Source: https://www.fmcsa.dot.gov/regulations/drug-alcohol-testing/implementation-guidelines-alcohol-and-drug-regulations-chapter-1
Timestamp: 2020-06-07 01:18:01
Document Index: 307371289

Matched Legal Cases: ['art 382', 'art 391', 'art 40', 'arts 40', '§382', 'art 382', '§40', 'art 40', 'arts 40', 'art 383', 'art 383', 'arts 382', 'art 172', 'arts 40', '§40', '§382']

Implementation Guidelines for Alcohol and Drug Regulations - Chapter 1 | FMCSA
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Implementation Guidelines for Alcohol and Drug Regulations - Chapter 1
Section 1. Purpose and Scope of these Guidelines
The Federal Motor Carrier Safety Administration (FMCSA) recognizes that controlled substances use and alcohol misuse affect everyone in the United States in one way or another. In response to passage of the Omnibus Transportation Employee Testing Act
of 1991, the FMCSA has published regulations prohibiting controlled substances use and alcohol misuse and modified other current regulations. The current regulation is 49 CFR part 382, "Controlled Substances and Alcohol Use and Testing," which replaced 49 CFR part 391, subpart H, "Controlled Substances Testing." In addition, the Department of Transportation (DOT) has issued 49 CFR part 40, "Procedures for Transportation Workplace Drug and Alcohol Testing Programs," which prescribes testing methods to be followed.
To assist employers (motor carriers) in implementing those regulations, the FMCSA has developed these guidelines. The ultimate goal for the FMCSA and the commercial motor vehicle (CMV)* industry is to achieve a controlled substance and alcohol-free work force in the interest of the health and safety of employers, employees, and the public.
These guidelines are the FMCSA's "small entity compliance guide" for purposes of the Contract With America Advancement Act of 1996 (Pub. L. 104-121, Title II, Subtitle A, March 29, 1996). Under this act, the content of this small entity compliance guide is not subject to judicial review but may be considered as evidence of the reasonableness or appropriateness of any proposed fines, penalties, or damages in an FMCSA civil or administrative action.
These guidelines are written as if an employer has no controlled substances and/or alcohol testing program already in place. They provide a logical sequence for implementing the various elements of a successful program and contain examples of documents, checklists, forms, and procedures that may be used by individual employers in formulating their programs. The following required elements of a controlled substances use and alcohol misuse program are discussed:
Driver education and supervisor training
Breath and saliva sample collection and testing
As an employer (motor carrier), you may go beyond these requirements to incorporate additional features (such as employee assistance programs) that are not mandated by FMCSA regulations. However, you must make clear that any features you add are not part of the FMCSA-mandated program and will be conducted under other applicable authority, not the FMCSA's. For example, if you test for controlled substances other than the five that the FMCSA specifies, you must make the employees aware that they are being tested for those additional controlled substances under your authority, not the FMCSA's. You must collect separate specimens for analysis, and you must not use the Federal Drug Testing Custody and Control Form.
*Note: The term "Commercial Motor Vehicle" or "CMV" as used in this document is defined in the appendix of this chapter, page 1-22.
Employers Domiciled in the United States
For employers domiciled in the United States, the rules require testing to have begun by January 1, 1996.
If you begin your highway transportation operations after January 1, 1996, you must start your testing program on the day you begin transportation operations. The development of policies and procedures, including preemployment testing, must be completed prior to the date you begin transportation operations.
Employers Domiciled in Foreign Countries
For employers domiciled in foreign countries that operate in the United States, the rules require testing to have begun by July 1, 1997. If you began your highway transportation operations in the United States after July 1, 1997, you must start your testing program on the day you begin operations in the United States. The development of policies and procedures, including preemployment testing, must be completed prior to the day you begin operations in the United States.
Section 2. How to Use These Guidelines
These guidelines are a ready reference for those in the CMV industry that must formulate and implement programs to control substance abuse. They are organized by
subject, and each subject is addressed in the general order that it would be encountered in the actual formulation and implementation of a controlled substances use and alcohol misuse program.
Each major subject is discussed in a separate section. Sample documents, forms, terms and definitions, and checklists are provided in the appendix at the end of each chapter. These materials were designed to help employers meet the minimum regulatory requirements contained in 49 CFR parts 40 and 382.
