SWISSPORT 45025 AVIATION DRIVE, SUITE 350

DULLES, VIRGINIA 20166

Department of Transportation (DOT) Antidrug and Alcohol Misuse Prevention

Program Testing Policy

Revision One June 1, 2016

Note: This document supersedes all previous documents, same subject. Original document is maintained by the DER at JFK.

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TABLE OF CONTENTS

Section Description Page

I. INTRODUCTION – THE DOT ANTIDRUG AND ALCOHOL MISUSE PREVENTION PROGRAM ...................................................................................................................... 3

II. INFORMATION for DOT/FAA/PHMSA/FMCSA DRUG TESTING ................................... 5

Release of Drug Testing Information: ........................................................................................ 11

III. ALCOHOL MISUSE PREVENTION POLICY (AMPP) for DOT/FAA/PHMSA/FMCSA ALCOHOL TESTING ..................................................................................................... 12

IV. MANAGERS AND SUPERVISORS TRAINING PROGRAM: ......................................... 25

V. RANDOM TESTING PROCEDURES: ........................................................................... 25

VI. Training and Education: ................................................................................................. 28

ATTACHMENT 1: ANNUAL AUDIT CHECKLIST ...................................................................... 30

ATTACHMENT 2: DRUG TESTING REQUEST ...................................................................... 432

ATTACHMENT 3: SUBSTANCE ABUSE PROGRAM ............................................................... 43

ATTACHMENT 4: SERVICE CONTACTS ................................................................................. 45

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I. INTRODUCTION – THE DOT ANTIDRUG AND ALCOHOL MISUSE PREVENTION PROGRAM

Swissport complies with the drug and alcohol testing regulations of the Department of Transportation (DOT) (49 CFR part 40), the Federal Aviation Administration (FAA) (14 CFR part 120), the Pipeline and Hazardous Materials Safety Administration (PHMSA) (49 CFR part 199), and Federal Motor Carrier Safety Administration (FMCSA) (49 CFR part 382). It is the policy of Swissport to maintain a drug and alcohol-free work force. Any employee who tests positive, who uses drugs or alcohol or has them in his or her possession on the job, or who refuses to be tested as described in this plan, will be terminated.

Employee Categories Subject To Testing. All persons performing any of the following FAA, PHMSA, FMCSA safety-sensitive or covered functions are subject to the DOT program: NOTE: Swissport does not necessarily perform all of these functions.

- Flight crewmember (FAA)

- Flight attendant (FAA)

- Flight instruction (FAA)

Aircraft dispatch (FAA)

- Aircraft maintenance/preventive maintenance (FAA)

- Ground security coordinator (FAA)

- Aviation screening (FAA)

- Air traffic control (FAA)

- Operation and Management of an Interstate Pipeline (PHMSA)

- CDL drivers who operate CMVs on public roads (FMCSA)

For More Information About DOT, FAA, PHMSA, and FMCSA Requirements or our Company Policy, contact

Primary: MARLA BACCHUS (718-233-9514) Alternate: KAVITA SEEMANGAL (718-233-9505)

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For more information relating to the DOT/FAA/PHMSA/FMCSA program requirements, visit the following web sites:

For DOT: http://www.dot.gov/ost/dapc/

For FAA: https://www.faa.gov/about/office org/headquarters offices/avs/offices/aam/drug

alcohol/

For PHMSA: http://www.phmsa.dot.gov/pipeline/initiatives/drug-alcohol

For FMCSA: https://www.fmcsa.dot.gov/regulations/drug-alcohol-testing-program

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II. INFORMATION for DOT/FAA/PHMSA/FMCSA DRUG TESTING

Community Service Hotline. If you have any personal problems or questions concerning drug abuse and need to confide in an employee assistance professional, you are encouraged to contact:

Name: WorkLifeMatters Telephone: 1-800-386-7055

Consequences of Using Drugs While Performing Safety-Sensitive Functions

An employee who has engaged in prohibited drug use during the performance of a safety-sensitive function will be immediately removed from performing safety-sensitive functions and is permanently precluded from performing that safety-sensitive or covered function for any FAA, PHMSA, or FMCSA -regulated employer. Swissport policy is to terminate employment.

Consequences of a Verified Positive Drug Test

A covered employee who receives one (1) verified positive drug test result on a DOT-required test will be immediately removed from safety-sensitive duties. Under DOT regulations, an employee who has a positive drug test cannot return to the performance of safety-sensitive functions until and unless the employee successfully completes the DOT return-to-duty process outlined in 49 CFR Part 40, Subpart O. Swissport policy is to terminate employment.

Consequences of Refusing to Submit to a Required Drug Test

A covered employee who refuses to submit to a required drug test or who receives a verified adulterated or substituted drug test result must be immediately removed from performing safety-sensitive functions. Under DOT regulations, the employee may not return to the performance of safety-sensitive duties until and unless the employee successfully completes the DOT return-to-duty process outlined in 49 CFR Part 40, Subpart O. Swissport policy is to terminate employment.

Swissport must ensure that their Medical Review Officer reports to the FAA within 2 working days any employee who holds an airman medical certificate issued under 14 CFR Part 67 and has a verified positive drug result on a FAA/DOT test. In addition, any employee who holds an airman certificate under 14 CFR Part 61, Part 63, or Part 65 and who has refused to submit to a FAA required drug test will be reported to the FAA.

Performing a safety sensitive function: pursuant to FAA regulations, an employee is considered to be performing a safety sensitive function during any period in which he or she is actually performing, ready to perform, or immediately available to perform such functions.

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Circumstances Under Which a DOT Covered Employee will be Tested for Drugs

Each employee who performs a FAA/PHMSA/FMCSA safety-sensitive or covered function will be tested for evidence of marijuana, cocaine, opiates, phencyclidine (PCP), and amphetamines during each test listed below.

Pre-employment

All employees hired for a safety-sensitive or covered DOT function will be subject to a pre-employment drug test, and will not be hired until Swissport receives a verified negative drug test result. This also applies if you are a current employee transferring from a non-safety-sensitive function into a safety-sensitive position.

Random

Covered employees will be selected for random drug testing through a scientifically valid method.

Random tests will be spaced throughout the year and will be unannounced. Employees notified of selection for random testing must proceed immediately

to the testing site.

Post Accident

Swissport will test each employee who performs a safety-sensitive or covered function for drugs in the employee's system if that employee's performance either contributed to an accident or cannot be completely discounted as a contributing factor to the accident.

The employee shall be tested as soon as possible but not later than 32 hours after the accident.

For FAA purposes, an accident is defined as an occurrence associated with the operation of an aircraft which takes place between the time any person boards the aircraft with the intention of flight and the time all such persons have disembarked, and in which any person suffers death or serious injury or in which the aircraft receives substantial damage.

For PHMSA purposes, an accident means a pipeline system failure that results in a release of petroleum product and meets the requirements on an accident reportable under 49 CFR Part 195 involving hazardous liquid pipeline facilities.

For FMCSA purposes, an accident means an accident when there is a fatality, or the driver is cited for a moving violation and either the vehicle is towed from the scene; or someone is medically evacuated from the scene.

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Reasonable Cause

Swissport will test each employee who performs a safety-sensitive function and who is reasonably suspected of having used a prohibited drug. The decision to test will be based on a reasonable and articulable belief that the employee is using a prohibited drug on the basis of specific contemporaneous physical, behavioral, or performance indicators of probable drug use. At least two of Swissport's supervisors, managers, etc., one of whom is trained in detection of the symptoms of possible drug use, must substantiate and concur in the determination.

How a drug test is administered:

The drug testing process always consists of three components:

The Collection.

Testing at the Laboratory.

Review by the Medical Review Officer.

The Collection

During the collection process, a specimen collector will:

Verify employee's identity using a current valid photo ID, such as driver’s license, passport, employer issued picture ID, etc.

