2. Organization, Roles and Responsibilities

Author: A. Tebaldi

Document Number: HR-99-999-100

Revision: 7.0

Date: September 6, 2019

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HUMAN RESOURCES MANUAL

1. Introduction

1.1 The Human Resources Department (HR Department) supports corporate missions and goals by recruiting and retaining high quality personnel and providing the necessary support to ensure that they work efficiently and effectively.

1.2 The purpose of this chapter is to set forth these HR Department processes and programs and the policies and procedures required to execute them.

1.3 Unless noted otherwise, the programs, processes, policies and procedures in this chapter apply to both marine and shoreside personnel.

2. Organization, Roles and Responsibilities

2.1 Organization Roles and Responsibilities of this manual lays out the company organization. The Human Resources Director heads the department and reports to the President.

2.2 The Human Resources Department is responsible for administering McAllister’s compensation and benefit plans, facilitating compliance with labor and employment laws, and ensuring that all personnel are aware of and adhere to the requirements in this chapter and other related human resources company documents

2.3 Each General Manager is responsible for fully implementing HR Department policies and procedures at the local level.

2.4 Each General Manager shall appoint an individual to manage human resources functions. The person fulfilling this role may have a more general title, like Port Captain or may even be the General Manager, as long as the responsibility described in this procedure as “Personnel Manager” is designated. Where the individual is handling these responsibilities only for marine personnel, the title “Marine Personnel Manager” may be used.

3. Policies and Procedures

3.1 In addition to those presented in this chapter, other HR Department policies and procedures are contained in a number of separate company documents, including:

.1 McAllister Policies (QS-99-999-005)

.2 McAllister Towing Affirmative Action Plans, which elaborate the company’s Equal Employment Opportunity, Discrimination and Harassment Policies;

Printed copies are not Controlled For Reference Only. Compare printed copies with electronic original.

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.3 McAllister Towing Employee Handbook for Office and Shoreside Personnel (MCA-370);

.4 McAllister Towing Tugboat Employees Employment Terms or any applicable collective bargaining agreement; and,

.5 Informational materials outlining Employee Benefits Programs, which are listed in Section 4 of this chapter.

4. Human Resources Programs

4.1 The HR Department manages several centralized programs to support field operations and employee needs.

4.2 Recruiting. The HR Department is in charge of various activities designed to attract highly qualified applicants for company employment: .1 Internet site for job advertisement and online employment applications; .2 Advertisements in professional marine publications; .3 Representation at job fairs and educational institutions; and, .4 Direct solicitation of known qualified employment candidates.

4.3 Labor and Employee Relations. In cooperation with the General Counsel, the HR Department provides guidance and assistance to branch ports for all manner of labor concerns and emergent situations.

4.4 Regulatory Compliance. The HR Department ensures that labor practices conform to federal regulatory requirements (e.g., Affirmative Action, Equal Employment Opportunity, Americans with Disabilities Act, Veterans Reemployment, Non-Discrimination, etc.). The Department also prepares and submits the various reports required by these programs.

4.5 Employee Benefits Programs. The HR Department manages numerous programs designed to enhance the professional and personal well-being of employees. For programs listed with an “*”, the HR Department should be contacted to clarify applicability. .1 The McAllister Employee Assistance Program. This is a confidential service

for short term counseling. An independent consulting firm is available to provide information on this program at 1-800-585-5422.

.2 The McAllister Towing Educational, Safety and Training Reimbursement Program*;

.3 The McAllister Savings Plan Summary Plan*;

.4 The McAllister Employees Retirement Plan*;

.5 The McAllister Towing Flexible Spending Account Plan*;

.6 The McAllister Towing Health Care Summary Plan*;

.7 The McAllister Towing Short Term Disability Plan;


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.8 The McAllister Towing Voluntary Long Term Disability Plan;

.9 The McAllister Towing Group Life Insurance Group Contract*; and,

.10 The McAllister Severance Pay Plan and Summary Plan.

4.6 Human Resources Information System (HRIS). This commercial, computerized personnel management database is managed by the HR Department as means to collect, organize, analyze and report a wide range of employee information (e.g., contact details, qualifications and credentials, training, positions, reporting relationships, etc.).

5. Job Descriptions

5.1 Complete and accurate Job Descriptions are necessary to: .1 Apprise employees of their responsibilities; and, .2 Establish clear lines of authority and communications throughout the

organization through the entry into HRIS of the “Reports to” and “Supervises” provisions stated in each Job Description.

5.2 The HR Department is responsible for creating written Job Descriptions for each employee. For each position in the company, these Job Descriptions set forth the supervisor, employee responsibilities, essential duties, minimum requirements, physical requirements, training requirements, and FLSA Status.

6. Orientation and Training

6.1 The following statements summarize the McAllister Towing training philosophy: .1 The development, approval and implementation of training are driven by

varied considerations, such as risk assessments, cost-benefit analyses and regulatory requirements.

.2 Viable training schedules must be established in conjunction with the development of training courses.

.3 Training must be conducted by competent instructors capable of: (1) Communicating learning objectives to participants;

(2) Engaging in discussions to reinforce and establish the relevancy of the subject matter; and,

(3) Modifying training methods and delivery to accommodate different target audiences.

.4 Post-training evaluations are necessary to measure training effectiveness.

6.2 Initial training and orientation are discussed in conjunction with the hiring process (Ref. Section 7 below). Depending on the marine or shoreside position, topics include some or all of the following. .1 Company policies, history and organizational structure;


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.2 Introduction to the Quality and Safety Management System;

.3 Basic safety rules;

.4 Vessel Safety Orientation;

.5 Position-specific Vessel Safety Familiarization;

.6 Vessel security; and,

.7 EPA Vessel General Permit requirements.

6.3 With respect to on-going training: .1 The Vice President of Compliance ensures that a list of ongoing training

topics is included on the annually published McAllister Safety Calendar. .2 Vessel Captains are required to hold training sessions on the McAllister

Safety Calendar training topics and to record the results of these activities on the form, “Training, Drills and Exercises Report (MCA-711).

.3 The Vice President of Compliance reviews current regulatory and industry standards and evaluates quality, safety, security and environmental outcomes from the previous year and modifies the following year’s training schedule accordingly.

6.4 Individual Training Needs. It is not uncommon for individuals to have training needs that are not met by the standard initial orientation and ongoing training discussed in paragraphs 6.3 and 6.4 above. With this in mind, individual training needs should be reviewed and evaluated at each of the following times: .1 Upon hire, transfer or promotion; .2 At an employee’s specific request; .3 When indicated by audit results or by an incident investigation report; and, .4 As part of every performance evaluation.

7. Physical Standards

7.1 Each Job Description includes physical requirements that must be met to qualify for or to remain in a position. While the physical requirements for Office and Shoreside Personnel vary from job to job, those for Marine Personnel are consistent for all positions aboard company vessels.

7.2 Appropriate physical standards for Marine Personnel are set forth and enforced in two ways: .1 The U.S. Coast Guard establishes medical criteria for mariners and verifies

that individuals meet these criteria through physical exams required when credentials are issued.

.2 McAllister augments the Coast Guard standards with performance based physical requirements for Marine Personnel. Compliance with these requirements is verified by physical exams that are a part of the hiring


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process and subsequent exams when there is cause to believe a mariner is no longer fit to carry out his/her assigned duties.

8. Hiring Process

8.1 A well-defined, fully documented hiring process is essential to building and maintaining a high-quality workforce. The McAllister Hiring Process consists of activities and requirements grouped in seven steps, which are discussed in the paragraphs below.

8.2 There are two forms that must be used in conjunction with the Hiring Process: .1 New Hire Checklist (MCA-300) – This form lists the documentation that

must be completed, verified and confirmed as being in an employee’s personnel file before the hiring can be certified and the individual added to the payroll. Required documentation is not the same for all jobs. When all items have been checked off and the documentation forwarded to the HR Department, the hiring can be certified and the individual added to the payroll as an employee.

.2 Applicant Flow Log (MCA-340). This form is required by federal regulations to track the company’s compliance with various federal programs. The log (Excel spreadsheet) includes fields to record the date the application was received, the name of the applicant, the position applied for, the job group of that position or its EEO code, the race and sex of the applicant, the veteran status of the applicant and whether the applicant was selected or rejected. The date of hire is entered for selected applicants. The reason for rejection is entered for non-selected applicants.

8.3 The paragraphs below for each step of the Hiring Process include required actions to be taken, a listing and explanation of any relevant forms or documents associated with the step, prompts for checking off items on the New Hire Checklist (MCA-300) and instructions for making entries in the Applicant Flow Log (MCA-340).

8.4 This Hiring Process applies to all employees; however, there are some differences in the requirements for Marine Personnel as compared to Office and Shoreside Personnel. To account for these differences, the actions and documentation set forth in the following paragraphs includes notations indicating applicability: (O) = applicable to Office and Shoreside Personnel; (M) = applicable to Marine Personnel; and, (O&M) = applicable to both.

8.5 The Personnel Manager or equivalent is responsible for executing the Hiring Process and is encouraged to contact the HR Department with any questions or concerns that may arise.

8.6 Step 1 - Job Advertisement. .1 Job Advertisements must be prepared and posted in accordance with the

Affirmative Action Plan and include:


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(1) An accurate, up-to-date Job Description for the position;

(2) A deadline after which applications will no longer be accepted; and,

(3) The name, phone number and e-mail address for a McAllister point of contactavailable to answer questions or provide assistance.