These guidelines do not take precedence over or alter any requirement established under FMCSA or DOT regulations.
In certain cases, the information in this document goes beyond the regulatory minimum and covers additional aspects of a controlled substances use and alcohol misuse program that are considered helpful in developing a comprehensive program. It is the option of each employer to implement a program that goes beyond the regulatory minimum.
To assist you in differentiating between program elements required by regulation and optional suggestions for maximizing program effectiveness, certain key words are used throughout the text (see the box on next page).
Statements in this manual that refer toregulatory requirements contain the words "shall" or "must" (e.g., "A substance abuse management program shall include a policy statement"). Program elements notexplicitly required by regulations, but suggested as an integral part of successful implementation, are generally addressed using the word"should." Optional elements, or those program features that have several acceptable alternatives, are normally expressed by use of the word "may."
Section numbers from the regulations are also used to more clearly define regulatory requirements. For example, §382.103 means that this regulation is specifically mentioned in 49 CFR part 382, section 103; and, in a similar manner, §40.25 references 49 CFR part 40, section 25.
Section 3. Other Resources
While every attempt has been made to make these guidelines as complete and self-supporting as possible, additional published material is available. Where appropriate, these additional resources are identified.
The appendix at the end of this chapter contains a list of sources of additional information that you may wish to acquire as you begin developing your controlled substances use and alcohol misuse program.
FMCSA division offices located throughout the United States are listed in the appendix for additional information. Division offices should be consulted for specific guidance applicable to an employer's program implementation and for any updates and amendments to the these regulations and guidance.
To access FMCSA or the DOT's Office of Drug and Alcohol Policy and Compliance on the web, go to:
FMCSA does not maintain lists of trade associations, unions, or insurance companies, but these can be good sources of additional information.
If you want additional copies of these guidelines, you may reproduce as many copies as you need.
Sources of Additional Information and Other Published Documentation
Urine Specimen Collection Procedures Guidelines
Substance Abuse Professional Procedures Guidelines U.S. Dept. of Transportation
Office of Drug and Alcohol Policy
Phone (202) 366-DRUG
Fax On Demand: (800) 225-(DRUG)
Drug & Alcohol Abuse Prevention and the ADA: An Employer's Guide The Institute for a Drug-Free
East Tower Suite 1010
Phone: (202) 842-7400
Random Drug Testing Manual Office of Safety & Security Federal Transit Administration
Room 6432
Breath Alcohol Technician and Screening Test Technician Training Curricula (Teacher and Student Guide)
Alcohol and Drug Testing Regulations 49 CFR parts 40 and 382 Order by Mail:
Order by Telephone or Fax:
A central information and referral service for technical
support, printed materials, audiovisuals, and
networking. National Clearinghouse for Alcohol and Drug Information P.O. Box 2345 Rockville, MD 20847-2345 (800) 729-6686 (outside Maryland and DC area) (301) 468-2600 (DC and Maryland)
Toll-Free Information Lines Alcoholics Anonymous -----
Helpline---(800)527-5433
Cocaine Hotline-----
National Council on Alcoholism------
Hotline--- (800) 662-HELP
Helpline--- (800) 843-4971
Collection Sites, Consortia, Medical Review Officers National Association of Collection Sites
(800) 355-1257
Association---- (615) 834-8288
American Association of Medical Review
Officers (919) 489-5407
American College of Occupational &
Environmental Medicine, Medical Review
Officer Certification Council
(708) 228-6850
Various Materials (Check local listings)