Create a secure collection site by:

− Restricting access to the site to only those being tested. − Securing all water sources and placing blue dye in any standing water. − Removing or securing all cleaning products/fluids at the collection site.

Afford employee privacy to provide a urine specimen.

− Exceptions to this rule generally surround issues of attempted adulteration or substitution of a specimen or any situation where general questions of validity arise, like an unusual temperature.

Ask employee to remove any unnecessary garments and empty employee pockets (employee may retain employee wallet).

Instruct employee to wash and dry hands.

Select or have employee select a sealed collection kit and open it in employee presence.

Request employee to provide a specimen (a minimum of 45 mL) of employee urine into a collection container.

Check the temperature and color of the urine.

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In employee presence, pour the urine into two separate bottles (A or primary and B or split), seal them with tamper-evident tape, and then ask employee to sign the seals after they have been placed in the bottles.

− Neither employee nor the collector should let the specimen out of employee's sight until it has been poured into two separate bottles and sealed.

Ask employee to provide employee name, date of birth, and daytime and evening phone numbers on the Medical Review Officer Copy of the Federal Drug Testing Custody and Control Form (CCF).

− This is so the Medical Review Officer (MRO) can contact employee directly if there are any questions about employee test.

Complete necessary documentation on the Test Facility of the CCF to demonstrate the chain of custody (i.e. handling) of the specimen.

Give employee the Employee Copy of the CCF and may suggest employee list any prescription and over-the-counter medications employee may be taking on the back of employee copy of the CCF (this may serve as a reminder for employee in the event the MRO calls employee to discuss employee test results).

Package and ship both sealed bottles and completed CCF to a U.S. Health and Human Services (HHS) certified testing laboratory as quickly as possible.

If employee are unable to provide 45 mL of urine on the first attempt, the time will be noted, and employee will be:

Required to remain in the testing area under the supervision of the collection site personnel, their supervisor, or a representative from employee company,

− Leaving the testing area without authorization may be considered a refusal to test

Urged to drink up to 40 oz. of fluid, distributed reasonably over a period of up to three hours,

Asked to provide a new specimen (into a new collection container).

If employee do not provide a sufficient specimen within three hours, employee must obtain a medical evaluation within five days to determine if there is an acceptable medical reason for not being able to provide a specimen. If it is determined that there is no legitimate physiological or pre-existing psychological reason for not providing a urine specimen, it will be considered a refusal to test.

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Testing at the Laboratory

At the laboratory, the staff will:

Determine if flaws exist. If flaws exist, the specimen is rejected for testing.

Open only the A bottle and conduct a screening test. Specimens that screen positive will be analyzed again using a completely different testing methodology.

− If the specimen tests negative in either test, the result will be reported as a negative.

− Only if the specimen tests positive under both methods will the specimen be reported to the medical review officer as a positive test.

Report the findings of the analysis of the A bottle to the Medical Review Officer (MRO).

Store the A and B bottles for any reported positive, adulterated, or substituted result for at least 12 months.

− The Lab will conduct specimen validity tests (SVTs) to determine if the specimen was adulterated or substituted. Tests found to be adulterated or substituted are also reported to the MRO and may be considered a refusal to test.

Review by the Medical Review Officer (MRO)

Upon receipt of the test result from the laboratory, the MRO will:

Review paperwork for accuracy.

Report a negative result to the Designated Employer Representative (DER).

If the result is positive, conduct an interview with employee to determine if there is a legitimate medical reason for the result. If a legitimate medical reason is established, the MRO will report the result to the DER as negative. If not, the MRO will report the result to the DER as positive.

If the result is an adulterated or substituted test, conduct an interview with employee to determine if there is a legitimate medical reason for the result. If a legitimate medical reason is established, the MRO will report the result to the DER as cancelled. If not, the MRO will report the result to the DER as a refusal.

Report a non-negative test result to the DER if:

− Employee refused to discuss the results with the MRO; − Employee did not provide the MRO with acceptable medical

documentation to explain the non-negative test result.

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− Inform employee that employees have 72 hours from the time of the verified result to request to have employee B “split” bottle sent to another certified lab for analysis for the same substance or condition that was found in the A “primary” bottle.

Explanation of a Medical Review Officers (MRO):

Under DOT regulations, MROs are licensed physicians with knowledge and clinical experience in substance abuse disorders. They must also complete qualification training courses and fulfill obligations for continuing education courses. They serve as independent, impartial gatekeepers to the accuracy and integrity of the DOT drug testing program. All laboratory results are sent to an MRO for verification before a company is informed of the result. As a safeguard to quality and accuracy, the MRO reviews each test and rules out any other legitimate medical explanation before verifying the results as positive, adulterated or substituted.

Explanation of a refusal to test:

DOT regulations prohibit you from refusing a test. The following are some examples of conduct that the regulations define as refusing a test :

Failure to appear for any test after being directed to do so by your employer.

Failure to remain at the testing site until the testing process is complete.

Failure to provide a urine sample for any test required by federal regulations.

Failure to permit the observation or monitoring of you providing a urine sample. (Please note tests conducted under direct observation or monitoring occur in limited situations. The majority of specimens are provided in private.)

Failure to provide a sufficient urine sample when directed, and it has been determined, through a required medical evaluation, that there was not adequate medical explanation for the failure.

Failure to take a second test when directed to do so.

Failure to cooperate with any part of the testing process.

Failure to undergo a medical evaluation as part of “shy bladder” procedures.

Providing a specimen that is verified as adulterated or substituted.

Failure to cooperate with any part of the testing process (e.g., refuse to empty pockets when directed by the collector, behave in a confrontational way that disrupts the collection process, fail to wash hands after being directed to do so by the collector).

Failure to follow the observer’s instructions [during a direct observation collection] to raise your clothing above the waist, lower clothing and underpants, and to turn around to permit the observer to determine if you

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have any type of prosthetic or other device that could be used to interfere with the collection process.

Possess or wear a prosthetic or other device that could be used to interfere with the collection process.

Admit to the collector or MRO that you adulterated or substituted the specimen.

Release of Drug Testing Information:

Swissport is required by law to release an employee's records of the employee's drug and alcohol testing history if that new employer is regulated by a DOT agency.

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III. ALCOHOL MISUSE PREVENTION POLICY (AMPP) for DOT/FAA/PHMSA/FMCSA ALCOHOL TESTING

Functions and Period of the Work Day Employees are Covered by the AMPP

Any employee performing a FAA/PHMSA/FMCSA safety-sensitive or covered function is subject to alcohol testing and must refrain from consuming any alcohol (not just alcoholic beverages) whenever they are performing, ready to perform, or immediately available to perform these functions.

Conduct Prohibited by the AMPP

Alcohol and Alcohol Use

Alcohol is defined as the intoxicating agent in beverage alcohol, ethyl alcohol, or other low molecular weight alcohols, including methyl or isopropyl alcohol.

Alcohol use is defined as the consumption of any beverage, mixture, or preparation, including any medication (prescribed or over-the-counter, intentional or unintentional), containing alcohol.

Alcohol Concentration

Covered employees may not report for duty or remain on duty in a position requiring the performance of safety-sensitive functions while having an alcohol concentration of 0.04 or greater.

Pre-Duty Use

Employees may not perform flight instruction, aircraft dispatcher, aircraft maintenance or preventive maintenance, ground security coordinator, or aviation screening duties within 4 hours after consuming alcohol. This prohibition is the same for CDL drivers who operate CMVs on public roads and employees who perform a covered safety-sensitive function on an Interstate Pipeline.

On-Duty Use

Covered employees may not consume alcohol in any form while performing safety-sensitive functions.

This prohibition also applies to covered employees who are at work and immediately available to perform safety-sensitive functions.

Use After an Accident

Covered employees with knowledge of an accident involving an aircraft for which they performed a safety-sensitive function at or near the time of the

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accident may not use alcohol for 8 hours after the accident unless they have been given a post-accident test, or Swissport has determined that their performance could not have contributed to the accident.