.2 The most effective advertising medium must be decided (i.e., company website, professional magazines, job fairs, educational institution venues, employment agencies, direct mail solicitation of known candidates, etc.).

.3 The Personnel Manager shall consult with the HR Department for all of the above.

8.7 Step 2 - Application Receipt and Review. .1 All prospective employees must submit an Application Package (MCA-335

for Marine Personnel; MCA-337 for Office and Shoreside Personnel) to the Personnel Manager either online (http://mcallister.balancetrak.com/lists/71/default.aspx) or in hardcopy. The Application Package consists of an Employment Application and a resume, Consumer Report Disclosure, and a Voluntary Survey that applicants are encouraged, but not required to submit.

.2 Upon receipt of an Application Package, the Personnel Manager shall: (1) Review the applications to verify that they are complete and that the applicant’s

qualifications meet the requirements of the Job Description. An incompleteapplication or insufficient qualifications are cause for rejection.

(2) Use the information available on the Employment Application and resume toselect applicants to be interviewed.

(3) Discuss the review and its results with the General Manager and scheduleapplicant interviews.

.3 New Hire Checklist (MCA-300) action: Generate a checklist for this position, and check off the appropriate items under Receipt of Application.

.4 Applicant Flow Log (MCA-340) action: Make initial entries for all applications received (i.e., date, name, position, gender and other details available from the Application Package (MCA-335 or MCA-337). Fill in no other information for applicants scheduled for interview. For rejected applicants, indicate “Review” in the stage column and select the “Disposition” that best describes the reason for rejection.

.5 Associated Documents: (1) Application Package (MCA-335). At the time of application, all prospective

marine employees are to complete and sign this application package, either onlineor in person and should submit a resume. (M)Application Package (MCA-337). At the time of application, all prospective officeand shoreside employees are to complete and sign this application package, eitheronline or in person and should submit a resume. (O)

(2) Voluntary Survey. This form is included in the Application Package (MCA-335 orMCA-337). Applicants are encouraged but not required to complete this form,which provides information vital to the recording keeping required to support equal


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opportunity, non-discrimination of minorities, females, the disabled and the promotion of veterans’ adjustment and reemployment programs. As a voluntary survey, this form shall have no bearing on the decision to hire or reject an applicant, either through the information that may be provided in its completion or as the result of an applicant’s election to not complete the form. (O&M)

(3) New Hire Checklist (MCA-300). See paragraph 8.2.1 of this section. By checking off items and signing the form, the Personnel Manager or equivalent is officially verifying compliance with all associated laws, regulations and policies. (O&M)

(4) Applicant Flow Log (MCA-340). See paragraph 8.2.2 of this section. (O&M)

(5) Consumer Report Disclosure. This form is included in the Application Package (MCA-335 or MCA-337). It is a notice to applicant that a background check will be conducted in conjunction with an offer of employment to determine employment eligibility and the applicant’s rights under the FCRA. (O&M)

8.8 Step 3 - Interviews. .1 Applicant interviews should be conducted by the same person or small group

of persons to ensure consistency in this activity. .2 During each interview, the company interviewer(s) shall explain the Job

Description, review any resume submitted, and discuss company benefits and salary.

.3 Applicants must also be informed that background screening is a part of the hiring process. They must be advised that upon receipt of a conditional job offer, they will be required to provide three references and will be requested to authorize the background screening, which must be concluded with favorable results before employment begins.

.4 When an applicant interview has concluded, the company interviewer(s) should summarize the results.

.5 When all interviews have finished, the company interviewer(s) must select the applicant(s) to whom a Conditional Job Offer will be made.

.6 New Hire Checklist (MCA-300) action: None.

.7 Applicant Flow Log (MCA-340) action: Make no additional entries for the applicants to whom Conditional Job Offers will be tendered. For the remainder, indicate “Post-Interview” in the stage column and select the “Disposition” that best describes the reason the individual will not be hired.

.8 Associated Documents: None.

8.9 Step 4 - Conditional Job Offer. .1 The Personnel Manager will send the appropriate Conditional Offer

Package (MCA-303 for Marine Personnel; MCA-304 for Office and Shoreside Personnel) to the applicant(s) selected to receive a Conditional Job Offer and will attach to the Package the appropriate job description for the position in which the applicant may serve. In cases when the agreed terms of employment differ from those of the standard Conditional Offer


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Package, the Personnel Manager should contact the HR Department for assistance in modifying the document to ensure compliance with prevailing federal, state and local laws, regulations and policies. Note the following forms are included in the Conditional Offer Package for completion by the applicant and return to the Personnel Manager: (1) Conditional Offer Letter (MCA-303; MCA-304) (O&M);(2) Authorization to Conduct an Employment Background Investigation (MCA-311)

(O&M).(3) Reference Checks (MCA-313) (O&M).(4) Previous Employer Contact Consent (MCA-310) (M).

.2 The applicant accepts or declines the Conditional Job Offer by completing and signing the statement on the second page of the Offer Letter and returning the Offer Letter to the McAllister office along with the other forms in the Conditional Offer Package, all fully completed and signed.

.3 The applicant must also provide the Personnel Manager with any professional credentials, licenses or identifications required by the Job Description for the position, including: (1) USCG Merchant Mariner Credential (M).(2) FCC Marine Radio Operators Permit (M).(3) State Driver License or if no license is available, Driver License Waiver (MCA-

312) (M).(4) Transportation Worker Identification Credential (TWIC) (M&O).

.4 Note: Office and Shoreside positions may have Job Descriptions with requirements for the documents listed above in paragraph 8.9.3. This can be determined by reviewing the Job Description or from the New Hire Checklist (MCA-300) for the position.

.5 New Hire Checklist (MCA-300) action: Check off the items sent to and received from the applicant in the Tender Job Offer box.

.6 Applicant Flow Log (MCA-340) action: No entries required unless the job offer is withdrawn by the company or rejected by the applicant. In such cases, select “Offer” in the Stage column and the Disposition which describes the circumstance.

.7 Associated Documents:

(1) This document is included in the Conditional Offer Package. It is a form letter provided by the HR Department which enumerates the terms of

employment including start date, rate of pay, job description and benefits information. In those circumstances when the agreed terms of employment differ from those of the standard Offer Letter, the Personnel Manager (or equivalent) should contact the HR Department for assistance to ensure compliance with prevailing federal, state and local laws, regulations and policies.

Offer Letter (MCA- 303) (M) Offer Letter (MCA-304) (O)


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(2) Authorization to Conduct an Employment Background Investigation (MCA-311).This form is included in the Conditional Offer Package. The applicant completes signsand returns the form to the office. The form may differ from state to state. All applicantsmust submit a release order for a background investigation to be conducted. (O&M).

(3) Reference Checks (MCA-313). This form is included in the Conditional Offer Package.It requires the applicant to list three references and give the authorization to contact themto obtain information on past employment, which is reported on the Reference Reportprovided by the references listed. (O&M)

(4) Previous Employer Contact Consent (MCA-310). This form is included in theConditional Offer Package for Marine Personnel. Applicants for marine positions whoreceive a Conditional Job Offer submit this form to enable compliance with United StatesDepartment of Transportation (DOT) regulations regarding transportation workers.Transportation related companies are required to have in place a drug and alcoholtesting program for all employees assigned to safety-sensitive positions. Further, thecompany is required to obtain any available drug and alcohol testing informationconcerning a prospective employee to be placed in a safety-sensitive position before thatindividual can be assigned to such a position. (M)

(5) Merchant Mariner Credential. This document takes the place of the separate licenses,documents and STCW certificates. (M) or

USCG License Endorsement. issued to vessel officers that indicates the shipboard positions that are permitted to hold. (M) Ratings. unlicensed member or a deck or engine department. (M) STCW Endorsement. STCW Certifications were added to licenses as endorsements. Those with STCW endorsements must also provide a copy of their Medical Certificate. (M)

(6) Marine Radio Operators Permit. This license from the FCC is required to operateshipboard VHF and other onboard radios. As such, it is only applicable to applicants forCaptain or Mate positions. (M)

(7) State Driver’s License. If the prospective employee’s job description requires a USCGMerchant Mariner’s Credential (license or Merchant Mariner Document), the prospectiveemployee is then required to have a valid driver’s license. If the prospective employeedoes not have a driver’s license, a Driver License Waiver (MCA-312) must becompleted. (M)

(8) Transportation Worker Identification Credential (TWIC). These tamper-resistantbiometric credentials must be carried by any individuals who require unescorted accessto secure areas of ports, vessels and outer continental shelf facilities. This includesoffice and shoreside personnel with Job Descriptions that indicate the incumbent mustvisit vessels or waterfront facilities. Without exception, all credentialed merchantmariners must hold a TWIC and the absence of one immediately disqualifiers a marinerfor employment with McAllister. (O&M)

8.10 Step 5 - Confirming Conditional Job Offers. .1 Upon receipt of the applicant’s acceptance of the Conditional Job Offer and

return of authorizations for background checks, the Personnel Manager must: (1) Order a consumer background check and review the reported results. (O&M)


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(2) Send the Previous Employer Contact Consent forms contained in the Conditional Offer Package to the previous employers identified by the applicant so that they can fill-in Section 2. Upon return from the previous employers, complete Section 3 on each form. (M)

(3) Contact at least three references identified by the applicant to respond to the questions in Section 3 of the Reference Checks form contained in the Conditional Offer Package. Review the Reference Reports received. (O&M)

(4) Ensure that applicant has been scheduled for a physical exam and drug test and confirm receipt of the report provided by the examining physician under applicable USCG regulations. (M)

.2 The Personnel Manager must verify the applicant’s unexpired U.S. Coast Guard Merchant Mariner Credentials, Documents, Certificates and Endorsements. This can be done by telephone or at the Coast Guard website shown below. When completed, check off the item on the New Hire Checklist.

