HomeMy WebLinkAbout1996 08 12 Regular Item F
COMMISSION AGENDA
ITEM F
REGULAR X
CONSENT
INFORMATIONAL
August 12, 1996
Meeting
MGR. ~/1( /DEP
Authorization
c.-
REQUEST: The General Services Department requests that the City Commission, 1) add a
new Section 21-12. "Drug-Free Work Place" to the Personnel Policy instituting
the new policy; 2) amend the Drug-Free Workplace Policy to include the new U.S.
Department of Transportation (D.O.T.), Commercial Drivers License (CDL)
operator testing policy so that the City complies with Federal Regulations No. 382;
3) adopt Resolution No. 786 amending the Personnel Policy in accordance with
Section 14-1. Policy, rules and regulations of the Code of Ordinances establishing
a new Section 21-12. Drug-Free Workplace, amending Section 5-4(e),
Disqualification of Applicants, amending Section 11-1(t). Leave of Absence with
and without Pay, amend Section 11-9(i) and 0). Employee Assistance Program,
and amending all other sections of the Personnel Policy affected by the Drug-Free
Workplace Policy.
PURPOSE:
The purpose of this agenda item is to, 1) amend the Personnel Policy by inserting
a new Section No. 21-12. Drug-Free Workplace designating the City of Winter
Springs as a drug-free workplace; 2) amend the Drug-Free Workplace Policy to
include a U.S. D.O.T. , CDL Operator Testing Policy as specified by Federal
Regulation No. 382; 3) amend the current policy with proposed Sections 11-9 (i)
and G).Employee Assistance Program and Section 11-1(t). Leave of Absence With
or Without Pay, and; 4) amend Section 5-4( e) of the Personnel Policy to include
Disqualification of Applicants. If there are unknown sections of the current
Personnel Policy that may be affected by the amended Drug-Free Workplace
Policy, the Personnel Policy will be amended according to the new Section 21-12
of the Personnel Policy.
August 12, 1996
AGENDA ITEM l
Page 2
CONSIDERA TIONS:
1. Resolution No. 782 was adopted by the City Commission July 08, 1996
declaring the City of Winter Springs a "Drug-Free Workplace".
2. The Drug-Free Workplace Policy applies to existing and new employees
and requires the NIDA Five Panel test under the following conditions:
· Upon application for employment.
· Reasonable suspicion as defined in the policy.
· As part of a routine medical examination for duty.
· Follow-up testing on a quarterly, semi-annual or annual basis, up to
two years after an employee enters a drug rehabilitation program.
3. The amendment to the Drug-Free Workplace Policy assures that the City
complies with u.s. D.O.T. Regulations No. 382, insuring random testing
on the City's thirty (30) CDL operators according to OSHA testing
procedures.
4. Section 14-1. Policy, rules and regulations, of the Code of Ordinances
states that the City Manager shall from time to time, amend and update the
Personnel Policy for the City.
ISSUES:
1. By adopting Resolution No. 782 declaring the City of Winter Springs a
"Drug-Free Workplace," and by adopting the Drug-Free Workplace policy,
the City Commission set the policy for the City.
2. Section 5-4(e). Disqualification of Applicants of the Personnel Policy of
the City of Winter Springs, needs to be amended to reflect the new policy.
3. Section 21-12. Drug-Free Workplace needs to be added to the Personnel
Policy describing the Drug-Free Workplace Policy in detail.
4. Section 11-9(i) G) needs to be amended to better describe grounds for
termination under the new "Drug-Free Workplace".
5. Section II-1(t). Leave of Absence With or Without Pay needs to be
amended to define when employees test positive.
August 12, 1996
AGENDA ITEM .l
Page 3
FUNDING:
There are no funding requirements for this request. The funding for testing was
previously approved by Commission action on July 08, 1996 when it adopted
Resolution No. 782 proclaiming the City as a "Drug-Free Workplace".
RECOMMENDATIONS:
That the City Commission do the following:
1. Adopt Resolution No. 786 amending the Personnel Policy of the City by:
a) Adding Section 21-12. The amended Drug-Free Workplace Policy
to the Personnel Policy.
b) Amending Section 5-4(e). Disqualification of Applicants by
replacing existing Section with new Section 5-4(e).
c) Amending Section 11-1(f). Leave of Absence with and without Pay
to reflect new language and;
d) Amending Section 11-9(i) and 0) to define grounds for termination
under the policy.
IMPLEMENTATION:
This request should be effective immediately upon adoption of Resolution No. 786
by the City Commission and signed by the Mayor.
ATTACHMENTS:
1. Resolution No. 786.
2. Proposed Section 22-12 of the Personnel Policy, "Drug-Free Workplace" policy,
and amendment for CDL testing.
3. Section 5-4(e). Disqualification of Applicants, replacing existing Section 5-4(e) of
the Personnel Policy. Sections 11-1(f). Leave of Absence with and without Pay,
and Section 11-9(i) 0). Employee Assistance Program.
COMMISSION ACTION:
CITY OF WINTER SPRINGS
AMENDED SECTION 21-12
"DRUG-FREE WORKPLACE"
SUBSTANCE ABUSE POLICY AND JOB
APPLICANT AND EMPLOYEE TESTING
It is the purpose of this policy to establish and proclaim the City of Winter Springs intent
to maintain a "DRUG-FREE" workplace. In so doing the City of Winter Springs has
adopted this Drug-Free Workplace Program in accordance with the requirements set forth
in Florida Statutes Section 440.101 and 440.102, as well as in accordance to the rules
established by the Florida Department of Labor and Employment Security, Division of
Workers' Compensation, Rule 38F-9. It is a condition of employment with the City of
Winter springs that all employees refrain from taking drugs on or off the job. In addition
to possible disciplinary procedures and termination as a result of any violation of this
Drug-Free Workplace Program, an employee injured int he course and scope of
employment, who is tested and has a positive confIrmation of drug or alcohol use, forfeits
his or her eligibility for medical and indemnity benefits under the Worker's
Compensation Act. Also, if an injured employee refuses to submit to a test for drugs or
alcohol, as required by this Drug-Free Workplace Program, the employee's eligibility for
medical and indemnity benefits is likewise forfeited.
The City of Winter Springs acknowledges the problem of substance abuse, including
abuse of alcohol, in our society. Furthermore, City of Winter Springs sees substance
abuse as a serious threat to our employees and customers. City of Winter Springs is
addressing this problem by establishing a substance abuse policy to ensure all employees
will have a drug-free workplace.
Drug and alcohol addiction is a complex, yet treatable condition. For this reason, this
drug-free workplace program is targeted at alleviating the problem at the community level
by involving and educating employees. Policies are designed not only to eradicate dmg
abuse in the workplace, but also to encourage drug users to seek and successfully
complete rehabilitative treatment. The City of Winter Springs will also provide an annual
education course for its employees to assist them in identifying and resolving personal
and emotional problems which may result from the misuse of drugs or alcohol.
While City of Winter Springs understands that employees and applicants under a
physician's care may be required to use
- 1 -
:',
CITY OF WINTER SPRINGS
DRUG-FREE WORKPLACE PROGRAM
SUBSTANCE ABUSE .POLICY AND JOB
APPLICANT AND EMPLOYEE TESTING
It is the purpose of this policy to establish and proclaim the City
of Winte!:" Sp!:"ings intent to maintain a "DRUG-FREE workplace. In so
doing the City of Winter Sp!:"ings has adopted this Drug-Free
Workplace.Program in accordance with the requirements set forth in
Florida Statutes Section 440.101 and 440.102, as well as in
accordance to the rules established by the Florida Department of
Labor and Employment Security, Division of Workers' Compensation,
Rule 38P-9. It is a condition of employment with the City of
Winter Springs that all employees refrain from taking drugs on o!:"
off the job. In addition to possible disFiplinary procedures and
terminatiorr as a result of any violation of this Drug-Free
Workplace P!:"ogram, an employee injured in the course and scope of
employment, who is tested and has a positive confirmation of drug
or alcohol use, forfeits his or her eligibility for medical and
indemnity benefits under the Worker's Compensation Act. Also, if
an injured employee refuses to submit to a test for drugs or
alcohol, as !:"equired by this Drug-Free WOl:"kplace Prog!:"am, the
employee's eligibility for medical and indemnity benefits is
likewise forfeited.
The City or w~nter Springs acknowledges the problem or substance
a bus e, in c l u din gab use 0 f a I c 0 h 0 l, i n 0 u r s 0 c i e t y . Fur the rm 0 r e ,
City of Winter Springs sees substance abuse as a serious threat to
our c;...p 1 oyees and cus tamers. Ci ty 0 f Winter Sp rings is address ing
this problem by establishing a substance abuse policy to ensure all
employees will have a drug-free workplace.
Drug and alcohol addiction is a complex, yet .treatable condition.
For this reason, this drug-free workplace program is targeted at
alleviating the problem at the community level by involving and
educating employees. Policies are designed not only to eradicate
drug abuse in the workplace, but also to encourage drug users to
seek and successfully complete rehabilitative treatment. The City
of Winter Springs will also provide an annual education course for
its employees to assist them in identifying and resolving personal
and emotional problems which may result from the misuse of drugs or
alcohol.
While City or Winter Springs understands that employees and
applicants under a physician's care may be required to use
1
RECEIVED
MAY - 7 mE)
.::i"ty of \Nint..,. Sp,.lng&
3ENERAL SERVICES
DRUG FREE WORKPLACE PROGRAM, (Can't.)
prescription or over-the-counter drugs, abuse of prescribed or
over-the-counter medications will be dealt in the same manner as
any other substance abuse. Because substance abuse and chemical
dependencies are treatable conditions, employees seeking help for
drug or alcohol problems, whether voluntarily or through
disciplinary action, will be treated the same as those employees
with other condition as far as eligibility for health benefits
and/or sick and/or other leave. Nothing in this policy, howevec,
shall limit the city of Winter Springs right to enforce appropriate
disciplinary measures for violation of policy, including, if
necessary, termination, nor does this policy bind the City of
Winter Springs to payment for any care provided beyond the City's
existing employee benefits. With these basic objectives in mind,
the City of Winter Springs has established the following policy.