Refusal to Submit to Testing

Covered employees may not refuse to submit to a post-accident, random, reasonable suspicion, return-to-duty, or follow-up alcohol test. Swissport will not permit an employee who refuses to submit to such a test to perform or continue to perform safety-sensitive functions and consistent with Swissport policy, the employee will be terminated.

Refusal to submit to a pre-employment test is not a violation of the FAA/PHMSA/FMCSA AMPP rules, but a refusal will preclude any person from being hired for a safety-sensitive function, unless he or she completes the SAP and return-to-duty processes. Consistent with Swissport policy, the applicant will not be hired.

Circumstances Under Which a Covered Employee will be Tested for Alcohol

Covered employees are subject to the following federally mandated alcohol tests. It is an employer’s option whether to require alcohol pre-employment testing. If a company elects to do so, all applicants/employees must be subject to testing after a contingent offer of employment is made or the employee is transferred and prior to the first performance of safety-sensitive function

Post-Accident

As soon as practicable following an accident, each covered employee must be alcohol tested if that employee’s performance either contributed to the accident or cannot be discounted as a contributing factor to the accident.

A covered employee who is subject to post-accident alcohol testing will remain readily available for testing or may be deemed by Swissport to have refused to submit to testing. Attempts to conduct post-accident alcohol testing will cease 8 hours after the accident, even if no alcohol test has been conducted.

For FAA purposes, an accident is defined as an occurrence associated with the operation of an aircraft which takes place between the time any person boards the aircraft with the intention of flight and the time all such persons have disembarked, and in which any person suffers death or serious injury or in which the aircraft receives substantial damage.

For PHMSA purposes, an accident means a pipeline system failure that results in a release of petroleum product and meets the requirements of an accident reportable under 49 CFR Part 195 involving hazardous liquid pipeline facilities.

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For FMCSA purposes, an accident means an accident when there is a fatality, or the driver is cited for a moving violation and either the vehicle is towed from the scene; or someone is medically evacuated from the scene.

Random

Covered employees will be selected for random alcohol testing through a scientifically valid method.

Random tests will be spaced throughout the year and will be unannounced.

Employees notified of selection for random testing must proceed immediately to the testing site.

Random tests will be conducted while the employee is performing safety-sensitive functions, just before the employee is to perform safety-sensitive functions, or just after the employee has ceased performing safety-sensitive functions.

*Employees who perform PHMSA safety-sensitive functions are not subject to random alcohol testing. Random alcohol testing only applies to employees performing FAA and FMCSA safety-sensitive functions.

Reasonable Suspicion

A covered employee must submit to an alcohol test if Swissport has determined that reasonable suspicion exists that the employee has violated the alcohol misuse prohibitions.

This determination must be based on a trained supervisor’s specific, contemporaneous, articulable observations concerning the appearance, behavior, speech or body odors of the employee.

Even if an alcohol test cannot be administered, no employee who is under the influence of or impaired by alcohol, as shown by behavioral, speech, or performance indicators of alcohol misuse, should report for duty or remain on duty requiring the performance of safety-sensitive functions until a test can be administered and the results are below 0.02 or until the commencement of the employee’s next duty period if at least 8 hours has elapsed. Similarly, even if an alcohol test cannot be administered, Swissport will not permit any employee who is under the influence of or impaired by alcohol, as shown by behavioral, speech, or performance indicators of alcohol misuse, to report for duty or remain on duty requiring the performance of safety-sensitive functions until a test can be administered and the result is below 0.02 or until the commencement of the employee’s next duty period if at least 8 hours has elapsed.

A supervisor who identifies an employee for a reasonable suspicion test cannot conduct the alcohol test as the breath alcohol technician for that employee.

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Swissport Policy establishes that any employee who registers a BAT result above 0.00 will be terminated.

PROCEDURES THAT WILL BE USED TO TEST FOR THE PRESENCE OF ALCOHOL; PROTECTING THE EMPLOYEE AND THE INTEGRITY OF THE BREATH TESTING PROCESS; SAFEGUARDING THE VALIDITY OF THE TEST RESULTS; AND ENSURING THAT THOSE RESULTS ARE ATTRIBUTED TO THE CORRECT EMPLOYEE.

Swissport will be using specified local testing facilities to conduct alcohol testing. All tests will use one of the following procedures:

Preparation for Breath Alcohol Testing

When the employee enters the alcohol testing location, the breath alcohol technician (BAT) /screening test technician (STT) will require the employee to provide positive identification (photo I.D. or identification issued by Swissport. On request, the BAT/STT will provide positive identification to the employee. The BAT/STT will explain the testing procedures to the employee.

Screening Tests

The BAT/STT will complete Step 1 on the alcohol testing form (ATF), and the employee will then complete Step 2 on the form, signing the certification. Refusal by the employee to sign this certification will be regarded as a refusal to take the test.

Breath Tests

An individually sealed mouthpiece will be opened in view of the employee and the BAT and will be attached to the evidential breath-testing device (EBT) in accordance with the manufacturer’s instructions.

The BAT will instruct the employee to blow forcefully into the mouthpiece for at least 6 seconds or until the EBT indicates that an adequate amount of breath has been obtained.

If the EBT does not have a printer capable of generating a printed result showing a sequential test number, the manufacturer’s name for the device, the device’s serial number, and the time and date of the test, the BAT will record the displayed result, test number, testing device, serial number of the testing device, date, time and quantified result in Step 3 of the form. The BAT will then complete the rest of Step 3 in its entirety. If the EBT provides a printed result, but does not print the results directly onto the form, the BAT will show the employee the result displayed on the EBT. The BAT will

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then affix the test result printout to the breath alcohol test form (ATF) in the designated space, using a method that will provide clear evidence of removal (e.g., tamper-evident tape). If the EBT prints the test results directly onto the form, the BAT will show the employee the result displayed on the EBT and on the alcohol test form (ATF).

In any case in which the result of the screening test is a breath alcohol concentration of less than 0.02, the BAT will date the form and sign the certification in Step 3 of the form. If a test result printed by the EBT does not match the displayed result, the BAT will note the disparity in the remarks section. Both the employee and the BAT will initial or sign the notation. The test is then invalid and Swissport and the employee will be so advised. No further testing is authorized. The BAT will transmit the result of less than 0.02 to Swissport in a confidential manner and Insert Company’s Name will receive and store the information so as to ensure that confidentiality is maintained as required.

Saliva Alcohol Screening Device (ASD)

The BAT/STT will check the expiration date on the device or on the package containing the device and show it to the employee. A device must not be used after its expiration date.

The BAT/STT will open an individually wrapped or sealed package containing the device in the presence of the employee.

The BAT/STT will offer the employee the opportunity to use the device. The BAT/STT will instruct the employee to insert it into his/her mouth and use it in a manner described by the device’s manufacturer.

If the employee chooses not to use the device, or in all cases in which a new test is necessary because the device did not activate, the BAT/STT must insert the device into the employee’s mouth and gather saliva in the manner described by the device’s manufacturer.

When the device is removed from the employee’s mouth, the BAT/STT must follow the manufacturer’s instructions regarding the necessary next steps to ensure that the device has activated.

The BAT/STT must read the result displayed on the device no sooner than the device’s manufacturer instructs. In all cases the result displayed must be read within 15 minutes of the test. The BAT/STT must then show the device and its reading to the employee and enter the result on the alcohol test form (ATF).

The BAT/STT must note the fact that a saliva alcohol screening device (ASD) was used in Step 3 of the ATF.

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Breath Tube Alcohol Screening Device (ASD)

The BAT/STT will check the expiration date on the detector device and the electronic analyzer or on the package containing the device and the analyzer and show it to the employee. A device or the analyzer must not be used after their expiration date. The BAT/STT must not use an analyzer which is not specifically pre-calibrated for the device being used in the collection.