(1) https://homeport.uscg.mil/missions/merchant-mariners/merchant-mariner-credential-verification

.3 If the results of the background check(s) are favorable and all credentials are verified as valid, the Personnel Manager informs the applicant and schedules a time for the applicant to come to the office to undergo some initial training and to complete various HR and Payroll forms.

.4 Completed forms; copies of verified credentials, driver licenses, TWICs; and reports from background checks, physicians’ exams and drug tests must be placed in the prospective employee’s Personnel File.

Exception: The form “Previous Employer Contact Consent” contained in the Conditional Offer Package must be filed apart from the Personnel File due to privacy considerations.

.5 If the results of the background check(s) are not favorable, the Personnel Manager reviews the findings with the divisional Vice President/General Manager. The divisional Vice President/General Manager decides whether there are sufficient grounds to deny employment and, if so, initiates the adverse action process: (1) Background check vendor is notified of adverse action process. The applicant

will be provided with a copy of the report and a notice summarizing the individual’s rights under the FCRA. The applicant will be given information about vendor with detailed instructions on how to request a reinvestigation as he/she is legally entitled under the FCRA.

(2) The applicant can request a reinvestigation within five (5) business day following the date of the notification from vendor. If that occurs, vendor will notify the Company immediately and the Company will place the applicant’s file on hold until vendor has completed its reinvestigation. The vendor will send a written report to the Company and the applicant of the results of the reinvestigation within no more than thirty (30) days from receiving notice of the applicant’s request or reinvestigation.

(3) If the applicant does not respond to the above notification (i.e. requesting a reinvestigation) within five (5) business days following the date of the notice,


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the Company will initiate an adverse action letter in addition to another copy of the applicant’s report as well as the summary of his/her rights under the FCRA.

(4) If a reinvestigation has been requested, vendor will send the report to the Company. The Company will examine the reinvestigation report. If the Background Check has led to a disqualified decision, vendor will be notified. The Company or the vendor will notify the candidate with a final Adverse Action Letter.

.6 New Hire Checklist (MCA-300) action: Check off the completed items in the Confirm Job Offer box.

.7 Applicant Flow Log (MCA-340) action: No entries required unless the Conditional Job Offer is rejected by the applicant subsequent to prior acceptance or is withdrawn by the company because of information obtained while confirming the offer. In such cases, select “Offer” in the Stage column and the Disposition which describes the circumstance. Comments will be necessary since the explanations under Disposition do not provide specific reasons for the action taken.

.8 Associated Documents: Same as in Step 4 – Conditional Job Offer (paragraph 8.9)

8.11 Step 6 - Orientation and Training. .1 The Personnel Manager is responsible for ensuring that every New Hire

employee receives the required basic orientation and completes the safety, security and environmental protection training for the position in which the New Hire employee is to serve. All must be completed and verified before the New Hire assumes his/her duties.

.2 Orientation. The Personnel Manager or other company official shall: (1) Provide to and review with each New Hire:

• The Job Description for his/her position. (O&M) • The Employee Handbook for Office and Shoreside Personnel (MCA-371).

(O) • The Tugboat Employees Employment Guide. (M) • A copy of McAllister Polices (O&M) (QS-99-999-005) • A copy of the Notice of Coverage under the Affordable Care Act (ACA).

(O&M) (2) Present and discuss with each New Hire:

• The history of McAllister Towing. (O&M) • The company structure. (O&M) • The McAllister organization chart. (O&M) • An Introduction to the Quality and Safety Management System (QSMS).

(O&M) • An overview of QSMS manuals, publications and forms. (O&M) • The McAllister video, “Welcome Aboard”. (O&M)


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(3) Have the New Hire acknowledge the above by completing and signing the form, “New Hire Familiarization Checklist (MCA-001).”

.3 Vessel Safety Orientation(M) -Tug Captains conduct this onboard, vessel specific orientation and verify its conduct using the form, “Vessel Safety Orientation Checklist (MCA-701)”. The Personnel Manager shall ensure that a copy of this signed form is included in the Personnel File of each New Hire marine employee.

.4 Vessel Familiarization Training (M) – The Personnel Manager shall obtain a copy of the completed and signed checklist used to verify this training for inclusion in the Personnel File of the new employee. The checklists and persons responsible are as follows: (1) Vessel Familiarization Checklist – Deckhands & AB’s (MCA-703) –

Conducted and verified by the tug Captain or his designee.

(2) Vessel Familiarization Checklist – Engineer (MCA-707) – Conducted and verified by the Engineer’s Supervisor or his designee.

(3) Vessel Familiarization Checklist – Captains/Mates (MCA-705) – Conducted and verified by the Captain’s or Mate’s supervisor or their designee.

.5 Vessel Security. The Personnel Manager shall ensure that the new employee views one or both DVDs in the Vessel Security Training Guide:

- “Vessel & Company Security Officer Training Suite.” (O&M) – For all Marine Personnel and Office / Shoreside Personnel with vessel security duties.

The Personnel Manager shall then obtain a copy of the completed and signed Security Qualification Checklist applicable to the new employee. Note: Completed checklists are Sensitive Security Information and must be filed with other vessel security related materials in the branch port office, not in Personnel Files. The forms, their applicability and signing authority are as follows:

(1) Security Qualification Checklist – General Manager [CSO] (MCA-387) – Self-verified by General Manager; checked during internal audits.

(2) Security Qualification Checklist – VSO (MCA-388) – For tug Captains and Mates; signed by the General Manager.

(3) Security Qualification Checklist- Crew (MCA-389) – For tug engineers and deckhands; signed by the General Manager.

(4) Security Qualification Checklist – Port Compliance Coordinator (MCA-390) – For the Port Compliance Coordinator; signed by the General Manager

(5) Security Qualification Checklist – Dispatcher (MCA-391) - For new Dispatchers; signed by the General Manager

(6) Security Qualification Checklist – Security Awareness (MCA-392) - For Office and Shoreside Personnel with no specific vessel security duties; signed by the General Manager


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.6 Environmental Protection Training. (M) Every vessel crewmember is required to have training about the U.S. EPA Vessel General Permit (VGP), the completion of which is verified by an entry in the vessel’s VGP Training Record (MCA-215). The Personnel Manager shall obtain, and place in the Personnel File of the new employee a copy of this form which includes an entry for completion of his/her required training.

.7 New Hire Checklist (MCA-300) action: Check off the completed items in the Orientation/Training box.

.8 Applicant Flow Log (MCA-340) action: None.

.9 Associated Documents: (1) New Hire Familiarization Checklist (MCA-001) Each new employee is required to

receive an initial orientation covering McAllister’s history and organizational structure, as well as its policies regarding quality, safety, health, security, environmental protection, human resources, sustainable development, ethics, harassment, drugs, alcohol and weapons. This is accomplished through different means, including, but not necessarily limited to presentation of the standard “Welcome Aboard” video, provision of an Employee Manual and a guided overview of relevant procedures within these manuals. The subject form serves to verify that his required orientation was accomplished. (O&M)

(2) Vessel Safety Orientation Checklist (MCA-701) USCG regulations and the International Safety Management Code require newly assigned crewmembers to receive a safety orientation before assuming any duties. The orientation is conducted by the Captain or his/her designated representative and covers onboard safety systems and arrangements, hazards and special work practices, occupational health measures and emergency response. The Captain completes and signs this checklist to verify the mariner’s successful completion of the training. A copy of the form is placed in the Personnel File of the new employee. (M)

(3) Vessel Familiarization Checklists. USCG regulations and the International Safety Management Code require newly assigned crewmembers to receive training to familiarize them with the duties and responsibilities of their positions. There are three categories of training that apply to different onboard mariner position. The training for each category covers firefighting and lifesaving equipment, emergency response and required operational skills and knowledge associated with a position aboard a particular vessel. It is conducted by individuals well-versed on these topics and experienced on the vessel. Three different checklists are used to track the progress and completion of the required familiarization training. A copy of the appropriate completed checklist becomes a part of the Personnel File. The three familiarization checklists are listed below, along with their respective applicability and signoff authority. (M) Vessel Familiarization Checklist – Deckhands & AB’s (MCA-703)

o Applicable to unlicensed members of the Deck Department; conducted by the tug Captain or his designee and signed off by the Captain.

Vessel Familiarization Checklist – Engineer (MCA-707) o Applicable to tug Engineers; conducted and signed off by the Engineer’s

Supervisor (e.g., Port Engineer, General Manager).

Vessel Familiarization Checklist – Captains/Mates (MCA-705) o Applicable to tug Captains and Mates; conducted and signed off by the

respective Supervisors for each (e.g., another Captain, Port Captain, Operations Manager, etc.).