A. DRUG aSE:
Employees are absolutely prohibited from using, possessing,
distributing, manufacturing, selling, attempting to sellar
being under the influence of drugs, while on or off the job.
As used in this policy, improper drug use is the use of any
drug which is not legally obtainable; which is legally
obtainable, but has not been legally obtained; or which is
being used in a manner or for a purpose other than
prescribed (for example, use of depressants and stimulants
not prescribed for current personal treatment by an
accredited physician). Some examples of drugs include
marijuana, amphetamines; cannabinoids; cocaine;
phencyclidine (PCP); hallucinogens (i.e., LSD);
methaqualone; opiates; barbiturates; benzodiazepines;
synthetic narcotics; or designer drugs. Employees who
violate this policy will be subject to discipline including
possible termination.
B. ALCOHOL USE:
Employees are absolutely prohibited from using, possessing,
distributing, manufacturing, selling, attempting to sellar
being under the influence of alcohol while on duty, while on
City property, or on any work site. "Alcohol" means ethyl
alcohol (ethanol) and includes use of a beverage, mixture or
preparation containing ethyl alcohol including, but not
limited to, distilled spirits, wine, malt ,beverages, and
intoxicating liquors. With regard to alcohol, an employee
may also be determined to be "under the influence of
alcohol" for purposes of this policy- if the employee as a
blood level of. .05 g/dl% or higher. Employees who violate
this policy will be subject to discipline including possible
termination.
2
C. USE OF PRESCRIPTION AND NONPRESCRIPTION MEDICATION
Employees must notify their supervisor when using any
medication that may limit their ability to perform their
job. Such notification may be confidentially given.
Verification of any and all medication may be required.
Where prescription medication is involved, verification may
include the employee submitting a prescription copy of a
physician's statement showing medication required and dates
of use. Failure to report the use of medication or failure
to verify the use of medication may result in discipline
including possible termination.
D. ARREST AND CONVICTION FOR DRUGS
1. It is a condition of employment with City of Winter
Springs that any employee convicted of any criminal drug
violation occurring in the workplace or off-the-job must
report such conviction to ,their supervisor or manager
within five (5) calendar days of such conviction.
Furthermore, a nolo contendere plea for drug activity is
also to be reported in the same manner.
2. In deciding what action to take, the supervisor and
department director will take into consideration the
nature of the charges, the employee's present job
assignment, the employee's record with the city, and
other factors relative to the impact of the employee's
conviction or nolo contendere plea upon the conduct of
city business.
E. DUTY TO REPORT EMPLOYEE DRUG AND SUBSTANCE ABUSE
Employees must immediately report violations of these
policies by other employees. Any employee who, in good
faith based on reasonable suspicion, reports an alleged
violation of this policy, Ol::' any supervisol::' who investigatE:;~
or takes action in good faith based on reasonable suspicion,
shall not be harassed, retaliated against, or discriminated
against in any way fol::' making reports or participating in
any investigation or action based thereon. To the greatest
extent possible, the l::'eporting of employee drug and
substance abuse will be kept confidential.
F. CONFIDENTIALITY
1. All information, interviews, reports, statement
memoranda, and drug test results, written or otherwise,
recei ved by the ci ty through a drug tes ting program wi 11
be kept confidential. Also, employers, laboratories,
employee assistance programs, drug and alcohol
rehabilitation programs, drug and alcohol rehabilitation
3
DRUG-FREE WORKPLACE PROGRAM, (Con't.)
programs and their personnel who receive or have access
to information concerning drug tests results shall keen
all information confidential. Unless compelled by a -
hearing officer, court or professional or occupational
licensing board, information regarding drug testing may
be released only by voluntary written consent of the
person tested.
2. Information on drug test results shall not be released
or used in any criminal proceeding against the job
applicant or employee. Information released contrary to
this section shall be inadmissible as evidence in anv
such criminal proceeding. .
3. Nothing in this provision shall be construed to prohibit
the City, agent of the City, or laboratory conducting a
drug test from having access to employee drug test
information when consulting legal counsel in connection
with actions brought under or related to Rule 38F-9 or
when information is relevant to a defence in a civil
administrative matter.
G. DRUGS FOR WHICH THE EMPLOYER MAY TEST AND DRUGS THAT MAY
AFFECT RESULTS OF A DRUG TEST
1. The following is a list of all drugs for which City of
Winter Springs will test the job applicant oc employee:
Alcohol
Amphetamines
Cannabinoids
Cocaine
Phencyclidine
Methaqualone
Opiates
Barbiturates
Benzodiazepines
Synthetic Narcotics:
Methadone
Propoxyphene
2. The following is a list of over-the-counter and
prescription drugs which could alter or affect the
outcome of a drug test:
a. ALCOHOL - all liquid medications containing ethyl
alcohol (ethanol). (The label will indicate alcohol
content)
b. AMPHETAMINES - Obetrol, Biphetarnine, Desoxyn,
Dexedrine, Didrex
4
DRUG-FREE WORKPLACE PROGRAM, (Can't.)
c.
CANNABINOIDS - Marinol (Dronabinol, THC)
d.
COCAINE - Cocaine HeI topical solution (Roxanne)
e.
PHENCYCLIDINE - Not legal by prescription
METHAQUALONE - Not legal by prescription
g.
OPIATES - Paregoric, Parepectolin, Donnagel PG,
Morphine, Tylenol with Codeine, Empirin with
Codeine, APAP with Codeine, Aspirin with Codeine,
Robitussin AC, Guiatuss AC, Novahistine DH,
Novahistine Expectorant, Dil~udid (Hydromorphone),
M-S Contin and Roxanol (morphine sulfate), Percodan,
Vicodin, etc.
,
n.
BARBITURATES - Phenobarbital, Tuinal, Amy tal ,
Nembutal, Lotusate, Fiorinal, Fioricet, Esgic,
Butisol, Mebaral, Butabarbital, Butabital,
Phrenilian, 'Triad, etc. .'
BENZODIAZEPHINES - Ativan, Azene, Clonopin, Dalmane,
diazepam, Librium, Xanax, Serax, Tranxene, Valium,
Verstran, Halcion, Paxipam, Restoril, Centrax.
J .
METHADONE - Dolophine, Methadose
k. PROPOXYPHENE - Darvocet, Darvon N, Dolene, etc.
H. JOB APPLICANT DRUG TESTING
1. A job applicant who has applied for a position with the
City of Winter Springs and has been offered em~:~yment
conditional upon successfully passing a drug test will
undergo screening for the presence of drugs or alcohol.
An applicant who refuses to take the test or whose test
results are confirmed positive will be denied employment
at that time, but may initiate another employment
inquiry with the City after one (1) year. Positive test
results may be challenged by the applicant.
2. The job applicant has the right to consult the testing
laboratory far technical information regarding
prescription and nonprescription medication and the
possible affect these drugs may have on the outcome of
a drug test. If the job applicant is using prescription
or nonprescription medications, which may affect the
outcome of a drug test, he must report the use of the
5
DRUG-FREE WORKPLACE PROGRAM, (Con't.)
medication to the City's Employee Relations Coordinator
This may be done confidentially, whether before or afte~
the drug test.
I. L~PLOYEE DRUG TESTING
The city will maintain drug testing practices to identify
employees who are working under the influence of drugs or
alcohol. It shall be a condition of continued employment
far all employees to submit to the following drug tests:
1. Reasonable Suspicion: May include, but is not necessary
limited to:
a. observable phenomena while at work, such as direct
observation of drug use or the physical symptoms of
being under the influence of a drugs, such as
drowsiness or sleepiness, slurred or incoherent
speech, unusually aggressive behavior, severe mood
swings, lack of coordination and the like;
b. abnormal conduct or erratic behavior or a
significant deterioration in work performance;
c. a report of drug use, provided by a reliable and
credible source;
d. evidence that an individual has tampered with a drug
test during his employment with City of Winter
Springs.
e. when there is information that an employee has
caused or contributed to a~ accident or has been
involved in an accident wh~:e at work;
E. When there is evidence that an employee has used,
possessed, sold, solicited, or transferred drugs
while working or while on the City property or
while operating the City vehicles, machinery or
equipment.
2. As part of a routine fitness far duty medical
e~amination.
3.
Follow-up testing on a quarterly, semi-annually or
annually for up to two (2) years after an employee
ehters a drug rehabilitation program.
6
DRUG-FREE WORKPLACE PROGRAM, (Con't.)
4. The employee has the right to consult the testing
laboratory for technical information regarding
prescription and non-prescription
medication and the possible affect these drugs may have
on the outcome of the drug test. If the employee is
using prescription or non-prescription medications,
which may affect the outcome of a drug test, the
employee must report the use of the medications to the
City's Employee Relations Coordinator. This may be done
confidentially, whether before or after the drug test.
S. Employees who are directed to submit to such a test and
refuse to do so are guilty of misconduct and will be
subject to discipline including possible termination.
Likewise, if the test results are confirmed positive,
the employee will be guilty of misconduct and subject to
discipline including possible termination.
J. CONFIRMATION OF DRUG TEST RESULTS
City of Winter Springs will not terminate, discipline,
refuse to hire, discriminate against, or request or require
rehabilitation of a job applicant or employee on the sole
basis of a positive test result that has not been verified
by a confirmation test. A confirmation test is a second
analytical procedure run an a sample that was positive on
the initial screening test. The confirmation test will be
different in scientific principal from that of the initial
test procedure.