The BAT/STT will remove the device from the package and secure an inflation bag onto the appropriate end of the device, as directed by the manufacturer on the device’s instructions. The BAT/STT will break the tube’s ampoule in the presence of the employee.

The BAT/STT will offer the employee the opportunity to use the device. If the employee chooses to use the device, the BAT/STT will instruct the employee to blow forcefully and steadily into the blowing end of the device until the inflation bag fills with air (approximately 12 seconds).

If the employee chooses not to hold the device, the Bat/STT must hold it and provide the use instructions.

Once the employee completes the breath process, the BAT/STT will take the device from the employee, remove the inflation bag, and prepare the device to be read by the analyzer in accordance with the manufacturer’s directions.

After waiting the required amount of time directed by the manufacturer for the detector device to incubate, the BAT/STT must place the device in the analyzer in accordance with the manufacturer’s directions. The result must be read from the analyzer no earlier than the required incubation time of the device. In all cases, the result must be read within 15 minutes of the test.

The BAT/STT must follow the manufacturer’s instructions for determining the result of the test. The BAT/STT must show the analyzer result to the employee and record the result on Step 3 of the alcohol test form (ATF).

The BAT/STT must note the fact that a breath tube device was used in Step 3 of the ATF.

Confirmation Tests

If the result of the screening test is an alcohol concentration of 0.02 or greater, a confirmation test will be performed. If a different BAT will conduct the confirmation test, the BAT who conducts the screening test will complete and sign step 3 of the alcohol test form (ATF). The BAT will provide the employee with Copy 2 of the form.

In the presence of the employee, the BAT will conduct an “air blank” to ensure that the device is working correctly. You must show the reading to the employee. The air blank result must be 0.00. If the reading is greater than 0.00, the BAT will conduct one more air blank. If the reading is

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greater than 0.00, testing will not proceed using the instrument. However, testing may proceed on another instrument.

The BAT will instruct the employee not to eat, drink, put any object or substance in his or her mouth, and, to the extent possible, not belch during a waiting period before the confirmation test. This time period begins with the completion of the screening test, and will not be less than 15 minutes. The BAT will explain to the employee the reason for this requirement (i.e., to prevent any accumulation of mouth alcohol leading to an artificially high reading) and the fact that it is for the employee’s benefit. The BAT will also explain that the test will be conducted at the end of the waiting period, even if the employee has disregarded the instruction, the BAT will so note in the “Remarks” section of the ATF.

If a BAT other than the one who conducted the screening test is conducting the confirmation test, the new BAT will initiate a new breath alcohol testing form. The BAT will complete step 1 on the form. The employee will then complete Step 2 on the form, signing the certification. Refusal by the employee to sign this certification will be regarded as a refusal to take the test. The BAT will note in the “Remarks section of the form that a different BAT conducted the screening process.

If the employee does not sign the certification in Step 4 of the form, it will not be considered a refusal to be tested. In this event, the BAT will note the failure to sign in the “Remarks” section of the form.

A breath alcohol test is invalid under the following circumstances:

− The EBT does not pass its next external calibration check (invalidates all test results of 0.02 or greater on tests conducted since the last valid external calibration test); this does not invalidate negative tests).

− The breath alcohol technician does not observe the minimum 15-minute waiting period prior to the confirmation test.

− The breath alcohol technician does not perform an air blank on the EBT before a confirmation test, or such an air blank does not result in a reading of 0.00.

− The breath alcohol technician does not sign the form. − An EBT fails to print a confirmation test result. − The sequential test number or alcohol concentration displayed on the EBT

is not the same as the sequential test number or alcohol concentration on the printed result.

Employee records pertaining to alcohol testing will be maintained in a secure location with controlled access. These records will be promptly released to the employee, or a person identified by the employee (including subsequent employers), upon written request of the employee. This release of information will not be contingent upon payment for records other than those specifically requested.

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These records must be released to Department of Transportation agency representatives upon request.

These records may must be released to the National Transportation Safety Board when requested as part of an accident investigation.

These records may be released to a Federal, state, or local safety agency with regulatory authority over the employer or the employee upon request.

REQUIREMENTS THAT A COVERED EMPLOYEE SUBMIT TO ALCOHOL TESTS

The FAA, PHMSA, and FMCSA Alcohol Misuse Prevention Programs (AMPP) prohibits certain conduct by, and requires alcohol testing of persons who perform specified safety-sensitive and covered functions. Persons who violate this regulation will be subject to consequences, including removal from safety-sensitive functions and termination of their employment with Swissport..

AN EXPLANATION OF WHAT CONSTITUTES A REFUSAL TO SUBMIT TO AN ALCOHOL TEST AND THE ATTENDANT CONSEQUENCES

As a safety-sensitive employee, you are considered to have refused to take an alcohol test if you:

1. Fail to appear for any test (except a pre-employment test) within a reasonable time, as determined by the employer, consistent with applicable DOT agency regulations, after being directed to do so by the employer. This includes the failure of an employee (including an owner-operator) to appear for a test when called by a C/TPA (see 49 CFR Part 40.241(a));

2. Fail to remain at the testing site until the testing process is complete; Provided, that an employee who leaves the testing site before the testing process commences (see 49 CFR Part 40.243(a)) for a pre-employment test is not deemed to have refused to test;

3. Fail to provide an adequate amount of saliva or breath for any alcohol test required by this part or DOT agency regulations; Provided, that an employee who does not provide an adequate amount of breath or saliva because he or she has left the testing site before the testing process commences (see 49 CFR Part 40.243(a)) for a pre-employment test is not deemed to have refused to test;

4. Fail to provide a sufficient breath specimen, and the physician has determined, through a required medical evaluation, that there was no adequate medical explanation for the failure (see 49 CFR Part 40.265 (c));

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5. Fail to undergo a medical examination or evaluation, as directed by the employer as part of the insufficient breath procedures outlined at 49 CFR Part 40.265(c));

6. Fail to sign the certification at Step 2 of the ATF (see 49 CFR Part 40.241 (g) and 49 CFR Part 40.251(d); or

7. Fail to cooperate with any part of the testing process.

Any covered employee who holds an airman certificate issued under 14 CFR Part 61, Part 63, or Part 65 and refuses to submit to required random, post-accident, reasonable suspicion, or follow-up alcohol testing will be reported to the FAA’s Drug Abatement Division.

The attendant consequences are described in the following section.

THE CONSEQUENCES FOR COVERED EMPLOYEES FOUND TO HAVE VIOLATED THE PROHIBITIONS OF THE AMPP, INCLUDING THE REQUIREMENT THAT THE EMPLOYEE BE REMOVED IMMEDIATELY FROM PERFORMING SAFETY-SENSITIVE FUNCTIONS, AND THE PROCESS IN 49 CFR PART 40, SUBPART O:

Immediate Removal from Safety-Sensitive Functions

Covered employees are prohibited from performing safety-sensitive functions if they have engaged in prohibited conduct under the FAA, PHMSA or FMCSA's rules or another DOT agency’s alcohol misuse rule (including refusal to submit to random, reasonable suspicion, post-accident, or follow-up testing). Any employee who has violated the rules of the AMPP will be immediately removed from performing safety-sensitive functions and their employment with Swissport will be terminated.

Permanent Prohibition From Service

If a covered employee is determined to have violated the on-duty use of alcohol prohibition, he or she is permanently precluded from performing the safety-sensitive duties he or she performed before such a violation.

If a covered employee is determined to have violated the prohibited alcohol-related conduct provision, other than on-duty use, two times after the employee becomes subject to the prohibitions, he or she is permanently precluded from performing the safety-sensitive duties he or she performed before such a violation. Consistent with Swissport Policy, any employee found to be in violation of these alcohol-related conduct provisions the first time will be terminated from employment.

The bar on two-time violators will apply both to persons who go through rehabilitation and to those who, after evaluation by an SAP, are determined not to need treatment.

