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Model Training Course for Drug and Alcohol Testing Authorised Persons appointed by Rail Transport

Operators Accredited in NSW

Note: Text in red indicates changes from the previous legislation.

The training material contained in this model training course is not an official ONRSR operational guideline. This material is made available for the assistance of rail transport operators in NSW to facilitate the training of suitably experienced staff for appointment as ‘authorised persons’ to conduct drug

and alcohol testing for or on behalf of accredited rail transport operators in NSW.

This material may not be suitable for all rail transport operators in NSW. Rail transport operators should ensure they develop and implement a training program that is appropriate and satisfactory for their purpose, having regard to the particular railway operations for which they are accredited and their

obligations under the relevant legislation and guidelines.

ONRSR accepts no responsibility for any errors or omissions in the attached course material and makes no warranty as to the appropriateness of this model course for any particular rail transport operator. ONRSR reserves the right to change the course content without prior notice.

Copyright in this course material vests in the ONRSR. The course may be used for training purposes without reference to ONRSR, provided copyright is acknowledged and this disclaimer is attached.

Last updated: May 2013

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Module 1: Course overview and legislative requirements

Aims, summary of course content, and learning outcomes of the training course

Key requirements of accredited rail transport operator drug and alcohol management programs (DAMPs)

Legal obligations of accredited rail transport operators under the Rail Safety National Law (NSW)

Who can require rail safety workers to submit to testing? Who is to be tested? Offences for rail safety workers Understanding alcohol and other drugs (optional)

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Aims of the training course

To fulfil the training requirements considered by the Office of the National Rail Safety Regulator (ONRSR) to be appropriate for the performance of drug and alcohol testing authorised persons.

To ensure that authorised persons have sufficient knowledge and skills to carry out their functions under the Rail Safety National Law (NSW) and under the rail transport operator’s DAMP.

To improve the quality and consistency of drug and alcohol testing in the rail industry in New South Wales.

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Summary of content of authorised person training

Modules to be covered are:1. Legislative requirements2. Rights, roles and responsibilities3. Planning the use of equipment and communicating about

testing4. Random testing5. “For cause/on suspicion” testing6. Post-incident testing7. Managing notification responsibilities, record keeping and

other testing issues

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On completion of the training participants should be able to:

1. outline the legislative requirements for drug and alcohol testing, including the offences under the Rail Safety National Law (NSW),

2. outline their organisation’s requirements and obligations for drug and alcohol testing,

3. 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,

4. detail best practice principles that ensure privacy and confidentiality, duty of care, provision of information, fairness and gender and cultural sensitivity,

5. plan and conduct appropriate testing activities and respectful communications about testing activities and outcomes,

Overall learning outcomes

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Overall learning outcomes (cont…)

On completion of the training participants should be able to:

6. explain their organisation’s required procedures for random, targeted (eg “for cause/on suspicion”) and post-incident testing,

7. apply appropriate assessment tools and techniques to support testing and to facilitate self-disclosure by rail safety workers,

8. 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

9. outline notification and record keeping requirements for drug and alcohol testing.

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Key requirements of accredited rail transport operator DAMPs

The Rail Safety National Law in NSW comprises: Rail Safety National Law (NSW) No 82a (RSNL (NSW)) Rail Safety National Law National Regulations 2012 (the National Regulations) Rail Safety (Adoption of National Law) Regulation 2012 (the NSW Regulation)

Under clause 28 of the National Regulations, the DAMP must include the following: a drug and alcohol policy, systems and procedures for provision of information and education to rail safety

workers on the DAMP, systems and procedures to ensure confidentiality of personal information obtained

from rail safety workers in relation to testing, counselling, treatment or rehabilitation, details of the testing regime, including testing procedures and procedures for the

management of workers in respect of testing results

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Key requirements of accredited rail transport operator DAMPs (cont…)

measures to be taken by the operator for: the establishment of rules relating to the use of drugs and alcohol by rail safety

workers, and the identification of workers who have drug and alcohol related problems and

referral of workers to assessment, treatment, counselling or rehabilitation, the obligations of rail safety workers with respect to the management of alcohol

and other drug use, and the actions that may be taken by the rail transport operator if there is a breach of those obligations eg

requirement for a worker to notify the operator if a worker may be impaired by alcohol or any other drug,

the provision of education and rehabilitation measures for workers, disciplinary action, appeals and grievance mechanisms, and protocols for fair procedures relating to the operation of the DAMP.