K. CHALLENGE OF A POSITIVE DRUG TEST RESULT
1. A job applicant or employee who receives a positive
confirmed drug test result may contest the result to the
City of Winter Springs within (5) five working days
after written notification of the positive test result.
IE City of Winter Springs rinds the explanation
unsatisfactory, the City of Winter Springs shall within
(10) ten working days of receipt of the challenge
provide a written response to the job applicant or
employee as to why the explanation is unsatisfactory,
along with the report of the positive results.
2. A job applicant or employee may also challenge the
oositive test results bv court action. Further, the
~mployee may file a claim for worker's compensation
benefits pursuant to Florida Statutes, Chapter 440, if
injured in a workplace accident.
7
DRUG-FREE WORKPLACE PROGRAM, (Con't.)
3. It is the responsibility of the jab applicant or
employee to notify the laboratory of a pending challenge
of the positive test results and of the need to retain
the test sample until the case is settled.
L. CONSEQUENCES OF CONFIRMED POSITIVE TEST RESULTS
1. If an employee tests positive, the department shall
immediately place the employee an personal leave. If
there is insufficient accrued personal leave, the
employee will be placed on leave of absence without pay.
The purpose is two-fold:
a. To pt:'event the employee from endangering co-workers,
the public, or himself.
b. To provide an opportunity for the employee to be
referred to the Employee Assistance Program or other
appropriate treatment program.
2. An employee who has tested po~itive and who has been
re:erred to the Employee Assistance Program or other
appropriate treatment and who refuses this referral
shall be terminated fot:' cause.
3. An employee who accepts treatment must understand he/she
is required to complete such program. Failure to do so
will result in termination for cause.
4. A~ employee who completes treatment will be required to
furnish proof of such completion to the Employee
Relations Coordinator. This proof will be reviewed by
City of Winter Springs' designated competent medical
authority as part of a f~~ness for duty medical
examination prior to the employee being reinstated to
wot'"k ,status.
5. Special risk employees may be terminated or disciplined
for the first positive confirmed drug test when illicit
drugs pursuant to Florida Statutes Section 893 are
confirmed. No special risk employee shall be permitted
to continue to work in a "safety-sensitive" position,
but may be placed either in a "non-safety-sensitive
position or on personal leave while participating in a
rehabilitative program.
6. Voluntary Request for Treatment.
a. An employee who seeks voluntary treatment far
alcohol or drug related problems and he/she has not
8
DRUG-FREE WORKPLACE PROGRAM, (Con't.)
been previously tested and confirmed as positive may
do so without consequence of disciplinary action
assuming he/she has not been involved in any other
aspect covered under 1. a~ove. Every degree of
confidentiality shall be afforded in a case SUch as
this.
b. An employee in this catego~y shall be placed an
personal leave. IE there is insufficient accrued
personal leave, the employee will be placed on leave
of absence without pay.
c. The employee must understand he is to complete the
treatment program and will be required to furnish
proof of such completion to the Employee Relations
Coordinator. This proof will be reviewed by the
City of Winter Springs' designated competent medial
authority as part of a fitness far duty medical
examination prior to the employee being reinstated
to work status.
M. L~PLOYEE ASSISTANCE PROGRfu~ POLICY
1.
City of Winter Springs is aware that many personal
problems can and do interfere with an employee's ability
to perform on the job. These problems may include
emotional and mental conditions, family and marital
stress, physical condition, financial problems, as well
as abuse of alcohol or drugs.
~
~.
Employees whose job performance problems are not related
to lack of skill and who do not respond satisfactorily
to the usual disciplinary procedures are frequently in
need of professional assistance. With proper help, many
troubled employees can be restored to a satisfactory
level of job performance. However, if the underlying
problems or conditions or problems are ignored, they may
worsen over time, eventually rendering the person
unemployable.
3.
City of Winter Springs will not discharge, discipline,
or discriminate against an employee solely upon the
employee's voluntarily seeking treatment, while under
the employment of the City of Winter Springs, far a
drug-related problem is the employee has not previously
tested positive for drug use, entered an employee
assistance program for drug-related problems, or entered
an alcohol and drug rehabilitation program.
9
DRUG-FREE WORKPLACE PROGRAM, (Can't.)
4. To help avoid this waste of human resources, City of
winter Springs has compiled the following list of names
addresses, and telephone numbe=s of employee assistanc~
programs and local alcohol and drug rehabilitation
programs available to employees. (See Attachment)
5. Confidentially of participation in the above p=ogram(s)
is assumed to the fullest extent possible. No
information regarding the nature of the personal problem
will be made available to supervisors, nor will it be
i~cluded in the permanent personnel file.
6. Participation in an EAP or alcohol and drug
rehabilitation program will not affect an employee's
future career advancement or employment; however,
participation will not protect an employee fiom
disciplinary action of substa~dard job performance
continues. Participation in an EAP or.alcohol and drug
rehabilitation program is a process in coniunction with
disciplinary action, not a substitute for disciplinary
action. Participation in an EAP or local alcohol and
drug rehabilitation programs can be accessed by an
employee through self-referral or by supervisory
~ 1
re~erra~.
N. SELF-REFERRAL
In a self-referral, the employee contacts the EAP or
alcohol and drug rehabilitation counselor directly. The
employee is assured that no one in the City will be
notified.
O. SUPERVISORY REFERR~L
Supervisors will not ~ttempttodiagnose the nature of an
employee's problem. However, the supervisor will be
alert to changes in behavior that may signal a problem,
such as:
absenteeism
chronic lateness
personality change
decline in work quality
unusual behavior
1. It is the responsibility of the City's supervisors to
appropriately and confidentially confront an employee
whenever they see changes in performance that suggest an
10
DRUG-FREE WORKPLACE PROGRF~~, (Con't.)
employee may have a problem. The supervisor may suggest
that the employee voluntarily seek help from an EAP or
from a local alcohol and drug rehabilitation program.
2. Referrals can take place at any time in the diSCiplinary
process, or may take place if an employee confides in
the supervisor that he or she is having a problem of a
personal nature.
P. FOR~L REFERRAL
In circumstances where termination could occur, the
supervisor may opt to instead give the employee another
opportunity to improve his or her performance by formally
referring the employee to an EAP or local alcohol and
drug rehabilitation program. If the employee refuses to
be referred to an EAP or alcohol and drug rehabilitation
program, the employee may be asked to sign an
acknowledgement indicating his or her failuce to go to an
EA2 or local alcohol and drug rehabilitation program and
indicating that failure to improve performance to an
acceptable level will result in termination. The supervisor
may ask an EAP or local alcohol and drug rehabilitation
program counselor to verify that the referred employee lS
attending the program and following through on the
counselor's recommended actions.
Q. CONCLUSION
If after carefully reviewing this Drug-Free Workplace
Program, you have questions regarding city of Winter
Springs policies, you may contact Mary Wilson, Employee
Relations Coordinator of the City's Human Resources
Department or her designee at 407-327-1800. Any questions
you may ask regarding this policy will be kept confidential.
Job applicants and employees have the right to
confidentially consult the City's Medical Review Officer
(MRO) far technical information regarding prescription and
non-pt:'escription medication and may contest or explain a
positive test result to the MRO.
11
CRISIS INFORMATION AND REFERRAL
Employees may seek information regarding drug and/or alcohol abuse
counseling and treatment from the following organizations:
BREVARD COUNTY
Crisis Se~vices of Brevard, Inc.
(407) 631-8944
Hours/Days: 24 Hours a Day/7 Days a Week
Dial for Help (Senior Helpline)
(407) 631-2747
Hours/Days: 9:00 a.m. - 5:00 p.m./Monday-Friday
Type: Generic Information and Referral/Specialized
Information and Referral Service, Elderly
ORANGE COUNTY
Human Services Council of Orange & Osceola Counties
(407) 897-6464
(407) 846-7685 Osceola
(407) 629-1289 Seminole
(407) 894-1447 TDD
Hours/Days: 8:00 a.m. - 5:00 p.m./Monday-Friday
Type: Generic Information and Referral Service
We Care
(407) 425-2624
TDD Accessible
Hours/Days: 24 Hours a Day/7 Days a Week
Type: Crisis Intervention Service.
OSCEOLA COUNTY
Human Services Council of Orange & Osceola Counties
(407) 897-6464
(407) 846-7685 Osceola
(407) 629-1289 Seminole
Hours/Days: 8:00 a.m. - 5:00 p.m./Monday-Friday
Type: Generic Information and Referral Service
Heart or Florida United Way Osceola area Office
(407) 846-3271
Hours/Days: 8: 30 a. m. - 5: 00 pm. /Monday-Friday
Type: Generic Information and Referral Service
12
CRISIS INFOPSL~TION AND REFERRAL CON'T.
He 1 p Nor...;
(407) 847-8811
Hours/Days: 24 Hours a Day/7 Days a week.
Type: Crisis Intervention Service
SEMINOLE COUNTY
Human Services Council of OLange County
(407) 894-1441
(407) 846-7685 Osceola
(407) 629-1289 Seminole
(407) 894-1447 TDD
Hours/Days: 8:00 a.m. - 5:00 p.m./Monday-Friday
Type: Generic Information and Referral Service
we Car Crisis Center, Inc.
(407) 425-2624
TDD Accessible
Hours/Days: 24 Hours a Day/7 Days a week
Type: Crisis Intervention Service
VOLUSIA COUNTY
A.C.T. Corp.