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Notice to the Federal Air Surgeon

Any covered employee who holds an airman medical certificate issued under 14 CFR Part 67 and violates the provisions of the rule will be reported to the Federal Air Surgeon. No covered employee who holds a Part 67 airman medical certificate will perform a safety-sensitive function after a violation unless and until, in addition to the required return-to-duty steps in 49 CFR Part 40, the Federal Air Surgeon has recommended that the employee be permitted to perform such duties.

Return to Duty Process and Follow Up Procedures (49 CFR Part 40, Subpart O)

As an employee, when you have violated DOT drug and alcohol regulations, you cannot again perform any DOT safety-sensitive duties for any employer until and unless you complete the SAP evaluation, referral, and education/treatment process set forth in 49 CFR Part 40, Subpart O and in applicable DOT agency regulations.

A verified positive DOT drug test result, a DOT alcohol test with a result indicating an alcohol concentration of 0.04 or greater, a refusal to test (including by adulterating or substituting a urine specimen) or any other violation of the prohibition on the use of alcohol or drugs under a DOT agency regulation constitutes a DOT drug and alcohol regulation violation.

An employer must provide to each employee (including an applicant or new employee) who violates DOT drug and alcohol regulation a listing of SAPs readily available to the employee and acceptable to the employer. The list of SAPs must include names, addresses, and telephone numbers. The employer cannot charge the employee any fee for compiling or providing this list.

An employer is not required to provide a SAP evaluation or any subsequent recommended education or treatment for an employee who has violated a DOT drug and alcohol regulation. However, if an employer offers that employee an opportunity to return to a DOT safety-sensitive duty following a violation, the employer must, before the employee again performs that duty, ensure that the employee receives an evaluation by a SAP meeting the requirements of 40.281 and that the employee successfully complies with the SAPs evaluation recommendations. Payment for SAP evaluations and services is left for employers and employees to decide and may be governed by existing management-labor agreements and health care benefits. Note: Swissport does not provide the opportunity to return to a DOT safety-sensitive duty. Employment with Swissport is terminated and no further action by the company is required.

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A SAP is charged with:

1. Making a face-to-face clinical assessment and evaluation to determine what assistance is needed by the employee to resolve problems associated with alcohol and/or drug use;

2. Referring the employee to an appropriate education and/or treatment program;

3. Conducting a face-to-face follow-up evaluation to determine if the employee has actively participated in the education and/or treatment program and has demonstrated successful compliance with the initial assessment and evaluation recommendations;

4. Providing the DER with a follow-up drug and/or alcohol testing plan for the employee; and

5. Providing the employee and employer with recommendations for continuing education and/or treatment.

THE CONSEQUENCES FOR COVERED EMPLOYEES FOUND TO HAVE AN ALCOHOL CONCENTRATION OF 0.02 OR GREATER BUT LESS THAN 0.04

If a covered employee is found to have an alcohol concentration of 0.02 or greater but less than 0.04, that employee will be immediately removed from performing safety-sensitive functions and employment with Swissport will be terminated.

INFORMATION CONCERNING ALCOHOL

EFFECTS OF ALCOHOL MISUSE ON AN INDIVIDUAL’S HEALTH, WORK, AND PERSONAL LIFE:

o Alcohol is a central nervous system depressant. Taken in large quantities it causes not only the euphoria associated with “being drunk” but also adversely affects your judgment, your ability to think, and your motor functions. Drink enough alcohol fast enough and it can kill you.

o Long term overuse of alcohol can cause liver damage, heart problems, sexual dysfunction, and other serious medical problems.

o In some case, alcohol use can lead to physical and psychological dependence on alcohol. Alcoholism is a serious chronic disease. Left untreated it will inevitably get worse.

o Workers who use alcohol (and/or other drugs) affect everyone. Studies show that compared to alcohol and drug-free workers, substance abusers are far less productive, miss more workdays, are more likely to injure themselves or someone else, and file more workers compensation claims.

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o The measurable dollar costs of workplace substance abuse from absenteeism, overtime pay, tardiness, sick leave, insurance claims, and workers compensation can be substantial. However, the hidden costs resulting from diverted supervisory and managerial time, friction among workers, damage to equipment, and damage to the company’s public image mean that workplace substance abuse can further cut profits and competitiveness.

o Alcohol can also destroy relationships, lead to serious problems with the law (e.g., drunk driving), and even cause harm to the people you love.

o If drinking affects your work life, it could lead to job loss and all of the financial problems that would follow.

SIGNS AND SYMPTOMS OF AN ALCOHOL PROBLEM

o Any one or more of the following signs may indicate a drinking problem:

1. Family or social problems causes by drinking. 2. Job or financial difficulties related to drinking. 3. Loss of consistent ability to control drinking. 4. “Blackouts” or the inability to remember what

happened while drinking. 5. Distressing physical and/or psychological reactions if

you try to stop drinking. 6. A need to drink increasing amounts of alcohol to get

the desired effect. 7. Marked changes in behavior or personality when

drinking. 8. Getting drunk frequently. 9. Injuring yourself or someone else-while intoxicated. 10. Breaking the law while intoxicated. 11. Starting the day with a drink.

AVAILABLE METHOD OF EVALUATING AND RESOLVING PROBLEMS ASSOCIATED WITH THE MISUSE OF ALCOHOL

o Outpatient programs exist in a variety of settings:

1. Community mental health centers. 2. Family service agencies. 3. Private physicians’ and therapists offices. 4. Occupational settings 5. Specialized alcoholism treatment facilities.

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o Inpatient services, designed for those with more serious alcohol problems, can be found in hospitals, residential care facilities, community halfway houses, and some alcoholism clinics.

o Your local phone directory will list helpful referral organizations such as:

1. Local council on alcoholism. 2. Alcoholics Anonymous. 3. Community alcoholism or mental health clinic. 4. Social services or human resources department. 5. County medical society.

INTERVENING WHEN AN ALCOHOL PROBLEM IS SUSPECTED, (INCLUDING CONFRONTATION, REFERRAL TO ANY AVAILABLE EMPLOYEE ASSISTANCE PROGRAM), AND/OR REFERRAL TO MANAGEMENT):

Why You Should Get Involved:

Although Swissport may have a below average history of substance abuse problems, we recognize that alcoholism and alcohol misuse are problems throughout America. There are three good reasons why you should be concerned if any of your coworkers is using drugs or alcohol on the job:

1. Your and your coworkers’ health and safety may be at risk.

2. Alcohol misuse costs you money.

3. Alcohol creates a negative work environment.

The U.S. Department of Labor has determined that drug and alcohol use on the job costs society an estimated $102 billion a year. Since most of the costs is passed on to you in the form of higher health insurance rates or in the prices you pay for things, drug and alcohol use on the job costs you and your fellow workers.

The U.S. Department of Labor has also determined that absenteeism among problem drinkers or alcoholics is 3.8 to 8.3 times greater than normal. If your fellow workers don’t come to work, you may have to do their jobs in addition to your own. Workers who misuse alcohol don’t function at their full potential. Not only is absenteeism a problem, when they are at work these employees may have reduced capabilities and productivity. Since our product is the safe transportation of the public, alcohol misuse is an especially serious issue.

No matter what your position is in the organization, there are things that you can do to ensure that drug and alcohol use on the job never becomes

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a problem at Swissport. Acceptance of any misuse puts you, this company, and the public at risk.

IV. MANAGERS AND SUPERVISORS TRAINING PROGRAM:

Training Requirement:

Supervisors who may make reasonable suspicion test determinations must complete at least 2 hours of supervisor training – one hour on signs and symptoms associated with drug use and one hour on signs and symptoms associated with alcohol use.

Recurrent training will occur on a yearly basis after the initial training and will provide a refresher of the signs and symptoms associated with both drug and alcohol use. The Designated Employer Representative (DER) will keep a log of all initial and recurrent training dates of assigned Supervisors and Managers.