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(4) Security Qualification Checklists. The USCG Vessel Security Regulations written under the authority of the Maritime Transportation Security Act (2002) establish requirements for Vessel Security Plans and the personnel responsible for executing them. These personnel must have security knowledge and experience commensurate with the security position to which they are assigned. This must be verified before the individual can begin work. The Security Qualification Checklists serve this purpose. Each is listed below, along notations of its applicability and sign off authority.

Security Qualification Checklist – General Manager [CSO] (MCA-387) o Applicable to General Managers to whom the Company Security Officer has

delegated authority for locally focused security functions; completion is self-verified by General Manager and checked during internal audits. (O)

Security Qualification Checklist – VSO (MCA-388) o Applicable to tug Captains and Mates; completion is verified by the General

Manager. (M) Security Qualification Checklist- Crew (MCA-389)

o Applicable to tug Engineers and Deckhands; completion is verified by the General Manager. (M)

Security Qualification Checklist – Port Compliance Coordinator (MCA-390) o Applicable to branch port individuals designated to serve as the Port Compliance

Coordinator; completion is verified by the General Manager. (O) Security Qualification Checklist – Dispatcher (MCA-391)

o Applicable to shoreside personnel assigned as Dispatchers; completion is verified by the General Manager. (O)

Security Qualification Checklist – Security Awareness (MCA-392) o Applicable to office and shoreside personnel who have no specific assigned

security duties; completion is verified by the General Manager. (O)

(5) VGP Training Record (MCA-215). As commercial vessels, McAllister tugs are required to operate under the U.S EPA’s Vessel General Permit (VGP). Among the many provisions of the VGP are requirements for vessel crewmembers to have training about the program and their responsibilities under it. This form is essentially an ongoing logbook in which crewmember VGP training is recorded and verified by the vessel’s Captain. (M)

8.12 Step 7 - HR and Payroll Documents .1 The documents below apply to both Marine and to Office and Shoreside

personnel. The Personnel Manager must ensure that each document is completed and a copy included in the New Hire’s Personnel File, with the exception of Form I-9, which must be filed separately. The documents are to be filled in by the New Hire and/or the Personnel Manager as indicated by the notation adjacent to the listing. (1) Employee Inventory (MCA-305)

• To be completed by the new employee at the time of hire.

(2) Employee Eligibility Verification (I-9) • Section 1 to be completed by the new employee no later than the first day of

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• Section 2 to be completed by the Personnel Manager or other McAllister official within three days of the hire.

• Section 3 is completed by a McAllister official when it becomes necessary to update or re-verify the employee's work authorization document(s).

(3) Direct Deposit Form (MCA-308) • To be completed by the New Hire at the time of hiring

(4) Federal Income Tax Withholding Authorization (W-4) • To be completed by the New Hire at the time of hiring

(5) State Income Tax Withholding Authorization • Limited to residents of the states of Maine, Maryland, New York; North

Carolina or Virginia • To be completed by the New Hire at the time of hiring

(6) E-Verify Results • To be completed by the Personnel Manager upon receipt of the employee’s

I-9 form (with Section 1 completed)

(7) Hiring Report (MCA-309) • To be completed by the Personnel Manager when all items on the New Hire

Checklist (MCA-300) have been checked off

.2 Update all employee records. Keep copies of the hiring package in local personnel files.

.3 New Hire Checklist (MCA-300) action: Check off appropriate items in the Complete HR & Payroll Requirements box.

.4 Applicant Flow Log (MCA-340) action: Complete the New Hire’s entries by selecting “Hired” in the Stage and the only option in the Disposition column, “Candidate accepted offer and was hired.”

.5 Associated Documents: (1) Employment Eligibility Verification Form (I-9). This form must be completed by the

prospective employee and by a McAllister official. It is intended to preclude the employment of illegal aliens. The employee must attest that he or she is authorized to work and is not an illegal alien and McAllister must attest that it has reviewed the documentation supplied by the employee and that the documents appear genuine. Both the employee and McAllister are subject to charges of perjury under federal for any falsifications or misrepresentations made on this form. Form I-9 is a three-part document. The law requires that the employee complete Section 1 at the time of hire or when the employee begins work. The employer must complete Section 2 within three business days of hire and certify that the employee's documents of identity and work authorization appear to be genuine and belong to the employee. Section 3 is completed by the employer when it is necessary to update or re-verify an employee's work authorization document(s) A complete instruction booklet for Form I-9 is available in the HR Department for further guidance. Spanish versions of both Form I-9 and this booklet are also available from government sources; however, these are for translation purposes only. All prospective employees must complete the English version of Form I-9, except for those to be employed in Puerto Rico.


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NOTE: Original completed Form I-9 are to be sent to Corporate HR with the hiring package. Completed copies of the form must be filed apart from the employees’ Personnel Files within the office. (O&M)

(2) E-Verify Results. E-Verify is a federally sponsored, free, Internet-based program that helps employers to fulfill their responsibilities with respect to Form I-9. Information from Form I-9 is compared to U.S. government records. If there are no mismatches the prospective employee is eligible to work in this country. Conversely, if the employer is alerted to any mismatches, they must be resolved within eight days. The employee may work in the interim, but must be terminated if no resolution can be reached. As a federal contractor, McAllister is required to verify employment eligibility for every employee regardless of employment status or position. (O&M)

(3) Federal Income Tax Withholding Authorization (Form W-4). This form must be completed by all new hires. Since this form is updated annually, the HR Department will provide revised forms to personnel specialists throughout the company. Employees must complete a new form when personal or financial information changes. Employees who claim extra exemptions must complete lines 1, 2, 3, 4, and 7 before signing and submitting the form. Since all exemptions expire each February, employees who are eligible to continue claiming them must complete an updated W-4 for the New Year. (O&M)

(4) Individual State Tax Forms. Each state operates differently when it comes to income tax withholding. Many states require reports of new hires and the filing of a State Tax Form. Unless listed below, no state withholding forms are required to be completed in the Hiring Process. (O&M): • Maine – Maine Employee’s Withholding Allowance Certificate (Form W-4ME)

• Maryland – Employee’s Maryland Withholding Exemption Certificate (Form MW 507)

• New York – Employee Withholding Allowance Certificate (Form IT-2104). NOTE: This form is updated annually.

• North Carolina – Employee’s Withholding Allowance Certificate – North Carolina Dept. of Revenue (Form NC-4)

• Virginia – Commonwealth of Virginia Dept. of Taxation Personal Exemption Worksheet (Form VA-4)

(5) Notice of Coverage under the Affordable Care Act (ACA). Statutory requirement to provide notice to all new employees within fourteen (14) days of new hire start date.

8.13 Rehiring. The Hiring Process above applies to all individuals joining McAllister, including past employees being rehired, regardless of the length of time away from the company. The same application, screening and forms completion requirements apply unless specifically waived, in writing by the Human Resources Director. Change in Employment Status. An employee’s status is affected by promotion, merit increases, transfers within a division, adjustments to compensation and changes in employment classification. Such actions must be properly documented in the employee’s personnel record using the form Position and Compensation Change Report (MC-333). This form is completed by the Marine Personnel Manager (or equivalent), signed by the employee’s immediate supervisor and approved by the General Manager or an officer of the company.


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.1 When preparing or approving the Position and Compensation Change Report (MCA-333), pay particular attention to the following: (1) If the change in employment status includes a promotion, demotion or merit

increase, complete and submit a Performance Evaluation with the Report and be sure to summarize it in the “Performance” section of the Report.

(2) Verify the employee’s eligibility and status with respect to the 401K plan and benefits programs and indicate this in the ‘Employment Status Action” section of the Position and Compensation Change Report (MCA-333).

.2 If the change in employment status involves the employee’s transfer to another division, follow the procedures outlined in section 9.2 of this chapter.

8.14 Conclusion. Personnel Managers, General Managers and others involved with hiring should never hesitate to contact the HR Department for clarification or assistance with any aspect of the Hiring Process.

9. Internal Opportunities.

9.1 McAllister encourages employees to apply for internal vacancies. Before any offer is made or any transfer can occur, the new supervisor must discuss the prospective move with the existing supervisor. A notification must be forwarded to the HR Department and Payroll Department in connection with any such transfer that is expected to last more than 30 days. The personnel file of the individual must be transferred to the employee’s new office, and its contents reviewed as with a new employee.

10. Development and Advancement

10.1 McAllister encourages employees to strive to attain higher levels of employment, but it must also be recognized that much is left to the individual to achieve successes.

10.2 There are no set career paths for the upward mobility of Office and Shoreside Personnel. The individual must do several things to prepare for and realize advancement opportunities, including but not limited to: .1 Identifying personal areas of interest; .2 Becoming aware of the requirements associated with positions at higher

levels of employment; .3 Acquiring the knowledge and skills commonly required in higher positions; .4 Achieving the best possible Performance Evaluations in one’s current

position, with emphasis on those competencies and attributes that are transferrable to higher positions (e.g., interpersonal skills, communications, quality of work, adaptability, and willingness to take on responsibility); and,

.5 Staying abreast of trends and monitoring job advertisements to take advantage of emerging opportunities.


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.6 This section establishes some guideline to help personnel prepare for advancement.

10.3 The career paths for Marine Personnel are better defined, but by no means any more certain. To progress to a higher level of employment, the mariner must demonstrate that he/she has the knowledge and skills required for the desired position. When this has been done to the satisfaction of vessel management, the employee can be recommended for evaluation by the Port Captain or General Manager to assess the individual’s readiness for advancement.