(904) 255-7384
Hours/Days: 24 Hours a Day/7 Days a week
Type: Ge~eric Information and Referral
Service/Crisis
Intervention Service
An t iRe c i d i vis t E f for t, In c. ( AR E )
(904) 255-0444
Hours/Days: 24 Hours a Day/7 Days a Week
Type: Information and ~eferral
United Way Citizen's Information and Referral Service
(904) 455-8502
(904) 734-9430 West volusia
(904) 427-7714 South Volusia
Hcurs/Days: 24 Hours a Day/7 Days a week
Type: Generic Information and Refert:'al Service
Hours/Days: 24 Hours a Day/7 Days a week
Type: Generic Information and Referral Service
volusia County Council on Aging
(904) 253-4700
1-800-544-8127 Better Living for Seniors
Hours/Days: 8:30 a.m. - 5:00 p.m./Monday - Friday
Type: Specialized Information and Referral Service, Elderly
13
I
.
CRISIS INFOR...'1ATION AND REFERRAL CaN'T.
West Volusia Memorial Hospital
(904) 738-5433
Hours/Days: 24 Hours a Day/7 Days a Week
Type: Crisis Hotline
CONTACT PERSON
Questions about the City's Drug-Free WorKplace Program should be
directed to Mary Wilson, Employee Relations Coordinatol:' of the
City's Human Resources Department or her designee at 407-327-1800.
Job applicants and employees have the right to confidentially
con s u 1 t the C i t y , s Me die aIR e vie r..J 0 f f ice r ( MR 0 ) for tee hn i c a 1
information regarding prescription and non-prescription medication
and may contest or explain a positive teit result to the MRO.
14
D.O.T. STOP
9484 S, Orange Blossom Trail
Orlando, FL 32837
PH (40.7) 857-5573
, FAX (407) 857-3022
Compliance Made Convenient
Alcohol "Misuse and Controlled
S ubstances Use
. Policy and Procedures
for Drivers
~
D.O.T.STOP
9484 S, Orange Blossom Trail
Orlando, FL 32837
PH (407) 857.5573
FAX (407) 857.3022
D.O.T STOP ACTION PLAN
for implementing
U.S. Department of Transportation
Federal Highway Administration
Alcohol Misuse and Controlled Substances Use
Policy and Procedures for Drivers
~
Compliance Made Convenien/
1. Read Policy and Procedures in TAB 2 of the Alcohol Misuse and Controlled Substances Use Manual.
If necessary, edit Policy to include disciplinary actions that may be taken under the authority of the
company (be sure to explicitly state that the actions are "under Company authority"). DO NOT remove
any statements or sections required by 382.601. FHWA Rule 49 CFR Part 382 is found in TAB 3 and
contains important requirements not included in the driver policy. You should read this section in order to
familiarize yourself with the rule.
2. An IBM compatible disk is included with the purchase of this policy. Using a compatible word
processing program, insert on page 1 of the policy the name and telephone number of the individual
responsible for answering questions regarding the Alcohol and Controlled Substances POlicy and
procedures.
3. Print the Policy on company letterhead. Print the "Certificate of Receipt" found in TAB 1 and on the
disk on company letterhead.
4. Have top management approval of both Policy and Certificate of Receipt and have both reviewed by
legal counsel. Ask the attomey to reply in writing that the policy has been reviewed. Keep this document.
Insert in back pOCket of Manual.
5. Complete training for any person designated to determine whether reasonable suspicion exists to
require a driver to undergo testing. Minimum 60 minutes on alcohol misuse and 60 minutes on controlled
substances use required. Maintain documents of all training.
6. Distribute a copy of the policy to each CDL holder (driver) and have each driver sign the Certificate of
Receipt. It is recommended that you also give each employee a copy of FHWA Rule 49 CFR Part 382.
Each driver must also receive information concerning the effects, signs and symptoms of alcohol misuse
and controlled substances use. You may copy TAB 4 of the Manual "Drugs- in the Workplace" for this
purpose or use other educational materials. Document the education program or materials used.
7. Pre-employment, Post-Accident, Random, Reasonable Suspicion, Retum to duty, and Follow-up
testing for drugs and alcohol are required, except pre-~mployment alcohol testing is not required.
8. Make arrangements for the collectio'n of drug testing specimens following DOT 49 CFR Part 40
regulations. Use a laboratory certified by DHHS, and a Medical Review Officer (MRO) who has
knowledge and experience in controlled substances use. FHWA Rule 49 CFR Part 382.407 specifies the
information which must be included on all MRO reports to the company. The company will receive the
' blue "employer" copy of the custody and control form from the collection facility. Both the "b/ue-
employer" copy, and the MRO determination and verification report must be kept in confidential files.
9. Make arrangement for Alcohol testing, verifying that the DOT alcohol rules are followed.
10. Establish a random testing pool for all drivers (CDL holders) or join D.O.T. STOP CONSORTIUM
Computer Generated Random Testing Pool. The testing rate for drugs is 50% and the testing rate for
alcohol is 25%. These tests must be spread throughout the year. Each driver shall have an equal chance
of being tested each time a selection is made. The employer is responsible for updating the driver list.
11. Refer to 49 CFR Part 382-Subpart D--Handling of Test Results, Record Retention and
Confidentiality to establish record keeping procedures required by this Rule.
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ALCOHOL MISUSE
AND CONTROLLED
SUBSTANCES USE
1
CERTIFICATE OF RECEIPT
r-
Note: A Copy of this receipt must be signed by
each driver and placed in the Driver's
Qualification File
Authorization Form for Release of
Information
-
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ALCOHOL MISUSE AND CONTROLLED
SUBSTANCES USE POLICY AND
PROCEDUHES FOR DRIVERS
2
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Certificate of Receipt
I,
(printed name), certify that I have
received the Alcohol Misuse and Controlled Substances Use Policy and Procedures for
Drivers. I have also received information on the effects of alcohol and controlled
substances use, signs and symptoms of a alcohol or a controlled substances problem
(the driver's or a co-workers), available methods of intervening when an alcohol or
controlled substances problem is suspected, including confrontation or referral to
management.
Date
Signature
Date
Witness
{~~~"> .
AUTHORIZATION FOR THE RELEASE OF ALCOHOL AND CONTROLLED
SUBSTANCE TEST INFORMATION BY PREVIOUS EMPLOYERS
A copy of this form must be signed by the applicant specifying each previous employer for whom the
applicant worked w;thin the past 2 years. This release is limited to the information maintained by previous
employers under 382.401. (b)(1)(i) through (iii) of 49 CFR Part 382 Controlled Substances and Alcohol
Use and Testing Regulations ..
I, (Printed name of applicant) , authorize the release of
information concerning positive controlled substance test (s), breath alcohol testes) with a concentration
of 0.04 or greater, and information about refusal(s) to test; and any records pertaining to any evaluation,
referral or compliance with recommendations of a substance abuse professional to ttie above named
company.
Previous employer:
Contact name:
Telephone:
Address:
Signature of applicant:
Date:
AAAAAA44AAAA44AA44AAAAA4A4AAA4444444AAA444AA4AAA444A44AAA44AA4AA444AA4A4444A44AA444444AA4A444444444444
For internal use only:
Date of initial request:
Response:[ ] No positive results, No refusal to test
[ ] Positive results/refusal to test, see comments below
Method of contact: [ ] Telephone, [ ] Fax, [ ] letter, [ ] other
Person giving information: Date
Comments:
Signature of company official
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DOCUMENTATION OF REASONS DOT CONTROLLED SUBSTANCE
TEST AND ALCOHOL TEST WAS NOT PERFORMED WITHIN THE
REQUIRED TIME LIMITS
Reasonable suspicion testing: Attach form "DOCUMENTATION OF
REASONABLE SUSPICION" SIGNED BY SUPERVISOR WHO MADE
OBSERVATIONS LEADING TO DECISION TO REQUIRE TESTING.
Date/time report prepared:
Employer:
Supervisor preparing report:
Time, date and location of triggering event:
Driver name:
Social Security #
Reasonable Suspicion testing:
Alcohol testing is authorized only if the observations are made during, just
preceding, or just after the period of the workday that the driver Is required
to be in compliance with 49 CFR Part 382.
Breath Alcohol testing must be performed as soon as practicable and within two (2) hours following
the determination that the employer has reasonable suspicion to believe that the driver has violated
the prohibitions of subpart B of 49 CFR Part 382.
Reason alcohol test was not performed within 2 hours:
If breath alcohol test was not administered within eight (8) hours following the determination that the
employer has reasonable suspicion to believe that the driver has violated the prohibitions of subpart B
of 49 CFR Part 382, the employer will cease attempts to administer an alcohol test and explain the
reason(s) the test was not administered.
Reason alcohol test was not perfonned within 8 hours:
If blood alcohol testing could have been completed within eight (8) hours specify below the
name, address, and telephone number of the testing site where blood testing could have
occurred:
Name of testing facility:
Address:
Telephone:
Reason controlled substance test was not administered following detennination that the
, . ".; employer has reasonable suspicion to believe that the driver has violated the prohibitions of
subpart B of 49 CFR Part 382.
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DOCUMENTATION OF REASONS DOT CONTROLLED SUBSTANCE
TEST AND ALCOHOL TEST WAS NOT PERFORMED WITHIN THE
REQUIRED TIME LIMITS
Date/time report prepared:
Employer:
Supervisor preparing report:
Time, date and location of accident:
Driver name: Social Security #
Fatality: (yes) (no) Moving violation citation: (yes) (no)
Treatment of injury away from scene: (yes) (no) Tow-away of vehicle: (yes) (no)
Post-accident testing:
Breath Alcohol testing must be performed as soon as practicable and within two (2) hours following
the accidentU:
Reason alcohol test was not performed within 2 hours:
If breath alcohol test was not administered within eight (8) hours following the accidentU, the
employer will cease attempts to administer an alcohol test and explain the reason(s) the test was not
administered.
Reason alcohol test was not performed within 8 hours:
If bloo.d alcohol testing could have been completed within eight (8) hours specify below the
name, address, and telepho.ne number of the testing site where blood testing could have
occurred:
Name of testing facility:
Address:
Telephone:
As soon as practicable and within 32 hours following an accident" a controlled substances test must
be administered. If a controlled substance test is not administered within 32 hours following the
accident.. the employer will cease attempts to administer the test and explain the reason(s) the test
was not administered.