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Key requirements of accredited rail transport operator DAMPs (cont…)

In addition, the drug and alcohol testing regime of a rail transport operator accredited in NSW must include the following:

random breath or urine testing of not less than 25% of rail safety workers in each year, selected using risk management principles (does not apply to heritage operators)

drug and alcohol testing of rail safety workers involved in a prescribed incident within three hours of the incident, unless there is a reasonable excuse for not doing so

written notification to the Regulator of positive test results, refusal or failure to be tested, and interference with blood or urine samples or with the concentration of alcohol or any other drug in a rail safety worker’s breath, blood or urine before submitting to testing

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Exercise 1: Key requirements of your rail transport operator’s DAMP

Read Information Sheet #1 – “What are the key requirements for rail transport operator DAMPs?”

Review your rail transport operator’s DAMP. Answer the following questions:

What are 3 key requirements of your rail transport operator’s DAMP?

What are the implications for you as an authorised person?

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When is testing required?

Testing may be conducted on a random, targeted (eg “for cause/on suspicion”) or post-incident basis.

Testing is mandatory for prescribed incidents.

Accredited rail transport operators (except for heritage operators) are required to conduct random breath or urine testing of not less than 25% of their rail safety workers in each year.

Heritage operators may be targeted by the ONRSR’s random testing program.

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Requirements for authorised persons….

Only authorised persons may require a rail safety worker to submit to testing.

An authorised person means a police officer, or a person appointed by the Regulator under section 124 of the RSNL (NSW), who is a rail safety officer, or a person who the Regulator considers has appropriate qualifications or experience for the performance of relevant functions under the RSNL (NSW).

Authorised persons appointed under section 124 will be issued with an identity card by the Regulator.

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Requirements for authorised persons (cont)

Authorised persons are required to produce their identity card if requested by a person who is required to submit to testing.

Accredited rail transport operators must ensure that authorised persons are trained according to training requirements considered appropriate by the ONRSR.

The ONRSR has the power to audit testing procedures and to revoke appointments.

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Who is to be tested?

Rail safety workers who perform rail safety work are to be tested under the RSNL (NSW).

The RSNL (NSW) defines a “rail safety worker” as an individual who has carried out, is carrying out, or is about to carry out, rail safety work. This includes employees, contractors or volunteers.

The authority of an authorised person may be limited by the relevant instrument of appointment to a particular part of a participating jurisdiction, to a particular railway or to particular rail safety workers, or otherwise.

Rail transport operators may also test other employees (not rail safety workers) under their DAMP (but this is not required under the RSNL(NSW)).

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Rail safety work is….

S 8 of the RSNL (NSW) provides the full definition of rail safety work: driving or despatching rolling stock; signalling; 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, or

of electricity supply to rail infrastructure, rolling stock 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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Offences for rail safety workers under the Rail Safety National Law (NSW)

Carrying out, or attempting to carry out, rail safety work while: the prescribed concentration of alcohol (ie any concentration of alcohol) is present in the

worker’s breath or blood – section 128(1)(a) of the RSNL (NSW)NB In NSW, a breath test may measure the amount of alcohol in a person’s breath or blood, expressed as the amount of alcohol in grams in 210 litres of breath or 100 millilitres of blood) - clause 5 of the NSW Regulation;

a prescribed drug is present in the worker’s oral fluid or blood - section 128(1)(b) of the RSNL (NSW);

so much under the influence of alcohol or a drug as to be incapable of effectively discharging a function or duty of a rail safety worker - section 128(1)(c) of the RSNL (NSW);

Refusal or failure to be tested - sections 126(3) and 127(3) of RSNL (NSW) and clause 21(1) of the NSW Regulation;

Failure to provide a sample of his or her own blood, oral fluid or urine – clause 21(2) of the NSW Regulation;

Interfering with test results - clause 22 of the NSW Regulation; Hindering or obstructing a medical practitioner or nurse - clause 23(4) of the NSW

Regulation; and Interfering or tampering with, or destroying blood or urine samples - clause 24 of the

NSW Regulation.

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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 drugs?”