10.4 The remainder of this section outlines the competencies of marine personnel positions in the context of what is needed for advancement.

10.5 Deckhand and AB Competencies

In order to seek advancement in the Deck Department, Deckhands and AB’s must develop and then be able to demonstrate and document the following competencies:

.1 Good work ethic and positive attitude

.2 Familiarity with and understanding of: • McAllister company policies • The Quality and Safety Management System • The chain of command and watch system aboard towing vessels • Company safety procedures and practices

.3 Understanding the importance of: • Daily wake-up and personal preparation • Proper dress for day/night, foul weather, etc. • Proper personal protective equipment for various job functions where required • Good personal hygiene and grooming • Proper stowage of personal gear and laundry.

.4 Ability to identify and explain the advantages and disadvantages of:

• Nylon line • Polypropylene line • Dacron line

• Poly-Dac line • Spectra line.

.5 Knowledge of the correct use for, and demonstrated ability to tie the following:

• Bowline • Square knot • Round turn and two half-hitches

• Clove hitch • Short splice • Eye splice.

.6 Demonstrated ability to:

• Catch a line • Identify different types of oils used in

the engine room


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• Throw a line • Lay a breast lead • Lay a backing lead • Lay a towing lead • Handle a line under strain • Make bumpers • Make up a line by both faking and

coiling • Open a new coil of line • Serve the end of a line with a

permanent whipping • Use a Capstan safely and effectively • Operate and maintain portable pump • Identify different areas of the engine

room

• Demonstrate correct start-up and shut-down procedures for main engines, generators, fire pumps and generator engines

• Identify all valves and hoses in the engine room and the uses of each

• Demonstrate a knowledge of winch maintenance

• Demonstrate the proper knowledge and use of wire clamps, cables, and slings

• Sooge boat • Safely use a grinder and needle gun • Identify different types of paints and

their uses • Prepare a surface for painting • Paint a surface.

.7 Knowledge of how to make a line fast to:

• Timberheads • H-bits

• Caval • Sampson post.

.8 Ability to identify and use:

• Portable CO2 fire extinguishers • Portable dry chemical fire extinguishers • Fixed fire extinguishing system (if installed)

• Fire pump • Fire hose • Life ring buoys.

.9 Knowledge of which extinguishing agent to use on A, B, and C class fires.

.10 Knowledge of deckhand duties and responsibilities in the event of:

• Fire aboard the vessel • Man overboard • Abandon ship • Collision with another vessel or structure

• Grounding of the vessel or tow • Tow break up or, • Oil spill.

.11 Demonstrated knowledge of all methods of communication including: • Hand signals • Portable VHF radio • Emergency general alarm or whistle for man overboard, fire or abandon ship

.12 Ability to identify the following barge and towing vessel parts and areas:

• Wheelhouse/pilothouse • Crew quarters • Engine room • Galley • Bow • Stern

• Rake and stern voids • Headlog • Rake knuckles • Bilge knuckles • Wing tanks • Cargo tanks • Ullage hatch


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• Starboard/Port • Life lines/rails • Rake

• Drip pans • Cargo headers • Spill rails.

.13 Successful completion of the following training programs: • Confined space entry • Emergency response

• First aid and CPR • Hazard communications

.14 Good performance evaluations.;

10.6 Mate

To be considered for a position as Mate, an individual must: .1 Have documented all of the competencies required of a Deckhand or AB in

preparation for advancement; .2 Hold the appropriate U.S. Coast Guard license; .3 Have proven knowledge of McAllister Towing policies and procedures; and, .4 Successfully complete training in First Aid, CPR and Firefighting.

10.7 Captain

To be considered for the position of Captain, an individual must: .1 Be a Mate or have documented all of the competencies required of a Mate: .2 Hold the appropriate U.S. Coast Guard license; .3 Have at least three years of relevant experience; .4 Have demonstrated knowledge of boat electrical and mechanical system

maintenance; .5 Have superior piloting, navigation and boat handling skills; .6 Be able to document or demonstrate superior knowledge of all McAllister

Towing policies and procedures; .7 Have current and successfully completed training in First Aid, CPR and

Firefighting; and, .8 Have the approval of a branch port’s senior management (e.g., General

Manager, Port Captain).

10.8 Assistant Engineer and Utility Deckhand

To be considered for a position as Engineer, an individual must have the minimum professional credentials, knowledge and skills as listed in the following.

.1 Demonstrated knowledge of and proficiency in operating and maintaining shipboard equipment and systems, including: (1) Ship structures;


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(2) Main engines and appurtenances (e.g., turbochargers, fuel pumps, governors, etc.);

(3) Steering gear;

(4) Pumps and piping;

(5) Generators and electrical distribution; and,

(6) Hotel services equipment (e.g., heaters, AC, sewage treatment, etc.).

.2 Knowledge of industrial hygiene;

.3 Experience in fuel consumption management;

.4 Proficiency in arc-welding, brazing and soldering; and,

.5 The recommendation of a Chief Engineer or Port Engineer.

10.9 Engineer. To be considered for a position as Engineer, an individual must have:

.1 Documented all the competencies required of an Assistant Engineer;

.2 Demonstrated the ability to successfully direct and train others; and,

.3 Extensive experience with main engine and other machinery overhauls and major vessel repairs and modifications.

11. Performance Evaluations

11.1 Introduction. .1 The Company conducts formal performance evaluations annually to provide

supervisors and employees the opportunity to discuss job tasks, identify and correct development areas, encourage and recognize strengths, and to discuss best practices for meeting goals.

.2 Each supervisor should get input relevant to the performance evaluation from all departments that interact with the individual(s). Guidelines for compensation review are set by the HR Department.

.3 Performance Evaluations should reflect the sharing of feedback with employees. The forms should reflect discussion of any areas for improvement, constructive criticism, or warnings, if warranted. Performance Evaluations are counterproductive if they avoid frank discussion of performance issues or disciplinary matters.

.4 Performance Evaluations are a shared responsibility. Through this chapter and the associated forms listed, the HR Department establishes the relevant policies and procedures for evaluations. General Managers are responsible for their implementation at the branch ports.

11.2 Discretionary Performance Evaluations. .1 Performance Evaluations are discretionary at different intervals:

(1) 60 days from the date of hire for new Marine personnel; and


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(2) 90 days from the date of hire for Shore-side and Office personnel.

11.3 Required Performance Evaluations. .1 Performance Evaluations are required annually for all employees.

.2 Evaluations are also required in various circumstances: (1) In conjunction with any

Compensation Review;

(2) Upon promotion or demotion; and,

(3) At any time deemed necessary to address and correct performance deficiencies.

.3 A Performance Evaluation must be completed before changes in compensation, promotion or demotion can be authorized.

11.4 Rating Chain. .1 Each Performance Evaluation

includes sections to be completed by the employee, the supervisor and the General Manager. Employees and their respective supervisors are shown in the table on the next page.

.2 When rating an employee, the supervisor shall consult with other supervisory personnel with whom the employee worked during the evaluation period.

EMPLOYEE SUPERVISOR

Captain Port Captain, Operations Manager or equivalent

Mate Captain

Engineer Captain

Deckhand Captain

General Manager President

Shore-side Management Personnel General Manager

Shore-side Non-Management Personnel Shore-side Management

12. Drugs and Alcohol – General

ASSOCIATED FORMS Performance Evaluation – Captain ( MCA-352) Performance Evaluation – Mate ( MCA-354) Performance Evaluation – Deckhand ( MCA-

358) Performance Evaluation – Engineer (MCA-

362) Performance Evaluation – General Manager

(MCA-320) Performance Evaluation – Office Management

(MCA-322) Performance Evaluation – Office Non-

Management ( MCA-323)


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12.1 This subject is addressed in the “Employee Handbook for Office and Shoreside Personnel” (Ref. Section 7.5). This chapter of the Operations Manual addresses the same subject, but also expands upon it where regulatory and customer expectations impose requirements for Marine Personnel in excess of those applicable to Office and Shoreside Personnel. Where clarifications of applicability are needed, text is accompanied by the notations: (O) meaning applicable to Office and Shoreside Personnel; (M) meaning applicable to Marine Personnel.

12.2 McAllister Towing (McAllister) is committed to maintaining a substance-abuse free workplace, whether aboard vessels or at shoreside offices and facilities. Substance abuse is not only contrary to this commitment, but it represents the introduction of avoidable risks that jeopardize the safety of individuals and property within our own company, and which may also adversely affect our customers’ personnel and property. Regardless of the extent, these risks are completely unacceptable.