Reason controlled substance test was not administered within 32 hours:
U.:e CFR 382,:D;3 requires .alcohol and controlled substance testing for each surviving driver following an accident (1) who was perfonning safety-
sensitive functions with respect to the vehicle, If the accident Involved the loss of human life; or (2) who receives a citation under State of local law
for a moving violation arising from the accident..
UFHWA defines an accident in 49 CFR ~.5 as .an occurrence involving a commercial motor vehicle operating on a public road which results in:
(i) A fatality; (ii) Bodily injury to a person who, as the result of the injury, immediately receives medical treatment away fonn the scene of the
accident; or one or more motor ,vehicles incurring disabling damage as a result of the accident, requiring the vehicle to be transported away fonn the
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Alcohol Misuse and Controlled Substances Use
Policy and Proced~res for Drivers
This policy specifically addresses the requirements of the U. S. Department of Transportation, Federal
Highway Administration, Motor Carrier Safety Regulations, 49 CFR Part 382.601, "Motor carrier
obligation to promulgate a policy on the misuse of alcohol and the use of controlled substances".
This policy, along with other educational materials, will be distributed to each driver required to have a
Commercial Driver's License (CDL) prior to the start of alcohol and controlled substances testing under
49 CFR Part 382. Each driver subsequently hired or transferred into a position that requires driving a
commercial motor vehicle will receive a copy of this policy.
General Statement of Employer Policy
This company is committed to providing our employees a safe and healthy work environment that is free
from the effects of illegal drug use and the misuse of alcohol. The effects of misuse of alcohol and drug
abuse cost the American economy billions of dollars in lost productivity, increased absenteeism, injuries
and increased potential for accidents.
The safety of the public is always our primary concern. It is the policy of this company to comply with the
requirements for U.S. Department of Transportation drug and alcohol testing regulations for our CDL
drivers. The unlawful use or possession of alcohol and controlled substances are prohibited.
Violation of this policy or U.S. Department of Transportation Federal ,Motor Carrier Safety Regulations
may result in disciplinary action up to and including tennination.
Drug Use, Sale, Possession
The illegal use, sale, manufacture, distribution, or possession of narcotics, drugs or controlled
substances, while on the job or on company property, by any employee is a dischargeable offense.
Employees, their possessions and the company-issued equipment and containers under their control are
subject to search and surveillance at all times while on company premises or on company business. Any
illegal substances will be turned over to the appropriate law enforcement agency and may result in
criminal prosecution.
Arrest and Conviction for Drugs
Pursuant to Federal law, any employee convicted of any criminal drug violation occurring in the work
place must report such conviction to their manager within five (5) calendar days of such conviction.
Furthennore, a conviction or nolo contendere plea for off-the-job drug activity will be considered a
violation of this policy.
Person Designated to Answer Questions Regarding this Policy
I Telephone number has been designated to
answer employee I driver questions regarding the employer's Controlled Substances (Drugs) Use and
Alcohol Misuse Policy and procedures for testing.
1
i ," :
Categories of Drivers Subject to Testing
Drivers who are required to have a Commercial Driver's license (CDL) must submit to alcohol and
controlled substances tests as specified in 49 CFR Part 382. Specifically, any driver who drives a motor
vehicle with a gross combined weight rating of 26, 001 or more pounds inclusive of a towed unit with a
gross vehicle weight of more than 10,000 pounds; with a gross vehicle weight rating of 26,001 or more
pounds; designed to transport 16 or more passengers (including the driver); or of any size that is used to
transport hazardous material that requires the vehicle to be placarded under the hazardous materials
regulations.
Information for Drivers Regarding Performing Safety Sensitive Functions
All employees who are required to possess a Commercial Driver's License are prohibited from using
alcohol while performing safety sensitive functions and are prohibited from performing safety sensitive
functions within four (4) hours of using alcohol.
A driver who has been using drugs or has tested positive for drugs shall not report for duty or remain on
duty when his or her job requires performing safety sensitive functions.
A driver who has tested positive for drugs or alcQhol must be evaluated by a Substance Abuse
Professional (SAP) and have a negative "retum to duty" test before performing any safety sensitive
function.
A driver is performing a safety sensitive function when required to operate a commercial motor vehicle,
be immediately available to operate, or be in readiness to operate a commercial motor vehicle (CMV).
This includes:
· All the time at a carrier or shipper plant, terminal, facility or other property, or on any public property,
waiting to be dispatched unless the driver has been relieved from duty by the motor carrier;
· All the time inspecting, servicing, or conditioning any commercial motor vehicle;
· All the time driving the commercial motor vehicle;
· All the time being in or on the commercial motor vehicle except when resting in a sleeper berth;
· All the time loading or unloading a CMV, supervising or assisting in the loading or unloading,
attending a vehicle being loaded or unloaded, remaining in readiness to operate the vehicle, orin
giving or receiving receipts for shipments loaded or unloaded;
· All the time performing duties required by drivers relating to an accident as stated in 392.40 and
392.41 ;
· All the time repairing, obtaining assistance, or remaining in attendance upon a disabled vehicle.
Prohibited Conduct
Drivers are prohibited from reporting for duty or remaining on duty that requires the performance of
safety sensitive functions while having alcohol concentrations of 0.04 BAC or greater.
Drivers are prohibited from performing safety sensitive functions within 4 hours of using alcohol.
Drivers are prohibited from using alcohol while performing a safety sensitive function.
When required to take a post-accident alcohol test, drivers are prohibited from using alcohol for eight (8)
hours, or prior to undergoing the alcohol test, whichever occurs first.
Drivers are prohibited from possessing alcohol while on duty or operating a commercial motor vehicle
unless the alcohol is manifested and transported as part of a shipment.
2
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Drivers are prohibited from refusing to submit to alcohol and / or controlled substance testing required by
U,S. Department of Transportation Motor Carrier Safety Regulations. 49 CFR Part 382. Refusal to
submit includes:
· Failure to provide adequate breath for alcohol testing without a valid medical explanation from a
physician;
· Failure to sign Step 2 of the U.S. DOT Breath Alcohol Testing fonn;
· Failure to provide adequate urine for controlled substance testing within a reasonable time without a
valid medical explanation from a physician;
· Engaging in conduct that clear1y obstructs the alcohol testing process or the specimen collection
process for controlled substances tests;
· Failure to remain available following an accident which requires post-accident testing.
Drivers are prohibited from reporting for duty or remaining on duty requiring the perfonnance of safety
sensitive functions when the driver uses any controlled substances, except when prescribed by a
physician who has advised the driver that the substance will not adversely affect the driver's ability to
safely operate a commercial motor vehicle.
Drivers must report the use of any therapeutic controlled substances to the employer before reporting to
duty.
Drivers are prohibited from reporting for duty. remaining on duty or perfonning a safety sensitive function
if the driver tests positive for controlled substances.
Circumstances under which a Driver will be Tested for Alcohol and I or Controlled
Substances
Pre-employment testing for Controlled Substances
All drivers will be tested for controlled substances prior to final consideration for employment. The
employer may elect not to administer pre-employment controlled substance testing if the exceptions
listed in 49 CFR Part 382.301 (c) and (d) are met.
Post-Accident testing for Alcohol and Controlled Substances
Whenever a driver is involved in an accident the driver must promptly notify the company. It is
the responsibility of the driver to report the loss of human life or the issuing of a moving
violation citation and to remain available for alcohol and controlled substance testing. Whenever
a driver is required to submit to post-accident testing the instructions of the company must be
followed. It is required that the driver have the alcohol and controlled substances tests
administered promptly.
As soon as practicable following an accident involving a Commercial Motor Vehicle each sUlViving driver
who was perfonning safety sensitive function must submit to alcohol and controlled substances testing if
the accident involved the loss of human life or if the driver received a moving traffic violation citation
under State or local law and one or more of the vehicles had to be towed away from the scene or there
was bodily injury to a person who required medical treatment away from the scene of the accident.
Drivers subject to post-accident testing must remain readily available for alcohol and controlled
substances testing or may be deemed by the employer to have refused to submit to testing. However,
nothing in this section shall be construed to require the delay of necessary medical attention for injured
persons following an accident or to prohibit a driver from leaving the scene of the accident for the period
3
necessary to obtain assistance in responding to the accident or to obtain necessary emergency medical
care.
Alcohol testing shall be performed within two (2) hours following the accident. If the test is not performed
within 2 hours the employer must document the reasons the alcohol test was not promptly administered;
if the alcohol test is not performed within eight (8) hours following the accident, the employer will cease
attempting to administer the test and prepare a record documenting why the test was not administered.
Controlled substance testing required by this section must be performed within 32 hours following the
accident. If the specimen for controlled substance test is not collected within 32 hours the employer must
cease to attempt administering the test and must prepare a document stating the reasons the test was
not promptly administered.
Random testing for Alcohol and Controlled Substances
The company will administer a Random testing program for Controlled Substances and Alcohol at
percentage rates specified by the Federal Highway Administration for the current calendar year.
All drivers will be included in the random testing pool for each testing cycle. The random testing selection
process used by this company is a scientifically valid, computer-based random number generator. Under
this process, each driver has an equal chance of being tested each,time a selection is made.
All random testing will be unannounced. When a driver is notified of selection for random controlled
substances (drug) testing and lor alcohol testing, the driver must proceed immediately to the testing site.
A driver will only be tested for alcohol while the driver is performing safety-sensitive functions, just
before the driver is to perform safety-sensitive functions, or just after the driver has ceased performing
such functions.