Turn to the Worksheet: Module 1: Exercise 2: “Quiz questions: What are the 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 DAMPs Legal obligations of accredited rail transport operators under the Rail

Safety National Law (NSW) Who can require rail safety workers to submit to testing? Who is to be tested? Offences for rail safety workers Understanding alcohol and other drugs (optional exercise)

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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 are tested The role and powers of authorised persons and restrictions on

testing The role and powers of the ONRSR Rail transport operators’ requirement to implement a DAMP

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Principles of good practice:

Privacy and confidentiality

Duty of care

Provision of information

Fairness

Gender and cultural sensitivity

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Privacy and confidentiality

The Privacy and Personal Information Protection Act 1998 requires organisations to protect people’s privacy in a number of circumstances: information may only be used for the lawful purpose for which it was

collected; collection of personal information directly from the individual and by other

means; retention and security of personal information; personal information held by agencies; limits on use of personal information; limits on disclosure of personal information; and special restrictions on disclosure of personal information.

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Privacy and confidentiality (cont.)

Operators are required to notify the Regulator of matters specified in clauses 28(2)(b) and 57(1)(b)(xxi) of the National Regulations.

In addition, under section 244 of the Rail Safety National Law (NSW), it is an offence to disclose without lawful authority any information or document obtained while exercising any power or function under the RSNL.

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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.

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Provision of information

It is important that rail safety workers are given clear information about the DAMP and how testing occurs.

This should include information about the limits on confidentiality, eg. rail transport operators are required to notify the Regulator of any of the matters specified in clauses 28(2)(b) and 57(1)(b)(xxi) of the National Regulations, 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.

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Fairness

In the case of a positive test, the authorised person should: explain to rail safety workers what is being alleged; and listen to the rail safety worker’s explanation.

Fairness - the authorised person should treat the rail safety worker impartially.

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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’ DAMPs need to take into account religious, cultural and gender issues and authorised persons must conduct their testing in ways that reflect these requirements.

Exercise 1: Duty of confidentiality on authorised persons (RSNL S244)

Scenario:Tanya is a person authorised to undertake drug and alcohol testing under RSNL. She conducts drug and alcohol tests on a rail safety worker, Dan, the driver of a train involved in a spectacular derailment in which miraculously no one is killed or injured.

Dan tests positive for alcohol. He is fully cooperative but during the testing breaks down sobbing. He tells Tanya he was drinking heavily the night before the accident. He was depressed because his wife has left him and his teenage son has been charged with a drug-related offence.

There is intense media interest in the incident. Dan is subsequently charged. Tanya gives evidence of the test results at the hearing. Dan is convicted and fined.

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Exercise 1: Duty of confidentiality on authorised persons (RSNL S244) (cont.)

Part 1Before the court hearing:Tanya’s husband says, “I heard the driver was drunk – is that right?”

Part 2Before the court hearing:ONRSR investigators ask for the test results.

Part 3Dan is convicted. The same night the conviction is reported on the TV news. Tanya’s husband says “That’s the bloke you tested – Gee – he got off lightly – people could’ve been killed.” Tanya then tells her husband about Dan’s wife and son.

 

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The obligations of accredited rail transport operators

Testing requirements for rail transport operators to conduct random testing: The rail transport operator’s DAMP must provide for the random breath or

urine testing of not less than 25% of rail safety workers in each year. Risk management principles must be used to select rail safety workers and

to determine the type of test (breath or urine) to be conducted. Heritage operators are not required to conduct random testing, but may be

targeted by the ONRSR’s random testing program. Operators may conduct oral fluid testing, but this will not form part of the

25% of random testing required by clause 28(2)(a)(i) of the National Regulations.

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The obligations of accredited rail transport operators (cont...)

Testing requirements for rail transport operators to conduct targeted (eg “for cause/on suspicion”) testing:

The rail transport operator’s DAMP must provide for targeted (eg “for cause/on suspicion”) testing of rail safety workers.

The rail transport operator’s DAMP must provide for the testing of rail safety workers where an authorised person has a reasonable belief that the worker might be under the influence of alcohol or a drug.

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The obligations of accredited rail transport operators (cont...)

Testing requirements for rail transport operators to conduct post-incident testing: The rail transport operator’s (including heritage operators) DAMP must

provide for the testing of rail safety workers involved in a prescribed incident (clause 28(2)(a)(ii) of the National Regulations).

Drug and alcohol testing must take place within three hours of a prescribed incident, unless the rail transport operator provides a “reasonable excuse” for not doing so.

