  penalty provisions
• ? understanding alcohol and other drugs (optional
  exercise)

20
Module 2 Rights, roles and responsibilities

• Principles of good practice
• The obligations of the rail transport operator
• The rights and obligations of rail safety workers
  who perform rail safety work, when tested
• The role and powers of testing officers and
  restrictions on testing
• The role and powers of the ITSRR
• Rights, roles and obligations rail transport
  operators drug and alcohol management program

21
Principles of good practice

• privacy and confidentiality
• duty of care
• provision of information
• fairness
• gender and cultural sensitivity

22
Privacy and confidentiality

• The Privacy and Personal Information Protection
  Act 1998 requires organisations to protect
  peoples privacy in a number of circumstances
• collection of personal information for lawful
  purposes
• collection of personal information directly from
  the individual and by other means
• retention and security of personal information
• personal information held by agencies

23
Privacy and confidentiality continued

• access to personal information held by agencies
• alteration of personal information
• agency must check accuracy of personal
  information before use
• limits on use of personal information
• limits on disclosure of personal information
• special restrictions on disclosure of personal
  information.

24
Privacy and confidentiality continued

• Rail safety workers have a right to
  confidentiality when addressing personal or
  sensitive issues.
• This means that information about results of
  testing or personal health information is shared
  with other people only on a need to know basis.
  
• This should include information about the way the
  rail transport operator and the testing officer
  deal with rail safety worker information and also
  the limits on confidentiality (eg operators are
  required to notify ITSRR of matters specified in
  clause 36).

25
Duty of Care

• Rail transport operators and rail safety workers
  need to be aware of their responsibility to take
  reasonable steps to prevent injury and to ensure
  the safety of railway operations.
• We all owe a duty of care to other employees,
  customers and the public.

26
Provision of information

• It is important that rail safety workers are
  given clear information about the drug and
  alcohol management program and how testing
  occurs.
• This should include information about the limits
  on confidentiality, eg. rail transport operators
  are required to notify ITSRR of any of the
  matters specified in clause 36 of the Regulation,
  including positive tests, and this information
  could ultimately lead to prosecution.
• Rail safety workers also need to be aware of the
  consequences of refusing or failing to be tested.

27
Fairness

• In the case of a positive test, the rail
  transport operators duty is to explain to rail
  safety workers what it is they are alleging and
  to listen to the rail safety workers
  explanation.
• Fairness - taking into account the interests of
  all parties, treating them impartially and giving
  due weight and consideration to the individuals
  rights, interests and legitimate expectations.

28
Gender and cultural sensitivity

• Gender and cultural sensitivity is based on a
  recognition of the diversity in the workplace and
  that all employees are to be treated with respect
  and in a non-discriminatory, non-threatening
  manner.
• Rail transport operators drug and alcohol
  management programs need to take into account
  religious, cultural and gender issues and testing
  officers must conduct their testing in ways that
  reflect these requirements.

29
Exercise 1 Principles of good practice

• Review your rail transport operators drug and
  alcohol management program.
• Review the principles of good practice in your
  workbook.
• Turn to Worksheet Module 2 Exercise 1
  Principles of good practice in testing in your
  workbook.
• Complete the following tasks
• ?Choose one good practice principle of your rail
  transport operators drug and alcohol management
  program?
• ?Give an example of this principle in your work
  as a testing officer?

30
The obligations of accredited rail transport
operators

• Testing requirements for rail transport operators
  to conduct random testing
• The rail transport operators drug and alcohol
  management program must provide for the random
  testing of not less than 25 of rail safety
  workers in each year.
• Risk management principles must be used to select
  rail safety workers.
• Heritage operators are not required to conduct
  random testing, but are targeted by ITSRRs
  random testing program.

31
The obligations of accredited rail transport
operators continued...

• Testing requirements for rail transport operators
  to conduct targeted/reasonable cause testing
• The rail transport operators drug and alcohol
  management program must provide for targeted
  testing of rail safety workers.
• The rail transport operators drug and alcohol
  management program must require the testing of
  rail safety workers who the operator has
  reasonable cause to believe are under the
  influence of alcohol or any other drug.