12.3 Policies. The following policies support McAllister’s commitment to maintaining a substance-abuse free workplace. .1 Illicit Drugs, Drug Equipment and Drug Paraphernalia – Use,

possession, sale, manufacture, distribution, concealment or transport on Company or customers’ premises is strictly prohibited. (O&M)

.2 Intoxication – No employee shall report for duty in an intoxicated condition, become intoxicated while on duty, or have in his/her possession any intoxicants for personal use or for the distribution to, and/or consumption by others. (O&M)

.3 Medications – The use of prescription and non-prescription (over-the-counter) drugs by employees performing High Risk Jobs must be approved by a Designated Health Care Practitioner (DHCP) in accordance with the procedure outlined in Section 13 of this chapter. Other office and shore-side employees are responsible for ascertaining whether prescribed and non-prescribed medications may interfere with safe job performance and avoiding use or modifying their activities accordingly. (O&M)

.4 Drug and Alcohol Testing – Marine personnel subject to drug and alcohol testing in accordance with the federally mandated requirements set forth in 46 CFR Parts 4, 5 and 16, 33 CFR Part 95 and 49 CFR Part 40 must execute an Acknowledgement and Consent Form (MCA-395) and submit to testing within specified time frames whenever such testing may be required. The substitution or alteration of any urine, blood or other sample used for testing is strictly prohibited. (M)

.5 Policy or Procedure Violation – McAllister drug and alcohol policies and procedures embody the principle of “Zero Tolerance,” meaning that no amount of prohibited substances will be tolerated. Failure to comply is grounds for immediate termination. (O&M)


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12.4 Definitions – The federal regulations that apply to drug and alcohol testing include numerous definitions. The ones frequently associated with the procedures in this manual are listed below. .1 Company – The Human Resources Department or General Manager. .2 Designated Employer Representative (DER) – An employee authorized by

the Company to: (1) Take immediate action(s) to remove, or cause to be removed, employees from

safety-sensitive duties;

(2) Make decisions required by testing and evaluation processes; and,

(3) Receive test results and other communications on behalf of the employer, consistent with the requirements of applicable federal regulations.

.3 Designated Health Care Practitioner (DHCP) – A health care provider (e.g., physician, physician assistant, registered nurse, etc.) contracted by the Company, pursuant to Section 12.6 of this chapter, to review Medication Review Forms and issue determinations in response thereto.

.4 High Risk Employee – An employee in a position requiring the performance of a High Risk Job, including, but not limited to vessel crewmembers holding USCG Merchant Mariner Credentials (MMC) and any shore-side personnel with such credentials who may be assigned to vessels from time to time.

.5 High Risk Job – High Risk Jobs are those with a high exposure to catastrophic operational incidents and have a direct role in operations where errors could result in serious harm to the public, the employee’s well-being, Company assets, or the environment. This includes jobs with no direct or very limited supervision available to provide operational checks and other jobs that are typically identified as safety sensitive.

.6 General Risk Job – General Risk Jobs are those with low exposure to catastrophic incidents and indirect roles in operations such that errors are limited in their capacity to result in serious harm to the public or employee well-being, Company assets or the environment; or have a direct operational role, but the manner in which they are performed limits the likelihood of catastrophic consequences arising from errors (e.g., under continual supervision). This category includes shore-side personnel not holding a USCG MMC.

.7 Legal drugs or Medications – Those prescribed and non-prescribed (“over-the-counter”) drugs and medications which: (1) Are legally obtainable;

(2) Have been legally obtained by the employee;

(3) Are being used by the employee for the purposes for which they were prescribed or manufactured;

(4) Are in the employee’s possession in quantities not exceeding amounts needed for personal use in accordance with instructions of the prescribing physician or manufacturer; AND,


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(5) Have been approved for the employee’s use by the DHCP contracted by the Company.

.8 Medical Review Officer (MRO) – A licensed physician responsible for receiving and reviewing laboratory results generated by the Company’s drug testing program and evaluating medical explanations for certain drug test results.

.9 Personnel – Any Company employee, agent, or Subcontractors’ employee(s) employed or engaged for the Company and/or for any of its clients.

.10 Prohibited Substances – For purposes of this Policy, “prohibited substance(s)” means any illegal or unlawfully obtained drugs or controlled substances; “designer” or synthetic drugs, including but not limited to synthetic cannabinoids (e.g., “K2,” “Spice” or “Herbal Incense”) and/or synthetic cathinones (e.g., “Bath Salts,” “Vanilla Sky,” or “Ivory Wave”); “over the counter” or prescribed medications not being used for purposes or in the manner intended; mood or mind-alerting substances; and alcoholic or intoxicating beverages.

.11 Reasonable Suspicion – A reasonable and articulable belief that an employee has used a prohibited substance based on direct observation of specific, contemporaneous physical, behavioral, or performance indicators of probable use. Where practicable, this belief will be based on observations of the individual by two persons in supervisory positions.

.12 Refusal to Test – Refusal to submit to a drug and/or alcohol test required by this Policy; refusal to provide a written consent and authorization for the release of test result if required; failure to cooperate during the testing procedure, including the alteration or substitution of a specimen; or engaging in any other conduct, which constitutes a “refusal to test” as defined in 49 CFR § 40.191.

.13 Safety Sensitive Position – Any position that requires the person filling that position to perform one or more safety sensitive duties on a routine or emergency basis. All vessel crewmembers hold safety sensitive positions.

.14 SAMHSA – The Substance Abuse & Mental Health Services Administration, an agency of the U.S. Department of Health and Human Services.

.15 Substance Abuse Professional (SAP) – A person who evaluates employees who have violated a DOT drug and/or alcohol regulation and who makes recommendations concerning education, treatment, follow-up testing, and aftercare.

.16 Under the Influence – The presence of a prohibited substance, or metabolites of a prohibited substance in body fluids above the cut-off level established by this policy and/or applicable federal regulation, and/or detectable behavior or actions indicative of diminished capacity. Symptoms of the latter include but are not necessarily limited to slurred speech or difficulty in maintaining balance.


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13. Drug Disclosure, Clearance and Conditions for Use (M)

13.1 Prescription and non-prescription (over-the-counter) drugs and medications often have side effects that have the potential to interfere with the safe and effective performance of duties and/or the operation of equipment (e.g., impaired or altered alertness, sensory perception, reflexes, mobility, equilibrium, cognitive function, etc.). The following procedures are set forth to foresee, assess and manage this risk.

13.2 Disclosure. .1 An employee taking or in possession of prescription or over-the-counter drug

or medication that may affect their ability to perform essential functions of their job is responsible for obtaining a notice of clearance prior to reporting to a vessel or other place of work.

.2 This clearance is obtained by the employee completing and submitting a “Medical Review Form” to the DHCP contracted by the Company. The form is available from the HR Department. Submittal is made directly by the employee to the DHCP.

13.3 Clearance. .1 Upon receipt, the Company’s DHCP will review the Medication Review Form

to determine whether the employee’s use of the listed prescription and/or over-the-counter drugs and medications: (1) Produces effects which may increase the risk of accidents, incidents or

personal injury to the employee or other persons; or,

(2) Is for the treatment of a condition that disqualifies the employee under USCG Regulations from performing his/her job duties.

.2 When there is the possibility that a disqualifying condition is being treated, the employee may be contacted by the DHCP to provide additional information or clarification. It is the employee’s responsibility to respond promptly to any such request. All communications involved are between the employee and the DHCP.

.3 The DHCP will issue a written notice to the Company when the evaluation of all drugs and medications is completed. This notice will include one of the following statements: (1) “Medical Review – Cleared”, issued when it has been determined that none

of the prescription or over-the-counter drugs or medications listed on the Medication Review Form is for the treatment of a disqualifying condition as defined by the USCG and produces no effects that may increase the risk of accidents, incidents or personal injury to the employee or others.

(2) “Medical Review – Not Cleared, issued when it has been determined that one or more of the prescription or over-the-counter drugs or medications listed on the Medication Review Form is for the treatment of a disqualifying condition as defined by the USCG or produces effects that may increase the risk of accidents, incidents or personal injury to the employee or others.


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.4 The Company will inform the employee of his/her status upon receipt the written notice from the DHCP. Any employee not advised of his/her status within 10 days of submitting the required Medical Review Form shall contact the HR Department.

.5 The Company reserves the right to restrict the work activity of any employee until such time as the DHCP clears the employee to safely perform the employee’s job duties.

.6 Copies of an employee’s Medication Review Form and any additional information requested by the DHCP to assess whether the employee is cleared to work will be reviewed and kept only by the DHCP. Any written determination/correspondence from the DHCP in response thereto will be kept in the employee’s confidential medical file in the HR Department. The DHCP shall not provide copies of medical records obtained in the medication review process to the Company unless required by lawful subpoena or other legal process, and only with the express written permission of the employee accompanied by an executed HIPAA release.

13.4 Conditions for Use. .1 Quantity – Employees should only be in possession of medication

necessary for a normal work rotation. .2 Container – All prescription medication MUST be secured in its original

container or in a tamper proof vial provided by the pharmacist commonly referred to as a “day carrier.”

.3 Label – Regardless the container type, it MUST have a label indicating the employee’s name, the prescribing doctor, a prescription number and the date the prescription was filled.

.4 Control – The employee who has received a medical clearance for the use of prescription and/or non-prescription (over-the-counter) medications shall either maintain such medications in his/her possession or store them so as to control their accessibility and must never knowingly permit their use by any other person.

.5 Consumption – The employee shall strictly follow the instructions included with over-the-counter medications or directed by the prescribing doctor in the case of prescription medications (i.e., dosage, frequency, time, circumstances, etc.).

.6 Validity – Medical clearances remain in effect until such time as there are any changes to the prescription or non-prescription (over-the-counter) medications listed on the Medical Review Form. Changes include the addition or elimination of any medication, alterations in dosages or adjustments in the frequency or circumstances for use. Change does not include the substitution of generic for proprietary (brand name) prescription drugs. The employee is responsible for immediately informing the Company of any changes and for submitting a revised Medical Review Form to initiate the clearance process described in paragraph 13.3 above. The Company


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reserves the right to temporarily re-assign High Risk Employees to a General Risk Job pending receipt of a written notice of findings from the DHCP.