EMPLOYEE TRAINING PROGRAM:

Training Requirement:

All employees who perform DOT safety-sensitive functions must be provided materials that explain the DOT requirements. You must document that they received the materials upon initial hire. Provide Attachment 3 to each employee and have them acknowledge receipt. Original is given to the employee and a copy is kept with the Designated Employer Representative (DER).

DESIGNATED EMPLOYER REPRESENTATIVE (DER) RESPONSIBILITIES:

Requirement:

Perform direct oversight of all employees covered under this plan either assigned or attached to your specific location.

Conduct annual audits of your program by completing Attachment 1, Parts 1 and 2.

V. RANDOM TESTING PROCEDURES:

1. You will receive each month from First Advantage, a list of names identifying those individuals who must take a random drug screen during that month. This list gives you employee name, Soc. Sec. #, type of test, and selection date. The selection date is simply the date that First Advantage generated the list.

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For all Random testing, the employee is to receive either a Drug Screen (urine test) and/or an Alcohol Screen (breath test). The tests for employees on this list must be completed by the end of that month. The testing is to be spread out over all the weeks in that month and not concentrated into one week's time or over a few days, to the extent possible. For example, if you had eight names to be tested, do two names per week for four weeks. You assign the testing dates taking into consideration days -off, vacation, holidays. The employees' supervisor or manager will be provided with the list of his/her employees who are to be tested as soon as you receive the list from First Advantage. The manager will schedule his/her employees to take the test depending on operational needs, but will ensure the tests are completed within the month. The form located at Attachment 2, Drug/Alcohol Testing Form, is prepared for each employee to be tested with the date of the test placed on the form by the manager and by the Designated Employer Representative (DER) for all others.

2. Under no circumstances is the employee to receive this form until it's directly handed to them (by you, the employee's supervisor, the department manager, or the station drug program coordinator) on the date listed and they are then to be immediately taken to the collection location. The form notifying the employee of the test is not to be given to them in advance nor is it to be attached to a paycheck or pay stub with the expectation that they will report on their own for the testing.

3. The employees' manager will receive from the station DER, all the forms for that month for their covered employees. They will be responsible for giving the form to the employee on the designated day and ensuring that that the employee is immediately directed to go to the testing location, or taken to the testing location whenever possible. (If there is to be an alcohol screening, the DOT regulations mandate that this testing is done immediately upon notification.) Our random drug testing is to be done immediately upon notification, but no later than two (2) hours after notification. The manager has the flexibility to hand the form to the employee at any time during their shift in order not to adversely performance of the employee's job.. If for some reason the employee is not in that day, the form will be held by the ,manager and then given to the employee on their next workday. The manager will confirm to you that the individual was taken and tested by giving you a copy of the Drug Test Form signed by the facility that conducted the test. The individual not being at work that day doesn't void or cancel the test. It still must be completed before the end of the month.

4. The employee to be tested must be driven to the collection location by the company (unless it is not possible, e.g., remote locations). The employee is also considered on the clock and paid when they are tested. Arrangements must be made to transport the person, best using a company vehicle, as soon as they receive notification. More than one

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person can be taken if the notifications are coordinated. The driver may be specifically designated or may be determined by who is available at the time. The employee(s) to be tested are not to transport themselves to the collection site. This driver is also to bring the tested employees back to the station. The reason for driving the employee is the fact that were they to have a blood alcohol level of 0.02 % or higher (State DUI/DWI is typically 0.08%) they are determined to be impaired as designated by a federal agency (DOT) and we are required to remove them from performing safety sensitive tasks. Even though they are still legal to drive by state standards (if below 0.08%) we could still be liable if they were to be involved in any type of accident or sustain any type of injury.

5. The designated station DER, with information provided by the manager and any other managers involved, must reconcile the list of names with those tests completed. At the end of the month, all active employees designated for testing must be tested. If there are names for which you have no information, contact the appropriate manager for an explanation.

6. Every three (3) months, you will receive from First Advantage a comprehensive list of the names of covered employees they currently have listed as eligible for consideration in the random pool. You are required to review that list and notify First Advantage of all additions and deletions. You are encouraged to notify First Advantage more frequently of changes, perhaps monthly by fax, but quarterly is the minimum requirement.

7. Under no circumstances is an employee permitted to refuse a test when they are notified. No excuse or reason is acceptable to delay a test nor is an employee given a 'window of time' in which they may go and take the test. If an employee refuses to be taken to the collection location immediately upon notification, this is documented and the individual is removed from performing in a safety sensitive position. If a refusal occurs, collect the employee's ID and place them on suspension without pay until an investigation can occur. In the case of FAA safety-sensitive employees, either the manager or the DER should fax the refusal to test notification to the FAA at 202-267-5200. Provide the name and pertinent # of the employee. The FAA must be notified within two (2) days of the refusal.

The general procedure as listed above will also apply to Post-Accident and Reasonable Suspicion testing. Though no list is generated, this testing should occur immediately upon determination that it is necessary (immediately following an accident and/or immediately upon a manager/supervisor getting a confirming second opinion that an employee is acting in a fashion that could be reasonably perceived as impaired). Post-Accident and Reasonable Suspicion testing will include both a Drug Screen (urine test) and an Alcohol Screen (breath test). These employees to be tested must also be given a completed form and transported to and from the collection location.

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Pre-employment drug screening must be completed on the day that you assign the candidate and since there is no Alcohol Screening, the candidate may transport themselves to and from the collection location. Again a form must be given to them and the date assigned should be the same day that you see them in the office for interviews or completion of documentation.

Keep in mind, that regardless of the type of testing, the Chain of Custody must be designated when the form is completed, taking into consideration, the employee's work responsibilities.

VI. Training and Education:

There are some additional items that must be part of your Drug Program. These are:

1. A complete copy of the Company Drug and Alcohol Testing Policy must be posted in a public area providing all employees the opportunity to read this document. If the document is torn down or destroyed it must be replaced.

2. Providing information to employees on where they may seek help for drug and/or alcohol related problems. You must:

a. post in public, high traffic areas (break-rooms, locker-rooms , etc.) drug abuse educational posters and help lines/hotlines

b. post Swissport Standard Operating Procedure HR-32 Employee Assistance Plan, which lists the name and phone number of our EAP Substance Abuse Professional, available to all employees who are in a safety sensitive position.

c. make available booklets, videotapes, movies or other materials for individual or group use

d. develop and make available to employees a list of community service organizations with description of services available, location of these services, cost of these services, and whether the company health/medical benefits provide any type of coverage for these services

e. ensure that employees are aware that their participation in any such services is confidential unless this involvement results from the need to notify under the requirements of the Federal Aviation regulations.

3. New hire orientation for all employees must include a drug education section with at minimum the following materials presented:

a. review of company policies and SOP's regarding substance abuse and penalties for violation of these policies

b. effects and consequences of drug abuse on personal health, safety and the work environment

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c. manifestations and behavioral clues that may indicate drug use/abuse

d. overview of employee's right to privacy and the procedures for securing test results

e. provisions of the FAA plan, how it's implemented, and penalties for violation of the plan provisions

4. All supervisors, managers, etc. who will determine if and when an employee is to be sent for drug testing, based on Reasonable Cause/Suspicion, must receive a minimum of one (1) hour initial training on the specific contemporaneous (happening at that time) physical, behavioral and performance indicators of probable drug and/or alcohol abuse. This training is to be repeated annually. You should already have a training package for delivery to supervisors and managers.

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ATTACHMENT 1: ANNUAL AUDIT CHECKLIST

PART 1: ADMINISTRATIVE AND QUALITY ASSURANCE REVIEW GUIDE

Coverage

1. How many total employees do you have?

2. How many safety-sensitive employees do you have? 3. Where are they located and what are their job categories? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ 4. Do you contract out any or all safety-sensitive work? 5. How do you ensure employees hired by contract are subject to an FAA-mandated

drug and alcohol testing program? (Alternative Question – If so, are they subject to testing under their own FAA-mandated drug and alcohol testing program?)