32
The obligations of accredited rail transport
operators continued...

• Testing requirements for rail transport
  operators to conduct post-incident testing
• The rail transport operators drug and alcohol
  management program must provide for the testing
  of rail safety workers involved in
• - an accident or irregular incident while
  carrying out rail safety work, and
• - workers involved in a prescribed incident.
• Unless the rail transport operator provides a
  reasonable excuse for not testing, testing must
  take place within 3 hours of a prescribed
  incident.

33
Rail safety workers rights and obligations

• All rail safety workers who are on duty or are
  about to carry out rail safety work may be
  required to submit to random or targeted testing.
• Rail safety workers involved in an accident or
  irregular incident while carrying out rail safety
  work may be required to submit to post-incident
  testing.
• About to carry out rail safety work means the
  rail safety worker has left home or a temporary
  residence for work but has not yet commenced
  work.
• The results of testing for a rail safety worker
  who was about to carry out rail safety work may
  be used in disciplinary proceedings but are not
  admissible as an offence under the Regulation.

34
Rail safety workers rights and
obligations(continued)

• Refusing or failing to undergo testing is an
  offence, unless the rail safety worker was unable
  to comply on medical grounds.
• Rail safety workers have the right to know the
  consequences of failure or refusal to undergo
  testing and to be advised of outcomes of testing.
• Rail safety workers should be informed of
• the desirability to disclose the use of
  prescription drugs
• the availability of counselling, treatment and
  rehabilitation.

35
Testing officer powers, roles and responsibilities

• Testing officers are authorised by rail transport
  operators to undertake random, targeted or
  post-incident testing of rail safety workers.
• Testing officers may direct rail safety workers
  to
• undergo a breath test and/or provide a sample of
  urine
• submit to a sobriety assessment
• submit to a breath analysis
• provide blood and/or urine samples at a hospital
• undergo testing by a third party testing service
  provider, eg. provide urine samples to a
  collecting agency or blood/urine samples to a
  medical practitioner/registered nurse at a
  hospital
• Testing officers are protected from liability for
  anything properly and necessarily done in the
  course of administering a breath test or breath
  analysis, conducting a sobriety assessment or
  taking a sample of urine in the exercise of the
  functions of a testing officer under this
  Regulation.

36
Testing officer powers, roles and
responsibilities continued

• ? Testing officers must not arrest or detain rail
  safety workers.
• Under clause 22 of the Regulation, testing
  officers or police officers must not require a
  rail safety worker to undergo a breath test,
  assessment, breath analysis or provide a sample
  of blood or urine
• if the testing is against medical advice or
  would be dangerous to the workers medical
  condition,
• 3 hours after the worker carried out the
  rail safety work (or was due to commence the
  rail safety work) to which the requisition
  relates,
• after a worker, who has not been involved in
  an accident or irregular incident, has ceased to
  be on duty on a particular day, or
• at the workers home.

37
What is the main role of ITSSR?

• Monitoring and enforcing the relevant legislation
  through
• monitoring notifications from rail transport
  operators of positive test results and refusals
• monitoring quarterly reports from rail transport
  operators
• auditing drug and alcohol management programs
  and
• pursuing prosecutions.
• May authorise testing officers and revoke
  authorisation of testing officers, where
  appropriate.

38
Exercise 2 What are the rights and obligations
of those involved with testing?

• Read ?Information Sheet 5 What are the rights
  and obligations of those involved with drug and
  alcohol testing?
• Turn to Worksheet Module 2 Exercise 2 Quiz
  questions What are the rights, roles and
  obligations involved in testing? in your
  workbook.
• Answer the quiz questions
• ? Yes or No

39
Exercise 3 Rights, roles and obligations rail
transport operators drug and alcohol management
program

• Refer to your rail transport operators drug and
  alcohol management program as a guide.
• Refer to Worksheet Module 2 Exercise 3
  Whose rights, roles and obligations? in your
  workbook.
• Read the 3 case studies and answer the following
  question
• ? Is this good practice or poor practice?