Authorised persons may also test a worker who is involved in a prescribed notifiable occurrence (sections 126(1)(e) and 127(1)(e) of the RSNL(NSW)) or is involved in an accident or irregular incident while carrying out rail safety work (sections 126(1)(e1) and 127(1)(e1) of the RSNL(NSW)).

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Rail safety workers’ rights and obligations All rail safety workers who are about to carry out, are carrying out, are attempting

to carry out, are still on railway premises after carrying out rail safety work, or are involved in a prescribed notifiable occurrence, or are involved in an accident or irregular incident while carrying out rail safety work, may be required to submit to 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 (ie pre-sign-on).

Attempting to carry out rail safety work” means that a rail safety worker is available to carry out rail safety work after signing on for duty.

Under clause 6 of the NSW Regulation, results of testing for a rail safety worker who was about to carry out rail safety work are not admissible as an offence under section 128 of the Rail Safety National Law (NSW).

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Rail safety workers’ rights and obligations (cont)

Refusing or failing to undergo testing is an offence. (NB It is a defence to a prosecution for an offence under clause 21(1) of the NSW Regulation, if the worker was required to submit to a sobriety assessment and 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 of disclosing their use of prescription drugs; the availability of counselling, treatment and rehabilitation.

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Authorised person’s powers, roles and responsibilities

Authorised persons are appointed by rail transport operators under delegation from the Regulator, and are issued with an ID card by the Regulator.

Authorised persons 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 at the nearest police station or such other place as

the authorised person may require provide blood 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

Authorised persons 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 an authorised person under the RSNL (NSW) (clause 20(2) of the NSW Regulation).

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Authorised person powers, roles and responsibilities (cont…)

Authorised persons (other than police officers) must not arrest or detain rail safety workers.

Authorised persons must not require a rail safety worker to undergo a breath test, assessment, breath analysis or provide a sample of blood or urine (clause 8 of the NSW Regulation):* if it appears to the authorised person (because of injuries sustained by the worker) that it would be dangerous to the worker’s 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 worker’s home, or* if the worker is admitted to a hospital after an accident and the testing is

against the advice of a medical practitioner or nurse (clause 13(2) of the NSW Regulation).

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What is the main role of the ONRSR?

Enhancing rail safety by monitoring and enforcing the relevant legislation through: monitoring notifications from rail transport operators of positive test results

and refusals; monitoring monthly returns (number of tests) from rail transport operators; monitoring notifications of any breaches of the NSW Regulation in relation

to interfering with test results, or interfering or tampering with or destroying samples;

auditing implementation of DAMPs; and pursuing prosecutions.

May appoint authorised persons or delegate this function to rail transport operators. (NB This function has been delegated to operators.)

Issue of identity cards for authorised persons. May conduct testing.

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Exercise 2: What are the rights and obligations of those involved in 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

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Exercise 3: Rights, roles and obligations: rail transport operator’s DAMP

Refer to your rail transport operator’s DAMP 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?

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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 are tested The role and powers of authorised persons and restrictions

on testing The role and powers of the ONRSR Rail transport operators’ requirement to implement a DAMP

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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

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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 Urine samples must be collected, transported, tested (if tested by a laboratory)

and stored in accordance with the requirements of AS/NZS 4308:2008, “Procedures for specimen collection and the detection and quantitation of drugs of abuse in urine”.

On-site drug screening devices must use an immunoassay technique that meets the screening test cut-off levels listed in Table 1 of AS/NZS 4308:2008.

Note:1. Approved laboratory for urine samples – a laboratory accredited by NATA for the purposes

of AS/NZS 4308:20082. On-site urine screening procedures are not required to comply with AS/NZS 4308:2008.

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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?

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Exercise 2: Scripts for informing rail safety workers about testing

Refer to your rail transport operator’s DAMP. Read Frequently Asked Question #5. Turn to the Worksheet: Module 3: Exercise 2: “Scripts for

informing rail safety workers about testing” in your workbook. Role play the rail safety worker and the authorised person for either :

“introduction to requiring a breath test” “introduction to requiring a urine sample”

Debrief the role play using the “debrief of scripts for authorised persons” and discuss how the scripts may be improved.

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Flowchart resource: procedures for a positive breath test or sobriety assessment

Is a breath testing device available?