13.5 Violations. .1 Any employee who fails to adhere to the policies and procedures set forth in

Sections 12 and 13 of this Chapter will be subject to disciplinary action up to and including termination of employment.

.2 A High Risk Employee failing to adhere to these same policies and procedures will be immediately removed from his/her position and, at the Company’s discretion, may or may not be reassigned General Risk duties pending determination of the disciplinary action to be taken.

14. Drug Testing Requirements

14.1 General. (O&M) .1 Drug and alcohol testing is required in various circumstances for different

categories of employees, as summarized in the table below.

C I R C U M S T A N C E

JOB CATEGORY

PRE- EMPLOYMENT *RANDOM

POST- ACCIDENT

REASONABLE SUSPICION

High Risk (all vessel personnel) X X X X

General Risk

.2 By definition, Office and Shoreside Personnel are “General Risk”; Marine Personnel are “High Risk.”

14.2 Pre-Employment Testing and Checks. .1 Following a conditional offer of employment as set forth in Section 8.9 of this

Policy, all applicants for employment must take a drug and alcohol test conducted by a laboratory certified by SAMHSA and receive a negative test result prior to any offer of employment being made. A prospective crewmember that submits a urine sample will not be employed or engaged onboard a Company vessel until negative test results are confirmed. (M)

.2 A pre-employment drug test may be waived if (a) the prospective crewmember has passed a DOT drug test within the previous six (6) months and has had no positive tests within those six (6) months or (b) the prospective employee has been subject to random drug test program in accordance with USCG regulations for at least 60 of the preceding 185 days, did not have any positive test results, and did not refuse to take a required test. In either of these cases, the prospective crewmember must provide to the Company documentation that supports either of the exemptions. This documentation may come in the form of a letter from a previous marine


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employer or in the form of a drug test result that has been verified by a qualified MRO. (M)

.3 Following a conditional offer of employment and pursuant to Section 8.9.7(4) of this Policy, with respect to employees seeking to begin performing safety sensitive duties for the first time (i.e., new hires or employees transferring into safety-sensitive positions for the first time), and in accordance with 49 CFR § 40.25, McAllister, after obtaining the written consent of the employee, will request the following information from DOT-regulated employers who have employed the employee during any period during the two (2) years preceding the date of the employee's application or transfer (M): (1) Alcohol tests with a result of .04 or higher alcohol concentration;

(2) Verified positive drug tests;

(3) Refusals to be tested (including adulterated or substituted samples);

(4) Other violations of DOT agency drug and alcohol testing regulations; and

(5) With respect to any employee who violated a DOT drug and alcohol regulation, documentation of the employee's successful completion of DOT return-to-duty requirements.

.4 If the employee refuses to provide written consent to request this information, that employee will not be permitted to perform safety-sensitive functions. (M)

14.3 Random Testing. (M) .1 All employees assigned to duties on a vessel, as well as individuals who

may be but are not currently assigned to such duties, are subject to random testing.

.2 Random testing will occur through a scientifically valid method as set forth in 46 CFR § 16.230(c). This scientifically valid selection method is conducted by American Maritime Safety, Inc. ("AMS") using RandomWare, a computer software satisfying USCG regulatory requirements. Selections will be based on an annual rate consistent with 46 CFR § 16.230(e) and (f). Each marine crewmember will have an equal chance of being tested each time selections are made and a crewmember's chance of selection will continue throughout his or her employment. Alternatively, random selection may be accomplished by periodically selecting one or more vessels and testing all marine crewmembers; under this method, each vessel will remain equally subject to selection. A certificate of enrollment in the random testing program is posted in each McAllister Vessel. Additionally, when a vessel has been randomly selected and the testing is completed, an additional certificate is issued to the vessel, which is maintained in the Vessel Documentation Book.

.3 After receipt of random selection notification from AMS, the DER or his designee will confirm receipt of notification within twenty-four (24) hours. Within seven (7) days of the receipt of the notification, the DER or his designee will schedule the random chemical testing to occur within forty-five (45) days of the initial notification date.


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.4 All individually selected employees and/or crewmembers working or assigned to potentially work aboard a selected vessel will undergo a random drug and alcohol test.

.5 The random selection notification from AMS includes a link to an Extenuating Circumstances Form to be used when an individual/vessel cannot be tested due to lay-up, vacation of assigned personnel, leave, etc.

14.4 Post-Accident Testing. (M) .1 Post-Accident Testing for Office and Shoreside Personnel is discretionary

and discussed in the “Employee Handbook for Office and Shoreside Employees”. The procedures that follow below apply only to Marine Personnel.

.2 In the event of a serious marine incident or accident, the General Manager or DER shall require all persons on board the vessel to be chemically tested for evidence of dangerous drugs and alcohol, following the specimen collection and testing requirements of 46 CFR 4.06-3: (1) Specimens for drug testing – must be collected within 32 hours of when the

incident occurred; and,

(2) Alcohol testing – must be conducted within 2 hours of the incident occurrence.

.3 If safety concerns preclude specimen collection and/or alcohol testing within the time periods specified, drug testing specimens must be collected as soon as conditions permit and alcohol testing must be accomplished within eight hours of the incident. The inability to meet either requirement must be documented and explained on the form CG-2692B that must be submitted to the USCG.

.4 Any refusal to take these tests will result in termination of employment and notification to the appropriate authorities including the USCG.

.5 If an employee dies as a result of a marine accident, the proper medical authorities will be notified regarding the specimen collection requirements of 46 CFR 4.06-3 in order to obtain the necessary samples.

.6 A serious marine incident is a marine casualty or accident that results in any of the following: • One or more deaths; • An injury to a crewmember,

passenger, or other person that requires professional medical treatment beyond first aid, and, in the case of a person employed on board a vessel in commercial service, which renders the individual unfit to perform routine vessel duties;

• Damage to property in excess of $100,000;

• Actual or constructive total loss of any vessel subject to inspection under 46 USC 3301;


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• Actual or constructive total loss of any self-propelled vessel, not subject to inspection under 46 USC 3301, of 100 gross tons or more;

• A discharge of oil of 10,000 gallons or more into the navigable waters of the United States, as defined in 33 USC 1321;

• A discharge of a reportable quantity of a hazardous substance into the navigable waters of the United States;

• A release of a reportable quantity of a hazardous substance into the environment of the United States.

.7 In the event of a non-serious marine incident or accident for which the Company requires testing, the General Manager or DER shall not use a Federal CCF for the drug test but can do a non-DOT drug test.

14.5 Reasonable Suspicion/Cause Testing. .1 If a supervisor suspects that a marine employee is using a dangerous drug

or alcohol, the employee will be required to submit to a drug and/or alcohol test. (M)

.2 In cases where McAllister has reasonable cause to believe that an employee is using, has used, or has in his/her system the presence of any detectable amount of drugs or alcohol, reasonable cause testing will be conducted in accordance with 46 CFR § 16.250 for drugs and 33 CFR § 95.035 for alcohol. These criteria require testing when there is a reasonable and articulable belief that the individual has used a dangerous drug or is intoxicated. This belief will be based on direct observation of specific, contemporaneous physical, behavioral, or performance indicators of probable use. Where possible, the concurrence of two (2) supervisors and/or superiors who were direct observers of the reasonable cause incident will be sought. Reasonable cause testing may consist of drug and/or alcohol tests, as determined by the supervisor’s assessment of the incident. All such cases will be documented, along with any refusals to comply with the testing, should that occur. (M)

.3 Reasonable suspicion testing for Office and Shoreside Personnel is more discretionary and is discussed in detail in the “Employee Handbook for Office and Shoreside Personnel”.

14.6 Drug and Alcohol Testing Protocols. .1 Each General Manager must appoint a DER and provide the name of the

appointee to the Compliance Department. .2 Drug testing done pursuant to applicable USCG and DOT regulations will

test for the following substances and/or their metabolites at or above the cutoff levels set forth in 49 CFR § 40.87: (1) Amphetamines and methamphetamine (includes MDMA, MDEA MDA);

(2) Marijuana;

(3) Opiate and/or derivatives

(4) Cocaine;

(5) Phencyclidine (PCP)


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.3 Regardless of the circumstances that may prompt drug testing, collection of samples and drug tests will be conducted according to applicable USCG (46 CFR Parts 4, 5 & 16) and DOT (49 CFR Part 40) regulations. When initial screening of the specimen produces a positive result, a confirmatory test will be performed by the laboratory using gas chromatography-mass spectrometry (GC-MS).

.4 All samples that are collected under this policy will be sent to a lab certified by the U.S. Department of Health and Human Services, Substance Abuse & Mental Health Services Administration (SAMHSA).

.5 McAllister reserves the right, under 49 CFR 40.197, to have negative dilute drug tests recollected. If a negative dilute drug test result is returned, McAllister will require that the employee immediately be retested. The second test will be the official test of record. The test will not be a direct observation unless there is another basis for a direct observation. Refusal to take the retest will be treated the same as refusing to take the initial test.

.6 Except as otherwise provided for by the USCG and DOT regulations, McAllister will not release individual test results or other personal information unless approved by the HR Department. Individual test results may be released if the individual tested signs a specific authorization for the release of the results to an identified person and an individual tested under this program may receive the results of the test.