40
Module 2 summary

• Issues covered were
• ? principles of good practice ensuring privacy
  and confidentiality, duty of care, provision of
  information, fairness and gender and cultural
  sensitivity
• ? obligations of rail transport operators in drug
  and alcohol testing
• ? rights and obligations of rail safety workers
  who perform rail safety work, when tested
• ? the role and powers of testing officers and
  restrictions on testing
• ? the role and powers of ITSRR
• ? rights, roles and obligations rail transport
  operators drug and alcohol management program

41
Module 3 Planning the use of equipment and
communicating about testing

• Planning the use of alcohol breath testing,
  breath analysis and urine drug testing devices
  and/or accessing testing service providers
• Communicating with rail safety workers who
  perform rail safety work about testing in a
  respectful and non-adversarial way
• Communicating positive test results, including
  confirmatory testing
• Responding to failure or refusal to undergo
  testing
• The role of third party testing service providers

42
Drug alcohol testing equipment services

• Breath testing devices must
• comply with the AS 3547-1997, Breath alcohol
  testing devices for personal use, or be of a
  type approved by the Governor by order published
  in the Gazette for the purposes of the Road
  Transport (Safety and Traffic Management) Act
  1999
• be fully maintained and calibrated at regular and
  agreed intervals.
• Users of testing equipment must have sufficient
  training to enable them to use the equipment
  effectively.
• Urine samples must be collected, transported,
  tested (if tested by a laboratory) and stored in
  accordance with the requirements of
  AS/NZ43082008, Procedures for specimen
  collection and the detection and quantitation of
  drugs of abuse in urine.
• On-site drug screening devices must have the same
  immunoassay process and the same drug presence
  cut-off levels as the AS4308.
• Note
• 1. Approved laboratory for urine samples a
  laboratory that has been accredited by the
  National Association of Testing Authorities,
  Australia (NATA) for the purposes of AS/NZS
  43082008. The Regulation also provides for a
  laboratory that is accredited by NATA for the
  purposes of AS/NZS 43082001, Procedures for the
  collection, detection and quantitation of drugs
  of abuse in urine, to be taken to be an approved
  laboratory which complies with the 2008 Standard
  until 1 January 2012.
• 2. On-site urine screening testing is not
  required by the Regulation to comply with AS
  43082008.

43
Exercise 1 Drug and alcohol testing equipment
and procedures scenarios

• Read Frequently Asked Question 4.
• Read ?Information Sheet 6 What are the
  requirements for drug and alcohol testing
  equipment and services?
• Refer to Worksheet Module 3 Exercise 1
  Multiple choice scenarios in your workbook.
• Read the multiple choice scenarios and decide
• Which is the most appropriate response
• A),B),C), or D)?
• ? Why?

44
Exercise 2 Scripts for introducing testing to
rail safety workers

• Refer to your rail transport operators drug and
  alcohol management program.
• Read Frequently Asked Question 5.
• Turn to the Worksheet Module 3 Exercise 2
  Scripts for testing officers in your workbook.
• Role play the rail safety worker and the testing
  officer for either
• ? introduction to requesting breath testing
• ? introduction to requesting a urine test
• Debrief the role play using the debrief of
  scripts and discuss how the scripts may be
  improved.

