# Presentation: 293529

## CONTROLLED SUBSTANCES AND ALCOHOL USE TESTING REGULATIONSFOR MANAGEMENT

## Overview

- This presentation is designed to inform employers on FMCSA controlled substance and alcohol use testing regulations in order to help prevent accidents and injuries resulting from the misuse of alcohol or the use of controlled substances by commercial motor vehicle (CMV) drivers.

## Critical Information

- This presentation outlines important U.S. regulations.
-  Employer **MUST** ensure that all   regulations are followed by drivers
-  Employer is responsible for any   violation committed by a driver

## Additional Information

- Attached to each slide of this presentation are specific notes which include where you can view detailed information.

## Applicability

- Employers and drivers who operate CMVs in the U.S. and are subject to:
- Commercial driver’s license requirements
- Licencia Federal de Conductor requirements
- Commercial driver’s license requirements of the Canadian National Safety Code

## Applicability

- Employer who employs self as driver:
-  MUST comply with requirements as    both employee and employer
-  MUST be in a consortium of two or    more employees in the random    testing selection pool

## Preemption 

- Controlled Substance and Alcohol testing rules have priority over all U.S. state and local law except when criminal action is being taken for acts of reckless conduct.

## Prohibitions

- Alcohol Concentration above the legal limit set by the FMCSA
- On-duty use
- Pre-duty use
- Use following an accident

## Controlled Substance Testing

- If a driver tests positive for a controlled
- substance:
- Driver shall NOT report to duty, remain on duty or perform safety sensitive functions
- Employer shall NOT permit the driver to perform safety sensitive functions
- A driver may be required to inform the employer of any therapeutic drug use

## Employer Responsibilities

- Compliance with Part 40
- Officials, Representatives and Agents
- Agreements and arrangements, written and verbal

## Employer Responsibilities

**Immediately** remove employee from safety sensitive functions (until return to duty process is completed) after receipt of:
-  Positive drug test results
-  Verified tainted or substituted drug    test results
-  Alcohol test greater than .04

## Temporarily remove employee from safety sensitive functions after receipt of:
 Alcohol test between 0.02 and 0.39
 A diluted specimen
 Invalid drug test requiring a 2nd   collection under direct observation

-  Alcohol test between 0.02 and 0.39
-  A diluted specimen
-  Invalid drug test requiring a 2nd   collection under direct observation

- Employer Responsibilities

## MUST direct an immediate re-test after receipt of a cancel test when a negative test result was required

MUST not alter a drug or alcohol result

- MUST not alter a drug or alcohol result

- Employer Responsibilities

## Substance Abuse Professional 

- Evaluates employees who have violated a DOT drug and alcohol regulation
- Makes recommendations about education, treatment, follow-up testing and after care

## Consequences For Drivers In Alcohol Use Related Conduct

- No driver with an alcohol concentration between **0.02** and **0.39** shall drive for at least 24 hours after being tested

## Required Tests

- Pre-employment (Controlled Substances Test only)
- Post Accident
- Random
- Reasonable Suspicion
- Return to Duty
- Follow-Up

## Pre-Employment Testing

- Driver shall not perform a safety sensitive function (including driving) until a negative controlled substance test result is received.

## Post-Accident Testing

- After an accident each employer shall test each surviving driver for alcohol and controlled substances when the following apply:

| Type of accident involved  | Citation issued to the CMV driver  | Test must be performed by employer  |
| --- | --- | --- |
| i. Human fatality  | YES  | YES  |
|  | NO  | YES  |
| ii. Bodily injury with immediate medical treatment away from the scene  | YES  | YES  |
|  | NO  | NO  |
| iii. Disabling damage to any motor vehicle requiring tow away  | YES  | YES  |
|  | NO  | NO  |

##     If after an accident, a driver needs to be tested, the alcohol test shall be done within 8 hours of the accident and the controlled substance test, shall be performed within 32 hours. 

- Post-Accident Testing

## Accidents

**An Accident means:**
**1)** An occurrence involving a commercial motor vehicle operating on a highway in interstate or intrastate commerce which results in:
**(1)(i)** A fatality;
**(1)(ii)** Bodily injury to a person who, as a result of the injury, immediately receives medical treatment away from the scene of the accident; or
**(1)(iii)** One or more motor vehicles incurring disabling damage as a result of the accident, requiring the motor vehicle(s) to be transported away from the scene by a tow truck or other motor vehicle.

## Random Testing

- Every driver shall submit to random alcohol and controlled substance testing
- Every employer shall comply with random testing requirements

## Random Testing

- Companies must randomly test drivers at a minimum annual percentage rate of:
-   10% of the number of drivers for     alcohol testing
-   50% for controlled substances     testing

## Random Testing

- The random alcohol test must be given immediately before, during or after a driver performs a safety sensitive function (including driving)
- All drivers must have an equal chance of selection by a scientifically valid method, such as:
- 	- Random number table
- 	- Computer based random number

## Reasonable Suspicion Testing

- A driver **MUST** submit to an alcohol and/or controlled substance test if there is reasonable suspicion that the prohibitions concerning alcohol and/or controlled substances have been violated.