Reasonable Suspicion Testing for Alcohol and Controlled Substances
A driver must submit to reasonable suspicion testing for alcohol and I or controlled substances (drugs)
when a supervisor or company official, who is trained in accordance with 49 CFR Part 382.603.,
determines that there is reasonable suspicion to believe that the driver has violated the prohibitions of
listed above based on specific, contemporaneous, articulable observations concerning the appearance,
behavior, speech or body odors of the driver. The mere possession of alcohol does not constitute the
need for reasonable suspicion testing. A written record of the observations leading to reasonable
suspicion testing shall be made and signed by the supelVisor or company official who makes the
observations.
Reasonable suspicion alcohol testing is authorized only if the obselVations are made during, just before,
or just after the period of the work day the driver is required to be in compliance with 49 CFR Part 382.
Reasonable suspicion controlled substances testing may also be based on observations which include
indications of chronic and withdrawal effects of controlled substances.
If reasonable suspicion alcohol testing is required and is not administered within two (2) hours following
the determination, the employer shall document the reason the alcohol test was not promptly
administered. If the reasonable suspicion alcohol test is not administered within eight (8) hours following
the determination, the employer will cease attempts to administer the test and document the reasonS for
not administering the test.
A person designated by the employer will escort any driver determined to require reasonable suspicion
testing to the testing facility and remain at the testing facility until the appropriate testing has been
completed.
4
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Return to duty Testing for Alcohol and Controlled Substances
Before any driver who has engaged in conduct prohibited py 49 CFR Part 382 concerning alcohol returns
to duty, that driver shall undergo a return to duty alcohol test with a result indicating an alcohol
concentration of less than 0.02%.
Before any driver who has engaged in conduct prohibited by 49 CFR Part 382 concerning controlled
substances returns to duty, that driver shall undergo a return to duty controlled substances test with a
result indicating a verified negative result for controlled substances use.
In the event a return to duty test is required, the driver must also be evaluated by a substance abuse
professional ( SAP) and participate in any assistance program prescribed.
Follow-up testing for Alcohol and Controlled Substances
Following the determination that a driver is in need of assistance in resolving problems associated
alcohol misuse and / or use of controlled substances, that driver shall be subject to unannounced follow-
up alcohol and / or controlled substances testing as directed by the substance abuse professional.
The driver shall be subject to a minimum of six (6) follow-up tests in the first 12 months. Follow up
testing may be extended for up to 60 months following return to duty.
Controlled Substances (Drug) Testing Procedures
.' All controlled substances (Drug) testing conducted as required under 49 CFR Part 382 will comply with
49 CFR Part 40, Procedures for Transportation Workplace Drug and Alcohol Testing Programs. These
procedures require that the controlled substances testing is perfonned by a laboratory certified by the
Substance Abuse and Mental Health Services Administration (DHHS).
Drug testing is limited to testing for Marijuana (THC), Cocaine, Opiates, Amphetamines and
Phencyclidine (PCP). 49 CFR Part 40 specifies the protocol to be followed for all DOT testing to protect
the driver, assure the integrity of the testing, safeguard the validity of the test results and ensure that
those results are attributed to the correct driver. -
All controlled substances testing will require the driver to submit a minimum of 45 ml of urine. The
Federal Drug Testing Custody and Control Fonn will be used to document the collection process. All
specimens will be split at the collection site into two (2) specimen bottles and sealed in the presence of
the donor. Both bottles will be sent to the laboratory. The primary specimen will be tested.
All results will be sent from the laboratory to the employer's Medical Review Officer (MRO) who will
contact the driver to discuss any confinned positive test results before reporting to the employer. In the
case of a verified positive controlled substance test, the Medical Review Officer will notify the driver that
he/she has 72 hours to request that the Medical Review Officer direct that the split sample be tested at a
different DHHS certified laboratory. The second laboratory will test for the presence of the drug(s) for
which a positive result was obtained in the primary specimen. The cost of the retest will be paid by the
employee/applicant requesting the retest.
If the result of the test of the split specimen fails to confinn the presence of the drug(s) found in the
primary specimen, the MRO shall cancel the test and report the cancellation to the driver and the
employer.
"
,"
The Medical Review Officer will make reasonable efforts to contact the driver to discuss positive test
results. If the MRO is unable to contact the driver, the MRO will contact the employer and ask that the
5
employer instruct the driver to contact the MRO as soon as possible and the employer will document that
instruction. The Medical Review Officer may verify a positive test result without contacting the driver if
the driver does not contact the MRO within 5 days of documented contact by a management official
instructing the driver to contact the MRO. .
Drivers may present the MRO with information explaining a positive test result. If the Medical Review
Officer determines that there is a legitimate explanation, the MRO will report the drug test result as
negative.
Alcohol Testing Procedures
Alcohol screening and confirmation testing required by 49 CFR Part 382 will comply with 49 CFR Part
40, Procedures for Transportation Workplace Drug and Alcohol Testing Programs. Breath alcohol testing
procedures include:
· Use of the 3 Part color coded DOT Breath Alcohol Testing form;
· Positive ID of the subject;
· Subject required to sign the certification in Step 2;
· Results of an alcohol screening test of less than 0.02 BAC is a "negative" test and requires no
further testing;
· Results of an alcohol screening test equal to or greater than 0.02 BAC, require confirmation using a
Evfdential Breath Testing Device (EBT) which meets the criteria specified in 49 CFR Part 40;
· A minimum waiting time of 15 (maximum time 30) minutes must elapse following an alcohol
screening test of .02 or greater before the confirmation test can be performed;
· If the screening test result and the confirmation test result are not.identical, the confirmation test
result is deemed to be the final result upon which any action will be taken.
Consequences to Drivers Engaging in Conduct Prohibited by the Federal
Highway Administration's Drug Use and Alcohol Misuse Rules
Drivers who are known to have engaged in prohibited behavior, with regard to alcohol misuse or use of
controlled substances, are subject to the following consequences:
· Drivers shall not be permitted to perform safety sensitive functions;
o Drivers shall be advised by the employers of the resources available to them in evaluating and
resolving problems associated with the misuse of alcohol or the use of controlled substances;
· Drivers shall be evaluated by a substance abuse professional (SAP) who shall determine what
assistance, if any, the employee needs in resolving problems associated with alcohol misuse and
controlled substance use;
· Before a driver returns to duty requiring the performance of a safety sensitive function. he/she shall
undergo a return to duty alcohol test with a result indicating a breath alcohol level of less than 0.02 if the
conduct involved alcohol, or a controlled substance test with a verified negative result if the conduct
involved controlled substance use;
· In addition, each driver identified as needing assistance in resolving problems associated with
alcohol or controlled substances shall be evaluated by a SAP to determine that the driver has followed
the rehabilitation program prescribed;
· The driver shall also be subject to unannounced fOllOW-Up alcohol and controlled substance testing.
The number and frequency of such follow-up testing shall be as directed by the SAP, and consist of at
. least six tests in the first 12 months.
6
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Consequences for Drivers Found to Have an Alcohol Concentration of 0.02 or
Greater but Less Than 0.04.
If a driver is found to have an alcohol concentration of 0.02 or greater but less than 0.04 that driver shall
not perionn or continue to perionn safety-sensitive functions, including driving a commercial motor
vehicle. The employer shall not pennit the driver to perionn or continue to perionn safety-sensitive
functions until the start of the driver's next regularly scheduled duty period, but not less than 24 hours
following the administration of the test.
Except as provided in the paragraph above, any action taken by the employer, based on test results
showing an alcohol concentration of less than 0.04, will be under the independent authority of the
employer.
Confidentiality
Except as provided in 49 CFR Part 382.409, the individual test results retained by the medical review
officer shall not be released to any person without first obtaining a specific, written authorization from the
tested driver.
Authorization for the Release of Alcohol and Controlled Substances Test
Information by Previous Employers Required
All driver applicants shall sign a written consent allowing the employer to obtain infonnation concerning
the driver regarding alcohol misuse or controlled substance use from previous employers. This
infonnation shall include: infonnation on the driver's alcohol tests with a concentration of 0.04 or greater,
positive controlled substances test results, and refusals to be tested, within the preceding two (2) years;
and any records pertaining to a detennination by a substance abuse professional concerning a driver's
need for assistance or concerning a driver's compliance with the recommendations of the substance
abuse professional. The employer shall maintain a written, confidential re(;9rd with respect to each past
employer contacted. '
Information Concerning the Effects of Alcohol and Controlled Substances;
Signs and Symptoms of an Alcohol or Controlled Substances Problem;
Intervention, Confrontation and Referral to Management.
The misuse of alcohol and controlled substance use can have effects that can cause physical problems,
including illness and even death. The misuse of alcohol and the use of controlled substances may also
cause problems at work and at home. Some of these may include deterioration of job perionnance,
tardiness and absenteeism, emotional instability, forgetfulness, decreased mental alertness, lack of
ability to concentrate, and increased number of accidents and mistakes.
The employer has attached additional infonnation regarding the effects, signs and symptoms of alcohol
misuse and controlled substance use with each copy of this policy. Infonnation also may be obtained by
calling any of the telephone -hotline- numbers listed below: Employees may also contact the designated
company official listed on page one of this policy for local referral sources.
· 1-800-252-6465 Alcohol and Drug Referral Hotline (use this number to get local chapter infonnation
and numbers for Alcoholics Anonymous)
· 1-800-262-2463 National Cocaine Hotline
, · 1-800-662-4357 National Institute on Drug Abuse-Drug and Treatment Infonnation
· 1-800-344-2666 AI-Anon
Whenever a problem with alcohol or controlled substance is suspected, employees are encouraged to
report the problem to management in order that appropriate action may be taken.
7
9546
Federal Register / Vol. 61, No. 47 / Friday. March 8, 1996 / Rules and Regulations
(,~:::'
\ .:';. ..