45
Flowchart resource procedures for a positive
breath test or sobriety assessment
Yes
No
Conduct breath test
Conduct sobriety assessment
Positive breath test or assessment?
Yes on breath test
Yes on sobriety assessment
Is breath analysis testing equipment available
on-site or at nearest police station?
Yes
No
Testing officer may direct worker to attend
breath analysis testing
Testing officer may direct worker to provide
blood or urine sample
46
Common steps that the testing officer may be
required to implement after a positive test
result include

• notifying those who need to know within the
  organisation of the positive test result, in
  accordance with the operators procedures,
• obtaining full details and documentation of the
  positive test result,
• notifying the rail safety worker in a private and
  confidential manner,
• advising the rail safety worker of the right to
  have the urine sample independently analysed,
• arranging for the rail safety worker to discuss
  their test result with the rail transport
  operator, their manager and/ or HR manager,
• maintaining appropriate records of the positive
  test result,
• preparing a written statement, where required,
• notifying the ITSSR in accordance with their
  procedures relating to a positive test result.
• Refer to Exercise 3 Scripts for responding to
  positive test results.

47
Exercise 4 Scripts responding to refusal or
failure to undergo testing (optional)

• Refer to your rail transport operators drug and
  alcohol management program and identify
  procedures for refusal or failure to submit to
  testing.
• Turn to the Worksheet Module 3 Exercise 4
  Scripts for refusal or failure to undergo
  testing in your workbook.
• Review the scripts and compare the information
  with your rail transport operators drug and
  alcohol management program.
• Note any additional information you need to add
  based on your rail transport operators drug and
  alcohol management program.

48
Legal requirements testing officers and third
party testing service providers who can do what?

• Breath test testing officer or police officer
• Breath analysis testing officer (if equipment
  available) or police officer
• Urine sample can be collected by testing
  officer, police officer or collecting agency
  under direction of testing officer
• Blood/urine sample taken at a hospital medical
  practitioner or suitably qualified registered
  nurse informed to do so by a testing officer or
  police officer
• Urine screening on-site drug screening device
  (with same immunoassay process and drug presence
  cut-off levels as AS 43082008) operated by
  testing officer or collecting agency, or
  screening by analyst at an approved laboratory
• Blood/urine analysis analyst at an approved
  laboratory
• Note
• Approved laboratory for blood samples the
  laboratory at Lidcombe of the Division of
  Analytical Laboratories, ICPMR, Western Sydney
  Area Health Service.
• Approved laboratory for urine samples a
  laboratory that has been accredited by NATA for
  the purposes of AS/NZS 43082008. NB. The
  Regulation also provides for a laboratory that is
  accredited for the purposes of AS/NZS 43082001,
  to be taken to be an approved laboratory which
  complies with the 2008 Standard until 1 January
  2012.
• On-site urine screening testing is not required
  by the Regulation to comply with AS 43082008.

49
Legal requirements testing officers and third
party testing service providers blood samples

• Action to take - blood samples (clause 23)
• Medical practitioner/nurse must
• place blood sample into container
• fasten and seal container
• mark or label container for future identification
• provide rail safety worker with identification
  certificate
• hand sample over to testing officer/police asap
• Testing officer/police officer must
• place sample in security box and lock the box
• submit sample to approved laboratory asap for
  analysis by an analyst
• Analysis of samples
• Blood analysis to determine alcohol
  concentration or presence of alcohol or other
  drug/s
• Worker may, within 12 months, arrange for a
  portion of the sample to be analysed at their own
  expense by a medical practitioner or laboratory

50
Legal requirements testing officers and third
party testing service providers urine samples

• Action to take - urine samples (clause 24)
• The collection, transportation, laboratory
  testing and storage of urine samples must comply
  with AS/NZS 43082008.
• Screening testing may be carried out by a
  testing officer or collecting agency using an
  on-site drug screening device (with same
  immunoassay process and drug presence cut-off
  levels as AS 43082008), or by an analyst at an
  approved laboratory.
• If confirmatory testing is required (drug/s
  present)
• for sample screened on-site, testing officer
  must arrange to submit sample to an approved
  laboratory, or
• for sample screened at an approved laboratory,
  an analyst at an approved laboratory must conduct
  confirmatory testing on the sample
• Analysis of samples
• Urine analysis to determine presence of drug/s
• Worker may, within 3 months, arrange for a
  portion of the sample to be analysed at their own
  expense at an approved laboratory
• Note
• 1.The Regulation provides for a laboratory
  accredited by NATA for the purposes of AS/NZS
  43082001, to be taken to be an approved
  laboratory which complies with the 2008 Standard
  until 1 January 2012.
• 2. On-site urine screening testing is not
  required by the Regulation to comply with AS
  43082008.