## Reasonable Suspicion Testing

-    Suspicion MUST be based on specific observations of the supervisor or company official concerning the driver’s:
- Behavior
- Speech
- Body odor (such as marijuana or alcohol)

## Return-To-Duty Testing

- An employer shall ensure that before a driver returns to duty:
-   Driver’s return-to-duty alcohol test     indicates an alcohol concentration     of **less than 0.02**
-   Driver’s return-to-duty controlled     substances test indicates a     negative result

## Follow-Up Testing

- Substance Abuse Professional will set up a follow-up testing plan
- Employer MUST ensure that the plan is carried out
- A minimum of 6 tests MUST be conducted in the first 12 month
- Driver may be subject to testing for a maximum of 60 months

## Refusal to Submit

- No driver shall refuse to submit to a required test
- No employer shall permit a refusing driver to perform safety sensitive functions

## Urine Collection Personnel

- Must meet training requirements
- Must not work for a U.S. Department of Health and Human Services certified laboratory
- Must not be immediate supervisor of employee being tested unless:
- No other collector is available
- Permitted to do so by DOT agency drug/alcohol regulations

## Urine Collector Training Requirements

- Receive qualifications training
- Complete 5 error-free mock collections
- Meet schedule for qualifications training and proficiency demonstration
- Be knowledgeable about:
- Part 40 (including any changes)
- DOT urine specimen collection procedures

## Urine Collections Site

- MUST meet security requirements
- No one except employee may be present in room during collection (except in directly observed test)
- MUST have:
- All necessary personnel
- Materials and equipment
- Temporary storage and shipping of specimen to laboratory
- Clean surface for writing

## Urine Collection Forms

- MUST use current* *Federal Drug Testing Custody and Control Form (CCF) to document every urine collection
- MUST use a five-part carbonless manifold CCF
- May NOT use Federal Form for non-DOT collection

## Spanish Equivalent

- May use an equivalent Spanish version of the Custody and Control Form **ONLY** when both the employee and collector can understand and use the form in Spanish.

## What Laboratories Can Be Used?

- ONLY laboratories certified by the U.S. Department of Health and Human Services under the National Laboratory Certification Program (NLCP)
- To view approved drug testing labs: _[http://www.health.org/workplace](http://www.health.org/workplace)_

## Controlled Substances

- Laboratories **MUST** test for:
- Marijuana
- Cocaine
- Opiates
- Amphetamines
- Phencyclidine (PCP)

## Lab Summaries

- Laboratory semi-annual statistical summaries MUST be sent to employer by:
- Jan. 20th for July 1st – Dec. 31st of previous year
- July 20th for Jan. 1st – June 30th of current year
- Laboratory MUST release summary information:
- When requested by employer in response to an inspection, audit or review by a DOT agency
- To appropriate parties

## Record Retention

- Employer shall maintain records of alcohol misuse and controlled substance use prevention programs
- Records shall be maintained in a secure location with controlled access

## Record Retention

_**Records kept for 5 years**_
- Alcohol test results showing a **0.02** BAC or greater
- Positive drug test results
- Refusals to submit to required tests
- Driver evaluations and referrals
- Required calibration of breath testing devices
- Copy of each calendar year summary

## Record Retention

_**Records kept for two years**_
- Records related to the collection process
_**Records kept for two years**_
- Negative or cancelled drug test results
- Alcohol test results showing a **0.02** BAC or less
_**Records kept indefinitely**_
- Education and training records

## Access To Records

- Information **MUST** be released if:
- Specific written consent is received from employee
- Requested by a DOT agency
- Requested by the National Transportation Safety Board
- Requested by Federal, state or local safety agency

## Previous Employer Inquiries

- Can only be requested with written consent of employee
- Employer must request information regarding a new employee from all DOT-regulated employers from the previous 2 years
- Employer must remove driver if information is not obtained in 30 days (unless good faith effort is documented)

## Previous Employer Inquiries

- Information released to an employer MUST be maintained in writing
- Previous employer MUST immediately release information after reviewing written consent
- Information received MUST be retained for 3 years

## Employer MUST ask an applicant about pre-employment tests or refusals during the previous two years in which the applicant did not obtain a job

If the applicant had any positive tests or refusals, the applicant MUST have documented completion of the return-to-duty process

- If the applicant had any positive tests or refusals, the applicant **MUST** have documented completion of the return-to-duty process

- Previous Employer Inquiries

## Employer Obligations

- Employers shall provide materials explaining the regulation requirements and the employer’s policies regarding alcohol misuse and controlled substances abuse.

**Notes:**
Subpart F - Alcohol Misuse and Controlled Substances Use Information, Training, and Referral

## Employer Obligations

- Materials shall be given to each driver before the start of alcohol and controlled substance testing
- Employer shall provide written notice of the availability of this information to representatives of employee organizations

## Employer/Driver Discussions

_**Detailed discussions with drivers should include:**_
-   Identity of person to answer    drug/alcohol related questions
-   Which drivers are subject to the    requirements, what is prohibited and    what a safety sensitive function is
-   When and how a driver would be    tested

## Employer/Driver Discussions

_**Detailed discussions with drivers should include:**_
-   Drivers’ requirements to submit to    testing and what constitutes a refusal
-   Consequences for drivers that    violate testing requirements
-   Effects of alcohol misuse and drug    use on health, work and personal life

## Supervisor Training

- Employer shall ensure that all supervisors receive:
-   At least 60 minutes of alcohol    misuse training
-   At least 60 minutes of controlled     substance use training

## Supervisor Training

- Training will be used to help determine whether reasonable suspicion exists to require a driver to be tested
- Training shall include probable indicators of alcohol misuse and controlled substances use:
- Behavioral
- Speech
- Performance
- Recurrent training not required for supervisors

## In Conclusion

- Remember: training is essential and in this field, you can lose your license to operate in the US if your drivers and/or staff do not follow these regulations.
- Thank you for your time and attention.