DEPARTMENT OF TRANSPORTATION
Federal Highway Administration
49 CFR Parts 382,383,390,391 and
392
(FHWA Docket Nos, MC-92-19 and MC-92-
23]
RIN 2125-AD46
Commercial Driver's License Program
and Controlled Substances and
Alcohol Use and Testing
AGENCY: Federi'll Highway
Adlllinislr<llion (FllWA). DOT.
ACTION: Final rule; technical
amendments,
SUMMARY: The Federal [fighway
Administration is making technical
amendments to its alcohol and drug
testing rules <lnd its regulations
implementing the commercial driver's
license program, The testing rules
require employers to test drivers who
are required to obtain commercial
driver's licenses (CDLs) for the illegal
use of alcohol and controlled
substances. The amendments arc
necessary to correct minor errors in the
final rule. codify fin<ll dispositions of
waivers of the <:ommercial driver's
license progmm, <Iud muke conforming
lIIetrification changes.
EFFECTIVE DATE: This rule is effective
March 8. 1996.
FOR FURTHER INFORMATION CONTACT: For
infomlolion regarding program issues:
Office of Motor Carrier Research and
Standards. (202) 366-1790, For
information regarding legal issues:
Office of the Chief Coun~e)-Motor
C,rrinr Lnw Division. (202) 3GG-{)1l:14,
Federal Highway Administratioll,
Department of Transportation, 400
Seventh Street, SW., Washington, DC
20590. Office hours are from 7:45 a.m.
to 4:15 p.m., e.t.. Monday through
Friday, except Federal holidays.
SUPPLEMENTARYINFORMATHJN:
A final rule published in the Federal
Register on February 15. 1994 (59 FR
7484). added 49 CFR part 382 and made
conforming amendments to parts 391.
392, and 395.
Applicability
Sections 382.103 and 383.3 are being
revised to clarify which driver groups
have been exempted from commercial
driver's license requirements ,and. by
extension. from alcohol and drug testing
requirements. Since the final rule was
published on February 15. 1994.
numerous questions have arisen about
which groups haveoeen granted
waivers from CDL requirements and
how tllOse waivers,apply to alcohol and
drug testing. For cll1rily about the driver
groups exempted from Federnl CDL
requiremenls in September 19a3 (53 FR
:J 7313, Seplember 2G. 19311), lhe FHW A
is amending these sections to no Ie those
groups (farmers. firefighters, lIIilil<Jry
personnel. emergency response
personnel) identified in the waiver
notice of filial disposition. [n the
September 1988 waiver notice, Slotes
were given lhe op,lion 10 exempt these
groups frol1l <III CDL requiremenls.
Drivers ill St<11es which h<1vO exercised
these options do nol have 10 bll tcstud.
Drivers in Slales which have not
exercised these options, but require
Ihose drivers to obtain CDL~, musl be
lesledfor alcohol <1nd drugs under pMt
302.
The FHW A is also amending ~ 383.3'
10 codify part 31.13 exceptions to certain
CDL requinmlCnts for drivers thatmecl
specific conditions in the Stote of
Alaska. in the farm-relaled service
industries or in the pyrotechnics
industry. The final dispositions of the
restricted CDL requirements for, certain
Alaskan drivers. farm-rel<Jted service
industry drivers, and pyrotechnic
industry drivers 11110w Slates to waive
certain requirements for CDL applicants
under certain conditions. These drivers
must still obtain CDLs and will be
subject to alcohol and drug testing by;;
their employqrs. The restrictions placed
on the CDL do not exempt these drivers
from the requiremenls of the alcohol
and drug testing progrnm. For more
information about the State of Alaska.
farm-related service industry. and,
pyrotechnic industry final disposition's,
sea 54 FR :1:12:10. AngulOl 14.1989.57 FR
13(;50, April 17. 1 !1H2. llnd (;0 FR 341111.1.
Juno 30, 1!195.
Definitions
The FHW A is adding definitions in
3382.107 for the terms "controlled
substances;" "disabling damage." and
"licensed medical practitioner." The
definition of controlled substances will
include tile substances tested for in part
40 of this title. The FHWA is copying
the definition of "disabling damage" in
~ 390.5 for placement in ~ 382.107 to
clarify that this definition is to be used
in 5382.303. The FHWA is adding a
definition for "licensed medica]
practitioner" that is patterned after the
~ 390.5 definition of the term "medical
examiner" to state what types of
individuals may prescribe controlled
substances to drivers under 3 382.213.
See the discussion below about licensed
medical practitioners. _
Finally, the FHWA is modifying the
definitions of "driver" and "safety-
sensitive function." "Driver" is being
modified to remove the last sentence
with respect to pre-employment testing.
This change, along with modification to'
pre-employment testing discussed laler
in this document, will allow employers
to conduct pn:-hiro rood testing of
applicants that will ensure the
applicants know how to properly
operate particular equipment of on
employer. "Safely-sensitive function" is
being modified to remove the reference
to the ~ 395.2 On-duty tillle definition
<1nd <1od the text of p<1rt of the oll-dllty
till/I:! delinition in its place. The FHWA
has received Ilumerous comments tlwl it
is difficult for the public to make a cross
reference 10 part 395, especially for
employers not subject to it. Also, in
light of the FliWA's fUlure
recodification of the Federal Motor
C<1rrier Safety Regu lations under its zero
b<1se regu lalory review project, the
FIIW A is removing lIlost cross
referencing within subchapter B of
Chapter 1lI of Title 49. Code of Federnl
Regulations.
Starting Date [or Testing Pr~brams
The FHW A has had numerous
questions as to which testing regulalions
an interstate motor cnrrier is subject 10
when the motor cnrrier begins
operations after Mar<.:h 17. 1994. To
clarify the FHW A's intent in requiring
such an interstato motor carrier to start
drug testing under part 391, the FHWA
is amending paragrnph (c) and adding
paragraph (d) to S 382.115. This will
clarify that employers that begin
commercial vehicle operations after
March 17. 1994. will have until January
1. 1996. to imptement tosting progrnms
required by part 3R2. However. if nn
ulllployur hegins operating in interslate
comlllor<.:e aner March 17. 1994. and
prior to Jnnuary 1. 1996. such an
employer is considered anJnterstate
motor carrier and may be subject to part
391, subpart H. If such an interstate
motor carrier is required to implement
the subpart H testing program, it must
do so immediately. On January I, 1996,
tile motor carrier will modify its drug
testing program to part 382
requirements and add alcohol testing at
that time.
Licensed Medical Practitioner
The FHW A has had inquiries ,
concerning whether drivers, who are
prescribed medications by non-
physicians licensed to dispense
controlled substances in their
jur~sdiction, may take such controlled
substances and not be cO'1sadered to be
in violation of SS 382.213 and 392.4.
Although the terms "medical review
officer" and "substance abuse
, I
! :.: ~....
"
Federal Register / Vol. 61. No. 47 / Friday. March 8.1996 / Rules and Regulations
9547
professional" use the term physician
with a parenthetical describing the type
or physician, the FHWA did not intend
Ihal such a condilion he ilPplied to Ihe
term "physician" in ~~ 382.213 and
392.4. The term "physician" in the
definitions of "medical review officer"
and "sub~tance abuse professional" is
followed by a parenthetical staring
"medical doctor or doctor of
osteopathy." Therefore. the FHW A is
repladng the term "physician" in
!is 382.213 and 392.4 with the term
"Iicensed medical practitioner." A
definition of the term "licensed medical
praclitioner" will be added to ~ 382.107.
A licensed medical practitioner means a
Jlerson who is licensed, certified, andl
or registered, in accordance with
applicable Federal. State. local, or
foreign laws and regulations. to
prescribe controlled substances and
olher drugs. In addition. the FHWA is
removing Ihe footnole to ~ 392.4(a)(1).
The Government Printing Office (GPO)
puhlishes Appendix D to the FMCSRs
and the FHWA believes all individuals
have access 10 the GPO cudified
versions of Appendix D.
Pre-Employment Testing
Thc F1IW ^ is nnwnding !i :1ll2.:101 (:t)
10 clarify that an employer must either
adminisler a pre-employment controlled
slIllstnnces lest for drivers who the
employer intends to hire or use or'
utilize the exception and obtain
spedfied information from previous
employers. An employer which obtains
the information does not have to
ndminister a test. The information may
also be obtnined from third party service
providers thai act as agents for
employers. Regardless of which option
is chosen. an employer must comply
wilh the separate requirements of
~ :11\2.41:110 obtnin certnin prior lesting
information. Of course. all testing
information may be released only
pursuant to Ihe consent of the driver.
Some questions have arisen regarding
whether records prepared by or
obtained from former employers !lbout a
driver's pre-cmployment controlled
substances test results must be retained.
These records must be retained from
one to five years in accordance with
~ 382.401. In order to be absolutely
dear. the FHWA is ndding the words
"..nd retain" to 9 31\2.301 (d)(l) nnd is
adding the types of records required 10
he IIlnintained by 9 3112.301 to 9382.401.
He/en/ion of rt!cnrds. to address Ihese
concerns. Note. however. thaI such
records would only be subject to nn
information request under ~382.413 if
the driver was actually employed or
used as a driver by tho employer. .
Parngmph (dl(2) of 9382.301 is also
being reviseci. The rule text is being
rewrittcn to helter explain lIse of the
pre-emploYlllenttesting exception for
occasional. intermittent, and casunl
drive/"$. A similar paragrnph has heen in
the drug testing rules of part 391 since
the rules were first promulgated. This
paragrnph relieves employers who use
intermittent. casunl. or occasional
drivers on a regular basis (generally for
short periods, such as trip-lease drivers
or drivers called from a union hiring
hnll) from the recJllirement to make the
verifications in ~:1I12.:101(dJ(1) each
time the driver is lIsed by the employer
10 opernte commercial motor vehicles
(CMVs). These drivers may be used as
little as once each quarter or once each
month by an employer. and are
generally in nnother elllployer's lesting
program or are in n union hall's testing
progrnm that conforms to part 40 of Ihis
title.