51
Legal requirements testing officers and third
party testing service providers medical
practitioners and nurses

• If directed by a testing officer or police
  officer, a medical practitioner or registered
  nurse (who is accredited by a hospital as
  competent to perform the sampling procedures)
  must take a blood or urine sample (clauses 19 and
  21).
• Any medical practitioner or nurse who refuses or
  fails to take a sample or who does not comply
  with the requirements of clause 23 or 24 is
  guilty of an offence (clause 30) unless
• taking a sample would be prejudicial to the rail
  safety workers proper care and treatment
• the rail safety workerss behaviour precludes the
  taking of a sample
• they can demonstrate that there was other
  reasonable cause not to take the sample
• Medical practitioners and nurses are protected
  from liability for anything properly and
  necessarily done in the course of taking the
  samples.

52
Certificates of Evidence

• A Certificate of Evidence is given to certify
• concentration of alcohol in breath or blood
  determined by breath analysis (clause 32)
• concentration of alcohol in blood determined by
  analysis of blood sample (clause 33)
• presence of drugs in blood or urine determined by
  analysis of blood or urine samples (clause 34)
• In proceedings for an offence under the Rail
  Safety (Drug and Alcohol Testing) Regulation, a
  certificate purporting to be signed by the ITSRR
  and certifying that the testing officer named in
  the certificate is a testing officer is prima
  facie evidence of the particulars certified in
  and by the certificate (clause 35).

53
Module 3 summary

• Issues covered were
• ? planning the use of breath testing, breath
  analysis and urine drug testing devices and/or
  accessing testing service providers
• ? communicating with rail safety workers in a
  respectful and non-adversarial way
• ? communicating positive test results, including
  confirmatory testing
• ? responding to failure or refusal to undergo
  testing
• ? the role of third party testing service
  providers such as the police, medical
  practitioners, nurses and contracted testing
  service providers

54
Module 4 Random testing

• Planning for random testing
• Selecting and informing rail safety workers of
  random testing
• Procedures and documentation
• NOTE
• Heritage operators are not required to conduct
  random testing.

55
Issues to consider in planning random testing

• Determine
• how rail safety workers will be selected for
  testing
• whether higher risk job categories may need to be
  tested more often,
• the impact testing will have on railway
  operations,
• the resources available to do the testing i.e.
  equipment, third party testing service providers,
  access to breath analysis devices urine
  testing,
• the amount of time each test requires,
• the number of rail safety workers your rail
  transport operator needs to test per year, and
• what and how testing information is to be
  documented.

56
Exercise 1 Planning random drug and alcohol
testing activities (optional)

• Refer to your rail transport operators drug and
  alcohol management program.
• Read ?Information Sheet 7 Planning and
  organising issues for testing officers.
• Read Frequently Asked Questions 8 and 9.
• Complete the Worksheet Module 4 Exercise 1
  Checklist for planning drug and alcohol testing
  activities in your workbook.

57
Exercise 2 Random drug and alcohol testing
scenarios

• Refer to your rail transport operators drug and
  alcohol management program.
• Refer to the Worksheet Module 4 Exercise 2
  Random drug and alcohol testing practice
  scenarios in your workbook.
• Record the factors to consider, suggested
  responses and proposed actions for each of the
  scenarios.

58
Module 4 summary

• Issues covered were
• ? Planning for random testing
• ? Selecting and informing rail safety workers of
  random testing
• ? Procedures and documentation

59
Module 5 Reasonable cause testing

• Assessing reasonable cause techniques, including
  sobriety assessment
• Receiving and responding to information about
  rail safety workers allegedly under the influence
• Assessment challenges - misreading the cues
• Self-disclosure of medications in the workplace
• Testing in remote locations (optional)
• Recording reasonable cause testing results
• Note Reasonable cause testing is a form of
  targeted testing.