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ 6. Do you have a company testing program for non safety-sensitive employees? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

Service Agent

1. Do you use a consortium/third party administrator to help with your program? If so, provide Name/Location.

______________________________________________________________________ ______________________________________________________________________

2. Where do you conduct your collections? ______________________________________________________________________ ______________________________________________________________________ 3. (If applicable) What collection site do you use for employees at other locations

or during non-regular business hours?

______________________________________________________________________

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______________________________________________________________________

Mandatory Testing

Pre-employment Testing

1. Have you hired any new safety-sensitive employees in the last 24 months? What is your process for hiring an employee, identifying the duties from one job category to the other?

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

2. Have you transferred any non safety-sensitive employees into safety-sensitive positions in the last 24 months? What is your process and how is this documented?

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ 3. How and when do you advise employees of the requirement for testing and the

five drugs?

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ 4. Do you perform alcohol pre-employment testing? If not, move on. If so, are all

applicants tested?

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ 5. Explain your process for performing the drug and alcohol records check. Have

you ever not received a response from a previous employer? When and/or do you make a good faith effort if no response is received?

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ 6. Have you ever received a drug and alcohol records check request for a previous

employee? If so, how did you respond?

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ 7. How do you ask employees about pre-employment positives or refusals that the

employee was not hired for? (required under § 40.25(j))

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

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Random Drug and Alcohol Testing

1. Do you manage your own random testing program, or does your C/TPA administer the program for you?

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

2. Are you in your own pool or combined (if managed by a C/TPA)? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ 3. How do you (or your C/TPA) generate the random selection list and how often? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ 4. How do you receive the random selection list? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ 5. Explain your random testing process (at each location) once selections are

done, starting from receiving the list, to notification, to ensuring the collection is completed?

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ 6. How are employees added or removed from the random testing pool? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ 7. Are you, as the program manager or DER, a safety-sensitive employee? If so,

please explain how you are notified.

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

Note: Additional questions relating to random review are in Appendix C of this Order.

Post-accident Testing

1. Have you ever had any post-accident testing? If not, move on. ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

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2. If so, ask to explain the accident. Verify documentation during the records review.

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ Reasonable Cause/Suspicion Testing

1. Have you ever had a reasonable cause or suspicion test? If not, move on to supervisory training.

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

2. If so, ask to explain the circumstances including information regarding the trained supervisor who made the determination. Verify information during the records review.

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ 3. How many trained supervisors do you have? If you have multiple

worksites/times, do you have a trained supervisor available (if applicable)?

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ 4. Who conducts your supervisory training? How often? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ 5. What is covered during this training? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ Positive Drug Test Results/Alcohol Violations/Refusals

1. Have any of your employees had a verified positive drug test result, alcohol violation, or refused to submit to testing? If not, move on.

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

2. If so, describe your company’s response to the outcome of the test. ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

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3. Do you provide the SAP information to every employee who tests positive? Verify SAP qualifications during record review and/or SAP interview (if applicable).

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ 4. Have any of your employees who hold a part 67 airman medical certificate had a

verified positive drug test result or alcohol violation? If so, have you reported the information to the Federal Air Surgeon?

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ 5. Have any of your employees refused? If part 61, 63, 65, or 67 airmen, have you

reported the information to the Federal Air Surgeon?

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ Return-to-Duty Testing

1. (If they have a return-to-duty process) Please explain your process for returning individuals or employees to duty after a verified positive drug test, alcohol violation, or refusal.

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

2. How do you receive the SAP recommendation? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

3. How do you ensure that all return-to-duty tests are conducted under direct observation?

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ Follow-up Testing

1. Explain your follow-up testing process? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

2. Who performs your follow-up testing notifications? ______________________________________________________________________ ______________________________________________________________________

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______________________________________________________________________

3. When do you perform your follow-up testing? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

4. How do you ensure that all follow-up tests are conducted under direct observation? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

Program Responsibilities

1. How do you or your Consortium/Third Party Administrator (C/TPA) advise your collector of the required information in § 40.14 (e.g., employee name, ID number, type of test, required direct observation, etc.)?

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

2. Have you received a result indicating insufficient specimen, dilute, cancelled, or invalid? If not, move on. If so, ask to explain what they did with the result.

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

EAP/Training

1. Where do you display your drug use/abuse materials? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

2. How do you make your alcohol information available to your employees? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

3. What information/training do you provide to your employees (including supervisors) about the drug and alcohol testing program? Is this documented?

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

4. Who provides your training and how often? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

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Recordkeeping

1. Where do you maintain your drug and alcohol testing records, which include your drug and alcohol records check?

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

2. Who has access to these records? Are they secured and how? ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

Additional Notes:

______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________ ______________________________________________________________________

This is the conclusion of PART 1, Administrative and Quality Assurance Review.

The team must move to PART 2, Record Review, to obtain evidence to verify the procedures described.

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PART 2: RECORDS REVIEW GUIDE

Each inspection must include a review of one or all of the following program documents/records. For each area inspected, the responsible inspector/investigator must initial in the box on the right.

Documents/Records

Initials

Time Period of Review (Start to

End)

Comments

1. Pre-employment Records, including:

1a. Federal Drug Testing Custody & Control Forms and Results

Reviewed

Not Reviewed

1b. Job Descriptions Reviewed Not Reviewed

2. Drug and Alcohol Records Check Records, including:

2a. Written Release Forms and Responses

Reviewed Not Reviewed

2b. Employment Applications

Reviewed Not Reviewed

2c. Documentation of Good Faith Effort (if applicable)

Reviewed Not Reviewed

2d. Confirmation of Compliance with § 40.25(j)

Reviewed Not Reviewed

3. Random Testing Records, including:

3a. Listing of Random Pool Prior to Selection

Reviewed Not Reviewed

3b. Random Selections Reviewed Not Reviewed

3c. Verified Drug Test Results and/or Custody and Control forms.

Reviewed

Not Reviewed

3d. Alcohol Testing Forms w/ Results

Reviewed Not Reviewed

4. Work Records, including:

4a. Maintenance Records/Logs

Reviewed Not Reviewed

4b. Pilot Flight Records/Logs

Reviewed Not Reviewed

4c. Other Work Records/logs

Reviewed Not Reviewed

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Documents/Records

Initials

Time Period of Review (Start to

End)

Comments

5. Reportable Accident Records & Post-Accident Test Results

Reviewed Not Reviewed

6. Reasonable Cause & Reasonable Suspicion Results and Documentation

Reviewed

Not Reviewed

7. Verified Positive Drug Test Records, including:

7a. Verified positive Drug Test Results

Reviewed Not Reviewed

7b. Documentation of Removal from Safety- Sensitive Functions, to include Work Records/Logs/Personnel Records

Reviewed

Not Reviewed

7c. Notifications to the Federal Air Surgeon (for part 67 medical certificate holders)

Reviewed

Not Reviewed

7d. If Employee Terminated, Documentation that SAP Contact Information was Provided

Reviewed

Not Reviewed

8. Alcohol Misuse Violation Records, including:

8a. Records of alcohol misuse test results

Reviewed Not Reviewed

8b. Documentation of Removal from Safety- Sensitive Functions, to include Work Records/Logs/Personnel Records

Reviewed

Not Reviewed

8c. Notifications to the Federal Air Surgeon (for part 67 medical certificate holders)

Reviewed

Not Reviewed

9. Refusal records (drug and/or alcohol), including:

9a. Documentation of refusal to submit to testing

Reviewed Not Reviewed

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9b. Documentation of Removal from Safety- Sensitive Functions, to include Work Records/ Logs/ Personnel Records

Reviewed

Not Reviewed

40

Documents/Records

Initials

Time Period of Review (Start to

End)

Comments

9c. Notifications to the Federal Air Surgeon (for parts 61, 63, 65, or 67 certificate holders)

Reviewed

Not Reviewed

9d. If Employee Terminated, Documentation that SAP Contact Information was Provided

Reviewed

Not Reviewed

10. Return-to-duty and follow-up testing records, including:

10a. Initial and Follow-up Reports from SAP

Reviewed Not Reviewed

10b. Return-to-duty Testing CCF/ATF and Result

Reviewed Not Reviewed

10c. Follow-up Testing CCF/ATF and Result

Reviewed Not Reviewed

10d. If Employee Terminated, Documentation that SAP Contact Information was Provided

Reviewed

Not Reviewed

11. Documents Pertaining to Drug and/or Alcohol Testing Arbitration or Litigation

Reviewed

Not Reviewed

12. Drug and Alcohol Program Training Records, including:

12a. Employee Records Reviewed Not Reviewed

12b. Initial and Recurrent Training Records for Individuals Making Reasonable Cause/ Suspicion Determinations.