.7 Drug testing services for McAllister are provided by: American Maritime Safety, Inc. 199 Main Street, 7th Floor White Plains, New York 10606-4025 Tel: (914) 997-2916

.8 Alcohol testing shall be conducted in conjunction with any drug tests that may be required. The regulations contained in 33 CFR 95 set forth the criteria for determining when an individual is under the influence of alcohol, specifically: (1) A Blood Alcohol Concentration (BAC) of .04% or more, by body weight; or,

(2) The effect of the intoxicant consumed is apparent by observation of an individual’s manner, disposition, speech, muscular movement, general appearance or behavior.

.9 Alcohol testing may be conducted by the same medical service and/or laboratory used for chemical drug testing, or by General Managers, DERs or Captains when such services are not available within the time period set forth in the regulations. All testing methods and procedures will follow the guidelines contained in USCG Regulations 46 CFR Parts 4, 5 & 16 and 33 CFR Part 95. McAllister currently uses one if either two devices for this purpose: (1) OraSure Technologies Q.E.D. Salvia Alcohol Test (positive result being any

reading ≥ 10 mg/dl)


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(2) Alco-Sensor RBT IV handheld breath alcohol tester (positive result being any reading > 0.00)

.10 In addition to testing based on breath or saliva samples, BAC may also be determined through collection of blood samples; however, such testing may only be conducted by qualified medical personnel.

14.7 Test Results Management and Disposition. .1 If an employee’s sample tests positive for any drug under the guidelines set

forth in this policy, the result will be examined by a MRO who will contact the individual involved in order to determine if there is a legitimate medical explanation that would account for the positive result. (1) If the MRO determines that a legitimate medical explanation exists for the

positive result, the MRO will verify the test result as negative.

(2) If the test result is verified by the MRO as positive, the port General Manager or DER will be notified. • Job applicants will be denied employment. • Current employees will be terminated and relieved of all safety sensitive

duties immediately. • Job applicants and current employees receiving a positive test result will be

provided with a SAP Referral Letter.

.2 Pursuant to 46 CFR § 16.201(c), The General Manager or DER will notify the USCG in writing of all positive, adulterated, substituted or refused drug and/or alcohol test of any individual who holds a Merchant Mariner Credential (MMC) or Certificate of Registry (COR) issued by the USCG: (1) Positive test results will be reported both for present and prospective

employees; (2) This written report will be made regardless whether a prospective

employee was hired or not if the position is one where a license, COR or MMC is required;

(3) All drug and alcohol test results will be reported for all persons tested following a serious marine incident regardless of whether the tested individual holds USCG issued credentials.

14.8 Drug and Alcohol Testing Records and Documentation. .1 The General Manager shall ensure that the DER in the port maintains all

records and documents required under the regulatory standards governing a Marine Employer’s Drug and Alcohol Testing Program: (1) Positive Test Results and/or Test Refusals – Retain for at least 5 years.

(2) Negative Test Results – Retain for at least 1 year.

(3) Pre-Employment Records – Retain for at least five years as evidence that all employees passed a drug and alcohol pre-employment test or failed such a test and were denied employment as a result.

(4) Record of All Testing Performed:


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• Records related to the alcohol and drug collection process. These include, documents related to random selections, reasonable suspicion determinations, and post-accident determinations; medical evaluations for insufficient amounts of urine; and supervisor and employee education training records.

• Retain for three years after the termination of employment.

(5) McAllister Document No. MP-99-999-700, Acknowledgement and Consent Form – Retain for three years after the termination of employment.

.2 Copies of the records above must be forwarded to the Compliance Department, Compliance Administration Coordinator at least once a month or when tests have been completed, whichever is more frequent.

.3 The Compliance Administration Coordinator shall maintain a listing of all employees and job applicants that have either failed a drug or alcohol test, or have refused to submit to one as ordered.

15. Drug or Alcohol Abuse – Admission and Rehabilitation

15.1 McAllister encourages its employees to admit to drug and/or alcohol addiction to avoid injuries and accidents. As an adjunct to the Company’s Employee Assistance Program (EAP), McAllister will work with any individual who admits to having a drug or alcohol abuse problem, within the framework provided by the various applicable regulations.

15.2 Crewmembers and supervisory personnel will be provided literature that includes the effects and consequences of drug and alcohol use on personal health, safety, and work environment, and the manifestations and behavioral cues that may indicate drug and alcohol use and abuse. Supervisory personnel will receive at least one hour of training in this regard. .1 The training is provided by American Maritime Safety. It can be arranged

through direct contact or with the help of the Compliance Department. See paragraph 14.6.7 for contact details.

.2 A trainer from American Maritime Safety will come to the port, deliver the required training, and forward certificates of completion to the Compliance Department for distribution.

.3 In addition to distributing the course completion certificates, the Compliance Department makes an entry in HRIS to document each of the employee’s successful completion of this required training.

15.3 Employees that admit to an addiction to alcohol, drugs or prescription medications fall into two general categories that help to determine what action can and should be taken – those that hold USCG licenses and/or documents and those that do not.

15.4 For admitted drug or alcohol abusers that do not hold USCG issued credentials, McAllister will take the following action: .1 Remove the individual from any safety sensitive duties;


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.2 Work with the individual to identify, enroll in and complete a bona fide substance abuse rehabilitation program, including the coordination of any post-program testing and monitoring (all extra costs to be paid by the individual involved);

.3 Ensure that the employee submits to, and successfully passes all required testing, the failure to do either to result in immediate termination; and,

.4 Safeguard the privacy of the employee in all actions taken.

15.5 For admitted drug or alcohol abusers that hold a USCG issued license or document: .1 Remove the individual from any safety sensitive duties; .2 Encourage the individual to engage with the USCG to seek a Voluntary

Deposit of all agency issued professional credentials and to reach an agreement on an appropriate rehabilitation program;

.3 Upon confirmation that a Voluntary Deposit has been accepted, coordinate any required testing or monitoring through the General Manager or DER, with all associated expenses to be paid by the individual involved;

.4 Receive and act upon the recommendations of the MRO and/or Substance Abuse Professional regarding the individual’s employment reinstatement when all rehabilitation criteria have been met; and,

.5 Handle all actions with professionalism and respect for the individual.

15.6 Additional Notes. .1 The USCG will not enter into a Voluntary Deposit agreement with any

mariner who seeks such an agreement as a means to negate the results of a required drug or alcohol test, or to avoid submitting to a test that has been ordered.

16. Weapons. (O&M)

16.1 With the exception of necessary marine tools, such as folding blade knives (4” maximum blade length) and marlinspikes for marine personnel who have a business need for such tools, employees are prohibited from possessing weapons of any description while on McAllister Towing property or while performing McAllister Towing business off the property at any time (including McAllister Towing-sponsored events). Weapons include, but are not limited to, firearms, explosive materials, or any other dangerous weapon, hazardous device or substance, regardless of type.

16.2 The only exception to this policy will be those persons who have been given written consent by a Vice President or General Manager of McAllister Towing to carry a weapon on McAllister Towing property or to carry a weapon while conducting McAllister Towing business off of the property. The official granting such consent shall inform the Vice President and General Counsel of this action.


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17. Searches and Inspections. (O&M)

17.1 Whether on McAllister Towing property or performing services for customers, McAllister supervisors and/or authorized search and inspection specialists, including scent-trained animals may conduct unannounced searches and inspections of company property and/or personnel and their property at any time. That property may include, but is not limited to, the following: wallets, purses, lockers, baggage, offices, desks, tool boxes, clothing, and vehicles.

18. Termination.

18.1 Employment at McAllister Towing is “At-Will”. Employees and the company may terminate the employment relationship at any time, with or without cause. We ask that employees provide at least two weeks written notice prior to resigning.

18.2 Termination of employment, whether voluntary or involuntary, marks the end of the employment relationship between the Company and the employee. A voluntary termination occurs when an employee leaves a job on his or own initiative, as with a resignation or retirement. An involuntary termination is one initiated by the Company, and includes a lay off or discharge. It is the responsibility of the Marine Personnel Manager to ensure that all company property such as life vests, hard hats, keys, cell phone, laptops, etc. are returned to the company at the time of separation. .1 Resignation. An employee who decides to resign from a position at the

Company should give ample notice of his or her intention to leave, to allow supervisors and managers in the department sufficient time to assess their needs in replacing the individual, and to allow time for processing of final salary and other payments upon termination.

.2 Discharge. An employee may be discharged for reasons that include, but are not limited to, performance deficiencies, violation of Company policy, failure to adhere to conditions of employment, or serious misconduct. In most cases, a meaningful effort to address the issues will precede discharge though in serious cases discharge may occur without prior corrective action. Supervisors must consult with the Human Resources Department prior to taking such action.

18.3 Termination Procedures .1 Termination Report. The Marine Personnel Manager must submit the

Termination Report (MCA-331) to the HR Department in order to terminate an individual’s employment. This report should be accompanied with the resignation letter (if available), any disciplinary action documentation, positive drug or alcohol test results and a termination letter (if available).

.2 Final Payment. Submission of an approved Termination Report results in final payment to an employee, including any final salary payments and any accrued but unused vacation balance. The effective date must be completed to determine final salary payment.


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.3 Continuation of Benefits. A federal law, the Consolidated Omnibus Reconciliation Act of 1985 (COBRA), requires that upon separation of service, employees will be offered the opportunity for a temporary extension of their health and dental plan coverage.


2. Organization, Roles and Responsibilities

Documents

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