60
Do I have reasonable cause?

• The most common ways of forming a reasonable
  belief or a suspicion is through observations and
  recognising possible indicators of being under
  the influence, and from disclosures or
  allegations made.
• Testing officers should consider whether the
  behaviour is out of character or is that persons
  usual presentation.
• Testing officers should consider the symptoms and
  whether they may be due to causes other than
  drugs and alcohol, such as an illness or other
  medical condition.
• Identifying the drug in the rail safety workers
  system is the role of the approved laboratory
  undertaking the toxicology tests.

61
Exercise 1 Reasonable cause case studies

• Refer to the Worksheet Module 5 Exercise 1
  Case studies Indicators of being under the
  influence in your workbook.
• Refer to ?Information Sheet 4 Understanding
  alcohol and other drugs.
• Consider the possible cause and your proposed
  action for each scenario.
• Review the scripts for approaching a rail safety
  worker about reasonable cause.

62
Sobriety assessment

• Under clause 17 of the Regulation
• If a testing officer or police officer is
  entitled to require a rail safety worker to
  undergo a breath test, and the device required to
  carry out the breath test is not readily
  available, the officer may require the worker to
  submit to an assessment of their sobriety in
  accordance with the directions of the officer.
• Under clause 18 of the Regulation
• If it appears as a result of the breath test or
  assessment that the prescribed concentration of
  alcohol may be present in a rail safety workers
  breath or blood, or the worker refuses or fails
  to undergo a breath test or to submit to an
  assessment, the testing officer or police officer
  may require the worker to submit to a breath
  analysis.
• Under clause 20 of the Regulation
• Where a testing officer has a reasonable belief
  that, by the way in which a rail safety worker
  was acting, the worker might be under the
  influence of a drug, the testing officer may
  require the worker to provide a sample of blood
  or urine if
• the worker has undergone a breath test and the
  test result does not permit the worker to be
  required to submit to a breath analysis, and
• the worker either refuses to submit to a
  sobriety assessment or, after the assessment is
  made, the officer has a reasonable belief that
  the worker is under the influence of a drug.

63
Exercise 2 Reasonable cause drug and alcohol
sobriety assessment

• Review the Worksheet Module 5 Exercise 2 Drug
  and alcohol sobriety assessment in your workbook
  and study the 2 sheets.
• Divide into pairs, one participant to role play a
  rail safety worker under the influence of alcohol
  or drugs.
• The other participant to commence a sobriety
  assessment using the drug and alcohol sobriety
  assessment sheet to identify all the indicators
  demonstrated by their colleague - the more the
  better!

64
Exercise 3 Responding to information about rail
safety workers allegedly under the influence

• Review the Worksheet Module 5 Exercise 3
  Practice Checklist questions to consider when
  assessing reasonable cause testing in your
  workbook.
• Identify 2-3 pieces of information which would
  support an allegation of being under the
  influence.
• Identify 2-3 pieces of information that would
  challenge an allegation of being under the
  influence.

65
Exercise 4 Assessment challenges misreading the
cues

• Read Frequently Asked Question 11.
• Read the Worksheet Module 5 Reasonable cause
  scenario misreading the cues in your workbook.
• Answer the following questions
• ?Do you have reasonable cause to test Joe? Why or
  why not?
• ?How would you manage this situation if it
  occurred in your workplace?

66
Reasonable cause self-disclosure of medications
in the workplace

• Rail safety workers should
• advise their manager/supervisor if they are
  taking prescribed medication or over-the-counter
  medication that may or does impair their fitness
  prior to commencing rail safety work or becoming
  affected while undertaking rail safety work, and
• take advice on whether to cease rail safety work
  immediately.
• Testing officers should ask the rail safety
  worker when undertaking a reasonable cause test
• if they are taking prescription medication or
  over-the-counter medication?
• what type of medication and what are the
  side-effects?
• if they have informed their manager/supervisor?