Yes No

Conduct breath test Conduct sobriety assessment

Rail safety worker is about to / is carrying out rail safety work

Positive breath test or assessment?

Yes on breath test

Is breath analysis testing equipment available on-site or at nearest police station?

Yes on sobriety assessment

Authorised person may direct worker to attend breath analysis testing

Yes No

Authorised person may direct worker to provide blood or urine sample

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Common steps that the authorised person may be required to implement after a positive test result:

notifying those who need to know within the organisation of the positive test result, in accordance with the operator’s 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 any 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 ONRSR in accordance with their procedures relating to a

positive test result.

Turn to the Worksheet: Module 3: Exercise 3: “Scripts for responding to positive test results”.

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Exercise 4: Scripts for responding to refusal or failure to undergo testing

Non-compliance by rail safety workers with the direction of an authorised person is a serious offence.

Refer to your rail transport operator’s DAMP and identify procedures for refusal or failure to submit to testing.

Turn to the Worksheet: Module 3: Exercise 4: “Scripts for responding to refusal or failure to undergo testing” in your workbook.

Review the scripts and compare the information with your rail transport operator’s DAMP.

Note any additional information you need to add based on your rail transport operator’s DAMP.

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Legal requirements – authorised persons and third party testing service providers: who can do what?

Breath test: authorised person or police officer Breath analysis: authorised person or police officer Urine sample can be collected by: authorised person, or collecting agency under

direction of an authorised person, or police officer Blood/urine sample taken at a hospital: medical practitioner or suitably qualified

registered nurse informed to do so by an authorised person or police officer Urine screening: on-site drug screening device (with an immunoassay technique that

meets the screening test cut-off levels listed in Table 1 of AS/NZS 4308:2008) operated by an authorised person or collecting agency, or screening by analyst at an approved laboratory

Blood/urine analysis: analyst at an approved laboratoryNote:Approved laboratory for blood samples – the laboratory at the NSW Forensic and

Analytical Science Service at Lidcombe, Western Sydney Local Health District.Approved laboratory for urine samples – a laboratory accredited by NATA for the

purposes of AS/NZS 4308:2008.On-site urine screening procedures are not required to comply with AS/NZS 4308:2008..

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Legal requirements – authorised persons and third party testing service providers: blood samples

Action to take - blood samples (clause 16 of the NSW Regulation)

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 authorised person/police officer asapAuthorised person/police officer must: place sample in security box and lock the box submit sample to approved laboratory asap for analysis by an analystAnalysis of samples: Blood analysis: to determine alcohol concentration or presence of alcohol or 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

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Legal requirements – authorised persons and third party testing service providers: urine samples

Action to take - urine samples (clause 18 of NSW Regulation)The collection, transportation, laboratory testing and storage of urine samples must comply with AS/NZS 4308:2008. Screening testing may be carried out by an authorised person or collecting agency

using an on-site drug screening device (with an immunoassay technique that meets the screening test cut-off levels listed in Table 1 of AS/NZS 4308:2008, or by an analyst at an approved laboratory.

If confirmatory testing is required (drug/s present): for sample screened on-site, authorised person 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 sampleAnalysis 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 laboratoryNote:1. An approved laboratory is a laboratory accredited by NATA for the purposes of AS/NZS 4308:2008.2. On-site urine screening procedures are not required to comply with AS/NZS 4308:2008.

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Legal requirements – authorised persons and third party testing service providers: medical practitioners

and nurses If directed by an authorised person, 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 13 and 15 of the NSW Regulation).

Any medical practitioner or nurse who refuses or fails to take a blood sample or who does not comply with the requirements of clause 16 of the NSW Regulation is guilty of an offence (clause 23) unless:o taking a sample would be prejudicial to the rail safety worker’s proper care

and treatmento the rail safety worker’s behaviour precludes the taking of a sampleo they can demonstrate that there was other reasonable cause not to take the

sample It is the responsibility of the authorised person to ensure that urine samples

taken at a hospital are dealt with in accordance with AS/NZS 4308:2008. (It is no longer the responsibility of medical practitioners and nurses.)

Medical practitioners and nurses are protected from liability for “anything properly and necessarily done” in the course of taking the samples (clause 20 of the NSW Regulation).