• State and local truck & motor coach associations
• State and local employee counseling programs
Eastern Service Center: CT, DE, MA, MD, ME, NH, NJ, NY, PA, VA, VT, WV
Glen Burnie, MD 21061 Phone: (443) 703-2240
Midwestern Service Center: IA, IL, IN, KS, MI, MN, MO, NE, OH, WI
Olympia Fields, IL 60461 Phone: (708) 283-3577
Southern Service Center: AL, AR, FL, GA, KY, LA, MS, NC, NM, OK, SC, TN, TX
1800 Century Boulevard, N.E.
Atlanta, GA 30345-3220 Phone: (404) 327-7400
Western Service Center: AK, AZ, CA, CO, HI, ID, MT, ND, NV, OR, SD, UT, WA, WY
San Francisco, CA 94105 Phone: (415) 744-3088
Fax: (415) 744-2665
Montgomery (334) 223-7244 (334) 223-7700
Anchorage (907) 271-4068 (907) 271- 4069
Phoenix (602) 379-6851 (602) 379-3627
Douglas (520) 364-6422 (520) 364-6456
Nogales (520) 761-4419 (520) 761-3093
San Luis (928) 627-1336 (928) 627-1770
Little Rock (501) 324-5050 (501) 324-6562
Sacramento (916) 930-2760 (916) 930-2278
Calexico (760) 768-7300 (760) 768-6423
Ontario (909) 937-2949 (909) 390-5642
San Diego (619) 710-8400 (619) 710-2804
Denver (303) 969-6748 (303) 969 6741
Glastonbury (860) 659-6700 (860) 659-6725
Dover (302) 734-8173 (302) 734-5380
Washington (202) 219-3553 (202) 219-3546
Tallahassee (850) 942-9338 (850) 942-9680
Atlanta (404) 562-3620 (404) 562-3704
Honolulu (808) 541-2700 (808) 541-2702
Boise (208) 334-1842 (208) 334-1046
Springfield (217) 492-4608 (217) 492-4986
Indianapolis (317) 226-7474 (317) 226-5657
Ames (515) 233-7400 (515) 233-7494
Topeka (913) 267-7288 (913) 267-7290
Frankfort (502) 223-6779 (502) 223-6767
Baton Rouge (225) 757-7640 (225) 757-7636
Augusta (207) 622-8358 (207) 622-8477
Baltimore (410) 962-2889 (410) 962-3916
Cambridge (617) 494-2770 (617) 494-2783
Lansing (517) 377-1866 (517) 377-1868
Minneapolis (651) 291-6150 (651) 291-6001
Jackson (601) 965-4219 (601) 965-4674
Jefferson City (573) 636-3246 (573) 636-8901
Helena (406) 449-5304 (406) 449-5318
Lincoln (402) 437-5986 (402) 437-5146
Carson City (775) 687-5335 (775) 687-3803
Concord (603) 228-3112 (603) 228-0390
Trenton (609) 637-4222 (609) 538-4913
Little Falls (973) 357-4134 (973) 357-4099
Albuquerque (505) 346-7858 (505) 346-7859
Albany (518) 431-4145 (518) 431-4140
Buffalo (716) 551-4701 (716) 551-3312
New York City (212) 668-2130 (212) 668-2133
Syracuse (315) 448-0311 (315) 448-0313
Raleigh (919) 856-4378 (919) 856-4369
Bismarck (701) 250-4346 (701) 250-4389
Columbus (614) 280-5657 (614) 280-6875
Oklahoma City (405) 605-6047 (405) 605-6176
Salem (503) 399-5775 (503) 399-5838
Harrisburg (717) 221-4443 (717) 221-4552
King of Prussia (610) 992-8680 (610) 992-8685
Pittsburgh (412) 395-6935 (412) 395-5078
Scranton (570) 346-4949 (570) 821-4080
Hato Rey (787) 766-5985 (787) 766-5015
Providence (401) 431-6010 (401) 431-6019
Columbia (803) 765-5414 (803) 765-5413
Pierre (605) 224-8202 (605) 224-1766
Nashville (615) 781-5781 (615) 781-5755
Jackson (731) 424-9332 (731) 424-0783
Austin (512) 536-5980 (512) 916-5980
Brownsville (956) 541-5894 (956) 982-0741
Eagle Pass (830) 757-6749 (830) 757-9097
El Paso (915) 593-8574 (915) 594-8857
Fort Worth (817) 978-3225 (817) 978-4666
Laredo (956) 712-1385 (956) 723-1479
McAllen (956) 683-0181 (956) 683-7280
Roma (956) 847-7209 (956) 847-7409
Salt Lake City (801) 963-0096 (801) 963-0096
Montpelier (802) 828-4480 (802) 828-4424
Richmond (804) 771-8585 (804) 771-8681
Olympia (360) 753-9875 (360) 753-9024
Charleston (304) 347-5935 (304) 347-5617
Madison (608) 829-7530 (608) 829-7540
Cheyenne (307) 722-2305 (307) 772-2905
Alcohol The intoxicating agent in beverage alcohol, ethyl alcohol, or other low molecular weight alcohols, including methyl and isopropyl alcohol.