67
Exercise 5 Testing in remote locations (optional)

• Refer to your rail transport operators drug and
  alcohol management program.
• Read the Worksheet Module 5 Exercise 5
  Testing in remote locations challenges and
  solutions in your workbook.
• Brainstorm 2-3 challenges in doing reasonable
  cause testing in remote locations.
• Note 1-2 workable solutions for each challenge.

68
Recording reasonable cause testing results

• Reasonable cause testing results can have
  significant implications for rail safety workers
  who perform rail safety work.
• These could range from a rail safety worker being
  stood down, disciplined, prosecuted or dismissed.
• The amount and type of documentation required for
  reasonable cause testing will be determined by
• (i) the rail transport operators drug and
  alcohol management program and
• (ii) ITSRR
• Testing results will need to be recorded in
  detail

69
Module 5 summary

• Issues covered were
• ? assessing reasonable cause techniques,
  including sobriety assessment
• ? receiving and responding to information about
  rail safety workers allegedly under the influence
• ? assessment challenges misreading the cues
• ? self-disclosure of medications in the workplace
• ? testing in remote locations (optional)
• ? recording reasonable cause testing results

70
Module 6 Post-incident testing

• The types of incidents for which post-incident
  testing is required
• Identifying who should be tested after incidents
• procedures for post-incident testing including
  testing in remote locations and restrictions on
  testing due to serious medical conditions

71
Post-incident testing requirements

• Rail transport operators must have procedures in
  place to test rail safety workers involved in an
  accident or irregular incident.
• Unless the rail transport operator provides a
  reasonable excuse for not testing, testing must
  take place within 3 hours after the following
• a collision between trains
• a collision between a train and a person
• a collision between a train and a road vehicle or
  plant equipment
• the derailment of a train
• a breach of a rail infrastructure owners
  safeworking rules or
• any other incident that ITSRR may notify in
  writing to a rail transport operator to be a type
  of prescribed incident in respect of the
  operators railway operations.
• Rail transport operators may conduct
  post-incident testing after other incidents, if
  considered appropriate.

72
What may be considered a reasonable excuse for
failing to conduct post-incident testing?

• Logistical difficulty with testing within the 3
  hour limit
• NB. Distance may not necessarily be regarded as
  a reasonable excuse. Contingency plans should
  address the need for testing in remote locations.
• Note Failure of a rail transport operator to
  conduct testing without reasonable excuse may
  result in a maximum penalty of 250 penalty units
  (currently set at 110 per penalty unit).

73
Exercise 1 Case studies for post-incident testing

• Refer to your rail transport operators drug and
  alcohol management program.
• Read the Worksheet Module 6 Exercise 1 Case
  studies for post-incident testing in your
  workbook.
• Answer the questions for each case study
  progressively.

74
Case studies for post-incident testing Scenario
1 the types of incidents for which
post-incident testing is required

• A driver of many years experience with a sound
  safety record has passed a signal at danger.

75
Case studies for post-incident testing Scenario
2 identifying who should be tested after
incidents

• A group of rail safety workers and some
  contractors for another rail transport operator
  are jointly working on rail safety work. They are
  witnesses to an accident which occurs during the
  performance of track work. One of the group of
  rail safety workers is injured as a result of the
  accident. One of the rail safety workers shouts
  what were you doing, are you drunk or
  something? at the contractor who appeared to
  have caused the accident.

76
Case studies for post-incident testing Scenario
3 procedures for post-incident testing

• A rail safety worker engaged in rail safety work
  has been injured and has been taken to hospital
  for treatment following the derailment of a train.