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Certificates of Evidence

A “Certificate of Evidence” is given to certify:

concentration of alcohol in breath or blood determined by breath analysis (clause 28 of the NSW Regulation)

concentration of alcohol in blood determined by analysis of blood sample (clause 29 of the NSW Regulation)

presence of drugs in blood or urine determined by analysis of blood or urine samples (clause 29 of the NSW Regulation)

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Module 3: summary

Topics 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

medical practitioners, nurses and contracted testing service providers

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Module 4: Random testing

Selecting and informing rail safety workers of random testing Planning for random testing, including procedures and

documentation Random testing scenariosNOTE: Heritage operators are not required to conduct random testing. Rail transport operators (except heritage rail transport operators) are

required to randomly test not less than 25% of their rail safety workers in each year, selected using risk management principles.

Operators may conduct oral fluid testing, but this will not form part of the 25% of random testing required by clause 28(2)(a)(i) of the National Regulations.

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Issues to consider in planning random testing

Determine: how rail safety workers will be selected for testing and the type of testing

(breath or urine) to be conducted; and 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.

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

Refer to your rail transport operator’s DAMP. Read Information Sheet #7 – “Planning and organising

issues for authorised persons”. 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.

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Exercise 2: Random drug and alcohol testing practice scenarios

Refer to your rail transport operator’s DAMP. 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.

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Module 4: summary

Issues covered were: Selecting and informing rail safety workers of random testing Planning for random testing, including procedures and

documentation Random testing scenarios

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Module 5: “For cause/on suspicion” testing Assessing the need for “for cause/on suspicion” testing:

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) Additional recording requirements for “for cause/on suspicion”

testingNote: “For cause/on suspicion” testing is a form of targeted

testing.

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Do I have a reasonable belief that a worker might be under the influence of alcohol or a drug?

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.

Authorised persons should consider whether the behaviour is out of character or is that person’s usual presentation.

Authorised persons 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 worker’s system is the role of the approved laboratory undertaking the toxicology tests.

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Exercise 1: Case studies – indicators of being under the influence

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 where you have a reasonable belief that the worker might be under the influence of alcohol or a drug.

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Sobriety assessment

Under clause 10 of the NSW Regulation: If the device required to carry out a breath test is not readily available, an authorised

person may require a rail safety worker to submit to a sobriety assessment.Under clause 11 of the NSW Regulation: If it appears as a result of the breath test or sobriety assessment that the prescribed

concentration of alcohol may be present in a rail safety worker’s breath or blood, or the worker refuses or fails to undergo a breath test or to submit to a sobriety assessment, the authorised person may require the worker to submit to a breath analysis.

Under clause 14 of the NSW Regulation: Where an authorised person has a reasonable belief that, by the way in which a rail safety

worker was acting, the worker might be under the influence of alcohol or a drug, the authorised person 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 authorised person has a reasonable belief that the worker is under the influence of alcohol or a drug.

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Exercise 2: “For cause/on suspicion” testing – 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!

NOTE: Research shows that sobriety testing, on its own, is not a reliable form of testing. Therefore this form of testing should be combined with other forms of testing such as breath analysis or urine testing.

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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 belief of under the influence” 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.

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Exercise 4: Assessment challenges –misreading the cues

Read Frequently Asked Question #11. Read the Worksheet: Module 5 “Reasonable belief of under

the influence scenario – misreading the cues” in your workbook.

Answer the following questions:Do you have a reasonable belief that Joe may be under the

influence? Why or why not?How would you manage this situation if it occurred in your

workplace?

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Reasonable belief: 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. Authorised persons should ask the rail safety worker when

undertaking a “for cause/on suspicion” 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?

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Exercise 5: Testing in remote locations

Refer to your rail transport operator’s DAMP. Read the Worksheet: Module 5: Exercise 5: “Testing in

remote locations: challenges and solutions” in your workbook.

Brainstorm 2-3 challenges in doing “for cause/on suspicion” testing in remote locations.

Note 1-2 workable solutions for each challenge.

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Additional recording requirements for “for cause/on suspicion” testing

There needs to be more than a hunch or hearsay before a rail safety worker can be required to undergo “for cause/on suspicion” testing.

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.

In recording testing results, the focus should be on recording how or why an authorised person formed a reasonable belief that a rail safety worker was under the influence of alcohol or a drug.