Alcohol Use The drinking or swallowing of any beverage, liquid mixture, or preparation, including any medication, containing alcohol.
(CDL) A license issued by a State or other jurisdiction, in accordance with the standards contained in 49 CFR part 383, authorizing an individual to operate a class of commercial motor vehicle (CMV). The individuals required to have a CDL under 49 CFR part 383 are subject to controlled substances and alcohol testing. Individuals who are required to possess CDLs by virtue of State or local law or by employer policy, but not by Federal regulation, are not subject to the provisions of 49 CFR parts 382 and 383
(CMV) A motor vehicle or combination of motor vehicles used in commerce to transport passengers or property if the motor vehicle
(a) Has a gross combination weight rating (GCWR) of 11,794 kilograms or more (26,001 pounds or more) inclusive of a towed unit, with a gross vehicle weight rating (GVWR) of more than 4,536 kilograms (10,000 pounds); or
(b) Has a GVWR of 11,794 kilograms or more (26,001 pounds or more); or
(d) Is of any size and is used in the transportation of materials found to be hazardous for the purposes of the Hazardous Materials Transportation Act and is required the to be placarded under the Hazardous Materials regulations (49 CFR part 172, subpart F).
Consortium/Third Party
Administrator (C/TPA) A service agent that provides or coordinates one or more drug and/ or alcohol testing services to DOT-regulated employers. C/TPAs typically provide or coordinate the provision of a number of such services and perform administrative tasks concerning the operation of the employers' drug and alcohol testing programs. This term includes, but is not limited to, groups of employers that join together to administer, as a single entity, the DOT drug and alcohol testing programs of its members (e.g., having a combined random testing pool). C/TPAs are not employers under the rules.
Controlled Substances For the purposes of these guidelines, the terms "drugs" and "controlled substances" are interchangeable and have the same meaning. The DOT is testing only for the following five controlled substances: marijuana (THC), cocaine, opiates, phencyclidine (PCP), and amphetamines (including methamphetamines).
Representative (DER) An individual identified by the employer as able to receive communications and test results from service agents and who is authorized to take immediate actions to remove employees from safety-sensitive duties and to make required decisions in the testing and evaluation processes. The individual must be an employee of the company. Service agents cannot serve as DERs.
Driver Any person (volunteer or paid) who operates a CMV and is required to have a CDL. This includes, but is not limited to,
Full-time, regularly employed drivers
Independent owner-operator contractors (employed directly or leased)
Casual, intermittent, or occasional drivers.
Drug See Controlled Substances.
Employee See Driver.
Employer (or Motor Carrier) Any person engaged in a business affecting interstate commerce who owns or leases a commercial motor vehicle in connection with that business, or assigns employees to operate it, but such terms does not include the United States, any State, any political subdivision of a State, or an agency established under a compact between States approved by the Congress of the United States.
Gross Combination Weight Rating The total value specified by the manufacturer(s) of the vehicle as the loaded weight of two or more vehicles. In the absence of a value specified by the manufacturer, it will be determined by adding the gross vehicle weight rating of the power unit to the total weight of the towed unit and any load thereon.
Gross Vehicle Weight Rating The value specified by the manufacturer of the vehicle as the loaded weight of a single vehicle.
Seating Capacity or
Designed to Transport The value specified by the manufacturer of the vehicle as the maximum number of persons that may sit in a single vehicle. A
commercial motor vehicle that is altered by removing seats continues to be a commercial motor vehicle until the vehicle's seating capacity certification plate is replaced by a manufacturer.
Service Agent Any person or entity, other than an employee of the employer, that provides services specified under the regulations to employers and/or employees in connection with DOT drug and alcohol testing requirements.
Stand-Down The practice of temporarily removing an employee from the performance of safety-sensitive functions based only on a report from a laboratory to the medical review officer (MRO) of a confirmed positive test, an adulterated test, or a substituted test, before the MRO has completed verification of the test results.
Complete definitions of terms used in parts 40 and 382 may be found in §40.3 and §382.107.