Reviewed Not Reviewed

13. EAP and Alcohol Misuse Information, including:

13a. Employer’s Policy on Drug and Alcohol Testing

Reviewed Not Reviewed

13b. Distribution Requirement

Reviewed Not Reviewed

13c. Display Requirement Reviewed Not Reviewed

14. Records to Verify Contractor Compliance

Reviewed Not Reviewed

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Documents/Records

Initials

Time Period of Review (Start to

End)

Comments

15. Collection Site Records, including:

15a. Collector/Breath Alcohol Technician Training Records

Reviewed Not Reviewed

15b. Specimen Collection Logs

Reviewed Not Reviewed

15c. Calibration Logs for EBT devices

Reviewed Not Reviewed

16. MRO Records, including:

16a. MRO Qualification/ Training Documentation

Reviewed Not Reviewed

16b. Records of Notification & Determination/ Verification

Reviewed Not Reviewed

16c. Evidence MRO personally reviews at least 5% of all CCFs reviewed by MRO staff quarterly

Reviewed Not Reviewed

16d. MRO Process for Non- negative Test Results

Reviewed Not Reviewed

17. SAP Records, including:

17a. Qualification/Training Records

Reviewed Not Reviewed Not Applicable

17b. Initial and Follow-up Evaluations

Reviewed Not Reviewed

17c. Initial and Follow-up Evaluations

Reviewed Not Reviewed

18. Laboratory Records, including:

18a. Semi-annual Summaries

Reviewed Not Reviewed

18b. Blind Testing Results Reviewed Not Reviewed

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ATTACHMENT 2

DOT PRE-EMPLOYMENT TO: (Enter Testing Facility Name/Address Below)

FROM: SWISSPORT USA, INC. AIRPORT CODE _________________

PLEASE PERFORM THE FOLLOWING TEST(S) ON:

____________________________ XXX-XX-_________ ________ -_________

DONOR’S NAME SOCIAL SECURITY NUMBER EMP ID 2 (Station/Dept) Example: JFK-ACM

DRUG _____X_____ FAA _____X_____

DOT _____X_____

CHAIN OF CUSTODY PRE-EMPLOYMENT _____X_____

Test(s) to be conducted on: _______________________

DATE

_______________________________ __________

NAME OF AUTHORIZING PERSON DATE

ACKNOWLEDGEMENT OF RECEIPT:

____________________________ ____/____/____ _____:______

Employee’s Signature Date Time

______________________________ ____/____/____ _____:______

Signature of Facility Conducting Test Date Time

Please Email OR Fax a signed copy of this document with the Custody & Control Form

To: Requesting Location HR Office

Email.address@swissport.com – Fax xxx-xxx-xxxx

ADD YOUR STATION

ADDRESS/PHONE#

HERE

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ATTACHMENT 3

SUBSTANCE ABUSE INFORMATION for DOT/FAA/PHMSA/FMCSA DRUG AND ALCOHOL TESTING

Original to Employee – Copy kept by DER

Swissport complies with the drug and alcohol testing regulations of the Department of Transportation (DOT) (49 CFR part 40), the Federal Aviation Administration (FAA) (14 CFR part 120), and the Pipeline and Hazardous Materials Safety Administration (PHMSA) (49 CFR par 199).

Community Service Hotline. If you have any personal problems or questions concerning drug abuse or alcohol misuse and need to confide in someone, you are encouraged to contact:

Name: WorkLifeMatters Telephone: 1-800-386-7055

For More Information About DOT and FAA Requirements or our Company Policy, contact

Primary: Marla Bacchus, Benefits and DOT Program Manager, Swissport North America, JFK Int’l Airport, Bldg 151, Suite 300, Jamaica, New York 11430, Telephone: (718) 233-9514.

Alternate: Kavita Seemangal, DOT Program Administrative Assistant, Swissport North America, JFK Int’l Airport, Bldg 151, Suite 300, Jamaica, New York 11430, Telephone: (718) 233-9505.

For more information relating to the FAA/DOT/PHMSA/FMCSA program requirements, visit the following Web sites:

For FAA: http://www.faa.gov/about/office_org/headquarters_offices/avs/offices/aam/drug_alcohol/ For DOT: http://www.dot.gov/odapc/ For PHMSA: http://www.phmsa.dot.gov/pipeline/initiatives/drug-alcohol For FMCSA: https://www.fmcsa.dot.gov/regulations/drug-alcohol-testing-program

Consequences of Using Drugs or Alcohol While Performing Safety-Sensitive Functions. A covered employee who has engaged in prohibited drug use or alcohol misuse during the performance of a safety-sensitive function will be immediately removed from performing safety-sensitive functions, employment with Swissport will be terminated, and permanently precluded from performing the same safety-sensitive function for any DOT-regulated employer. Information is available in 14 CFR §120.111(e)(2) and §120.221(b).

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Consequences of a Verified Positive Drug Test or an Alcohol Test at 0.02 or Higher Breath Alcohol Content (BAC). A covered employee who receives a verified positive drug test result or alcohol violation on a FAA required test will be immediately removed from safety-sensitive duties and their employment with Swissport will be terminated. An employee who has violated a FAA drug and/or alcohol violation cannot return to the performance of safety-sensitive duties until the employee has been evaluated by a Substance Abuse Professional and successfully completed the return-to-duty process outlined in 49 CFR Part 40, Subpart O (49 CFR §40.23(d)).

A covered employee who receives a verified positive drug test or alcohol test result of 0.04 BAC or higher on a FAA required test after having received a previous positive drug test or alcohol test result of 0.04 or higher BAC will be immediately removed from performing safety-sensitive functions and is permanently prohibited from performing the same safety-sensitive function for an FAA-regulated employer. This information is available in 14 CFR §120.111(e)(1).

Consequences of Refusing to Submit to a Required Drug or Alcohol Test. Immediate removal from performing safety-sensitive functions and termination of employment with Swissport. A verified adulterated or substituted drug test result will be considered a refusal to test (49 CFR §40.23(b)).

Reporting to the FAA. Swissport must notify the FAA of any employee who holds an airman medical certificate issued under 14 CFR Part 67 and violates the provisions of the FAA/DOT regulations, as described above. (14 CFR §120.113(d)(1)). In addition, any employee who holds a certificate under 14 CFR Part 61, Part 63, or Part 65 airman certificate and who has refused to submit to a FAA required drug or alcohol test must be reported to the FAA.

Performing a safety-sensitive function: an employee is considered to be performing a safety-sensitive function during any period in which he or she is actually performing, ready to perform, or immediately available to perform such functions. (14 CFR §120.7(k))

Employee Signature: ___________________ Date: _______________

ATTACHMENT 4

SAP: ASAP (American Substance Abuse Professionals) 711 West 40th Street Suite 235 Baltimore, MD 21211 (888-792-2727)

MRO: Stuart B. Hoffman MD , FACP (888-794-6574)

LAB: LABCORP 69 First Ave Raritan, NJ 08869 (800-833-3984)