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Module 5: summary

Issues covered were: Assessing reasonable belief: 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) Additional recording requirements for “for cause/on

suspicion” testing

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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

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Post-incident testing requirements Unless a rail transport operator (including heritage operators)

provides a “reasonable excuse” for not testing, testing must take place within 3 hours after a prescribed incident: a collision between rolling stock a collision between rolling stock and a person a collision between rolling stock and a road vehicle or plant equipment the derailment of rolling stock a breach of the rail infrastructure manager’s network rules or any other incident that the Regulator may declare in writing to a rail

transport operator to be a type of prescribed incident in respect of the operator’s railway operations.

Both drug and alcohol testing is required after a prescribed incident in NSW.

Authorised persons may also test rail safety workers involved in a prescribed notifiable occurrence or an accident or irregular incident.

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What may be considered a reasonable excuse for failing to conduct

post-incident testing?

Logistical difficulty with testing within the 3 hour limitNB. Distance may not necessarily be regarded as a reasonable excuse. Contingency plans should address the need for testing in remote locations.

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Exercise 1: Case studies for post-incident testing

Refer to your rail transport operator’s DAMP. Read the Worksheet: Module 6: Exercise 1: “Case studies

for post-incident testing” in your workbook. Answer the questions for each case study progressively.

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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”.

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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.

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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.

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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

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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 ONRSR

Safety issues for authorised persons

Concluding the course

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Why is record keeping important for drug and alcohol testing?

The rail transport operator must be able to demonstrate it is complying with the RSNL(NSW).

The ONRSR requires positive tests and refusals or failures to undergo testing to be reported.

A clear “chain of custody” can be demonstrated for testing urine samples which complies with the Australian Standard and is therefore difficult to challenge legally.

The rights of individual rail safety workers are protected through complete and accurate records of their participation in testing and of testing outcomes.

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Exercise 1: Rail transport operator record keeping requirements

Discuss your rail transport operator’s DAMP 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.

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Notification to the ONRSR

Rail transport operators are required to notify the ONRSR of positive test results as a Category B notifiable occurrence on the OCCURRENCE NOTIFICATION FORM.

Rail transport operators in NSW are also required to notify the ONRSR of: positive test results; refusal or failure to undertake a test; and any breaches of the NSW Regulation in relation to interfering with test results, or

interfering or tampering with or destroying samples NOTIFICATION FORM - Drug and Alcohol Testing in NSW - is used. The forms are to be completed within 72 hours of receiving test results. The authorised person should confirm that the rail safety worker was:

carrying out, or about to carry out, or attempting to carry out, rail safety work at the time of the test, or still on railway premises after carrying out rail safety work, or involved in a prescribed notifiable occurrence, or in an accident or irregular incident while carrying out rail safety work.

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Drug and Alcohol Testing Monthly Return

Rail transport operators (including heritage operators) are required to notify the ONRSR on a monthly basis of the total number of drug and alcohol tests undertaken.

ONRSR FORM – Periodic Information Monthly Return is used.

Data is collected on the total number of drug and alcohol tests undertaken for a range of different worker categories.

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Summary of the ONRSR’s role in drug and alcohol testing

ONRSR : Receives:

notifications of positive test results and refusals / failures to undergo testing to determine appropriate action including prosecution

testing data (monthly) to monitor the overall testing program across the rail industry

notifications of any breaches of the NSW Regulation in relation to interfering with test results, or interfering or tampering with or destroying samples

Audits DAMPs to monitor compliance May appoint authorised persons or delegate this function to rail transport

operators Issues identity cards for authorised persons May conduct testing

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Exercise 2: Safety issues for authorised persons

Ask participants to consider a situation arising during testing when a rail safety worker becomes violent towards an authorised person?

Discuss the question: what are helpful things to do or say if a rail safety worker becomes violent towards the authorised person?

Refer to the checklist “What to do during an incident of violence and aggression” in your participant’s workbook.

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Module 7: summary

Issues covered were: Record keeping requirements for documenting testing

events and results Notification and documentation requirements for reporting

to the ONRSR Safety issues for authorised persons

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Course conclusion:Summary of drug and alcohol testing authorised

person training

Modules covered were:1. Legislative requirements2. Rights, roles and responsibilities3. Planning the use of equipment and communicating about

testing4. Random testing5. “For cause/on suspicion” testing6. Post-incident testing7. Managing notification responsibilities, record keeping and

other testing issues