77
Module 6 summary

• Issues covered were
• ? the types of incidents for which post-incident
  testing is required
• ? identifying who should be tested after
  incidents
• ? procedures for post-incident testing including
  testing in remote locations and restrictions on
  testing due to serious medical conditions

78
Module 7 Managing notification responsibilities,
record keeping and other testing issues

• Record keeping requirements for documenting
  testing events and results
• Notification and documentation requirements for
  reporting to ITSRR
• Safety issues for testing officers
• Concluding the course

79
Why is record keeping important for drug and
alcohol testing?

• The rail transport operator must be able to
  demonstrate it is complying with the Rail Safety
  Act and the Rail Safety (Drug and Alcohol
  Testing) Regulation.
• ITSRR requires all reporting of positive tests
  and of refusals or failures to undergo testing.
• A clear chain of custody can be demonstrated
  for testing urine samples which complies with the
  Australian Standard and is therefore difficult to
  legally challenge.
• The rights of individual rail safety workers are
  protected through complete and accurate records
  of their participation in testing and of testing
  outcomes.

80
Exercise 1 Rail transport operator record
keeping requirements (optional)

• Discuss your rail transport operators drug and
  alcohol management program record keeping
  requirements.
• Read the Worksheet Module 7 Exercise 1 Rail
  transport operators record keeping requirements
  in your workbook.
• Record the details under the relevant headings
  for 3 forms or records required to be kept for
  testing activities.

81
Notification to ITSRR

• Rail transport operators are required to notify
  ITSRR of
• 1. positive test results
• 2. refusal or failure to undertake a test and
• 3. any breaches of the Regulation in relation to
  interfering with test results, or interfering or
  tampering with or destroying samples
• ITSSR FORM 1- Drug and Alcohol Testing Incident
  Notification is used.
• FORM 1 is to be completed within 3 days of
  receiving test results.
• The testing officer should confirm that the rail
  safety worker was carrying out, or about to carry
  out, rail safety work at the time of the test.
• The worker involved in the test should receive a
  copy of the form.
• Outline ITSRR process for assessing positive drug
  and alcohol test notifications.

82
Drug and Alcohol Testing Quarterly Notification

• Rail transport operators (other than heritage
  operators) are required to notify ITSRR on a
  quarterly basis of all testing activity and
  outcomes.
• ITSRR FORM 3- Drug and Alcohol Testing Quarterly
  Notification is used.
• Data is collected per quarter against a range of
  different worker categories
• total alcohol and drug tests undertaken
• total random, post-incident, for cause, or other
  tests conducted as alcohol or drug tests
• total positive and refused tests for alcohol and
  drug tests
• drugs for which workers have tested positive.

83
Summary of ITSRRs role in drug and alcohol
testing

• ITSRR
• Receives
• notifications of positive test results and
  refusals / failures to undergo testing to
  determine appropriate action including
  prosecution
• testing data (quarterly) to monitor the overall
  testing program across the rail industry
• notifications of any breaches of the Regulation
  in relation to interfering with test results, or
  interfering or tampering with or destroying
  samples
• Audits drug and alcohol management programs to
  monitor compliance
• May authorise testing officers and conduct
  testing eg random testing for heritage operators
• May revoke the authorisation of testing officers

84
Exercise 2 Safety issues for testing officers

• Ask participants to consider a situation arising
  during testing when a rail safety worker becomes
  violent towards a testing officer?
• Discuss the question what are helpful things to
  do or say if a rail safety worker becomes violent
  towards the testing officer?
• Refer to the checklist What to do during an
  incident of violence and aggression in your
  participant workbook

85
Module 7 summary

• Issues covered were
• ? record keeping requirements for documenting
  testing events and results
• ? notification and documentation requirements for
  reporting to ITSRR
• ? safety issues for testing officers

86
Course conclusionSummary of testing officer
training

• Modules covered were
• 1. Legislative requirements
• 2. Rights, roles and responsibilities
• 3. Planning the use of equipment and
  communicating about testing
• 4. Random testing
• 5. Reasonable cause testing
• 6. Post-incident testing
• 7. Managing notification responsibilities, record
  keeping and other testing issues