In response to qllestions regarding thtl
inlent of this section, (he nlWA
helieves tbatthis revision will make the
regulalion more understandahle. When
employer A lIses a driver for the first
time. employer A mllsl verify the
informnlion from forrnor employers In
enslITIlthll dri,'er is actively
participating in n testing program(s).
The driver Illay then work for employeys
B. C. or D. driving CMVs on a short term
basis. or return to driving on a regular,
basis for it regular employer. If the '
driver returns to employer A to operate
a CMV wilhin six monlhs of the
previous verification. no verification of
the information or pre-employment test
is needed. If the driver relurns to drive
a commercial motor vehicle for
employer A more than six months after
employer A last verified the infolJT1ation
os requirnel under ~ 3111.301(d)(l).
employer A must agoin verify and
record,that the driver is participating in
a DOT agency testing program using
part 40 procedures.
Post-Accident Testing
The FHWA is clarifying that drivers
involved in acddenls. as defined in
~ 390.5. ore subject to post-accident
testing. Despite the general cross
reference to 9390.5 in 9382.107, mony
people appear to he unclear about whnt
types of nedelonls nlquire a test.
Thcmrore. till! FIIW ^ will include thll
deflllitiou of"disllhling dalllagc"to
~ 31l2.107. revise the introductory
phrase of ~ 3112.30:I(a). add a clarifying
phrase to ~ 31\2.303(a)(2) that comports
to tho slyle of ~ 382.30:1(a)(1), and add
~ 382.30:1(,,)(3), n tahle to note when a
posl-accident test ii; required.
Ranuom Testing
On December 2.1994. the FlIWA.
along wilh otber DOT agencies,
published 0 finol rule in the Feuer,,[
Register (59 FR 62218) :lllowing the
agencies' Administrators to adjust the
random drug testing' rates based on
information obtained by the respective
agencies in Iheir drug lesling
management information system
reports. The agencies. generally, require
certain employers to submit a report
covering their drug testing program for
a calendar year. The FHWA has
randomly selected a sample of interstate
molor carriers in the past and will make
random selections of employers subject
to part 382 in the future.
The FHWA included in the December
2, 1994. rule toxl of 3 382.305(1) an
example of when the FHWA
Administrator mny lower Ihe random
drug testing rale. The exam ph:
incorrectly stated thatlhe Federnl
Highway Administrator will have the
first opportunity. based on reported
dala, to reduce the random drug lesting
rate in 1997. In fact. os stated in lhf)
DOT common preamble, Ihe FHWA
lesting ratc may first be reduceu in
HI!1Il. Recodified pnrngrnph (g) of
!i :11I2.:105 is rovised nccllrdingly.
Second, the rule ch:lnged the words
"average numher of driver positions" in
~ 382.305(a) to "number of drivers ench
selection period." This change was
unintentionol. Since the change was
unintentional. paragraph (a) is revised
accordingly. The revised rule is
corrected using the original words
"average number of driver positions." ,
Third, omployers have said that they
believed they were not required to have
a random testing program. since the
random testing section does not
specifically state that employc/"$ nre
required 10 have one. The FHWA,
therefore. is adding clarifyi,ng language
to 9 382.305(a) that states every
employer must have a random testing
program and every driver shall submit
to random testing.
, Finally. employers have asked
whether S 382.305(k). recodified as
S 382.305(1), prohibits a driver from
driving a commercial motor vehicle to a
testing collection site after notificalion.
The FHWA's intent in requiring an
employer to ensure that the driver
conses to perform snfflty-scmsitivll
fUI\(:liolls prior to proceeding to tJIIl
collection situ was 10 allow Ihe driv()r to
finish n tnsk thnt may nffoct workplace
safely, e.g.. lowering a load on a forklift .
prior to leaving the forklift or finishing
the securement of a load prior to
proceeding to the collection site. The
FHWA did not intend for the random
, I
954U
fcderal Register / Vol. 61. No. 47 / Friday. March 3. 19\.J(j / I{\lles and Regulations
l~:
t..
testing rule proviso in paragraph (k) to
include driving a commercial motor
vehicle to a collection site to provide a,
breath. saliva. or urine sample. A
prohibition from using such a vchicle to
Imvelto a collection sile is not '
reasonable 10 the flIW A when tlwre is
no reasonable suspicion to suspect the
driver is \Ising a 11;0110 I or COil trolled
substances. Therefore. the FHWA will
allow a driver to drive a commercial
motor vehicle toa collection site aner
being notified of the driver's mndom
selection. This will include allowing II
driver to be notified en route to proceed
10 a collection site en route. However.
the FliW A wi II not allow an elll ployer.
who has notified a driver of a mndom
test selection. to permit or require the
driver 10 complete a trip or dispatch Ihe
driver 011 another trip prior to the driver
providillg the appropriate sample or
spccill1l1n althe collet.1ion site(s) for Ihe
r;lI1dOlll testing requirement. Of course.
if un a koholtest rusu It of 0.02 or greater
a/c:ohol c:ollcl1nlration is obtained frolll
this en routl! mndom testing. the driver
is prohibited frolll completing all trips.
Recodified paragmph (I) of S 382.305 is
revised accordingly.
Computation of the Average Number o[
Driver Positions [or Random Testing
The FIiWA eXplained how to
compute 1111: avemge number of driver
positions for the old drug testing
progmm on the February 1. l!l90 (55 FR
3546. at 3549). For clarity IInd to IIssist
those employers that were not subject to
the old drug testing program l,Jnder 49
CFR part 391, the FHWA is reprinting
this discussion. .
The FHWA realizes that there are
fluctuations in an employer's CMV
driver work force which will make an
accurate computation of 0 testing rate
difficult. An employer's random lesting
program plan should take into. accaunt
these fluctuations by estimating the
number afrandam tests needed to. be
perfonned over the course of the year.
If the emplayer's CMV driver work farce
is expe<.ied to he relatively canstant
(Le., the total number af CMV driver
positions are IIpproximately UJe samo ar
changes at a relatively constanl rate),
then the number of tests to. be perfonned
in any given year cauld be determined
by multiplying the average number of
CMV driver p'ositions by the testing rate.
However. If there are large
fluctuations in the number afCMV
driver positions throughautthe yenr
without any dear indicatian af the
average number of CMV driver
pasitions, the emplayer should make a
reasonable estimate of the number of
CMV driver positions. After making the
estimate. the empJoyer should then be
;"..
able to. determine the number of tests
necessary. The total random tests taken,
far the year. however. plust equal or
exceed the average number of CMV
driver posilions'(forcalend:lr years 1996
alld 1 !J97. 50% far contralled suhslances
testing alld 25% {or akoholtestingl.
For example. if an employer decided
to perform rnlldOl1\ selectiolls four tillwS
a year. the number of tests to be
performed during each of the testing
periods (T) must equal or exceed 50%
(25% for alcohol) of the numher of CMV
driver posilio.nseligihle to be tested (0)
divided by the nUl1\her of tesl jJl:riods
per year (P). As a formu la. the
controlled substances forl1\ula may he
expressed as:
l)
T = 500/(' x -
p
The alco.hol fOrlllula l1\ay he
expn:ssed i1S:
D
T = 25%x-
I'
Atthe time of selecting Ihe
individuals to. be tested. the employer
determined that there were an lIverilge
af Go. CMV drivers eligihle for testing
during the periad cavered hy the
February tesl, 110 CMV drivl:rs in May.
100 CMV drivers ill ^UI;lIsl. and 7U
CMV drivers in Novemher. Using Ihe
formulas given above. the employqr
wauld have to perfaml 8 controllc'd
substances tests and 4 IIkoholtests in
February (50% [25%) times GO dh'ided
by 4 equals 7.5 controlled substances
(3.75 IIlcoholtests) and rounding lip to.
the nearest whole numoer ). 10
controlled substances (5 alcohol tests) ill
May, 13 tests (7 alcohol tests) in August.
and 9 tests (5 alcohol tests) in November
for n total af 40 contralled substances
and 21alcahal tests.
Hawever, throughout the year the
employer,needed to. perform 39
controlled substances (20 alcahol) tests
in arder to. assure testing at the 50%
(25%) rate. This figure was camputed
using tho s.1me fannula wilh 0 equl1lto
the summation of the Ilumber af drh'ers
eligible for testing in each of the
selc<:tian peri ads
(D=60+80+100+70:310 CMV drivers),
and by ,campleting tho formula. T=50%
times 310 divided by 4=38.75) and
raunding up to. the nearest whole'
number, 39. Far IIlcohol testing, 1'=25%
times 310 divided by 4=19.375) and
rounding lip to the nearest whole
number, 20. In these examples. the
emplayer could perfaml one less
controlled substances test and one less
alcahaltest ill the last testing period.
Since ~MV dri~er populatians may
vary dUring any given period in a year.
an emplayer who. only conducted
random testing during low CMV driver
periads would 1I0t be able to meetll1e
50':.{, and 25% random testing ralios,
The employer's random testing
polit;y/plan must he doculIlented. The
FIIW A emphasizos thnl oileh SCll,c1iull
fur random testing lIlust include 01/
CMV drivers to whom the final rule
applies, regardless of whether or not the
CMV drivers have been tested in {he
past. This would include individuills
who do not regularly drive CMVs (such
as clerks. mechanics, supervisors.
officials). but arc expected hy the
cmployer to. be immediately available to
perfarm the safety-sensitive function or
driving a CMV, as defined in 5382.107,
for the employer. It is quite likely wilh
a large driver turnaver rate that an
employer, over the caurse af the yeM.
will be omploying/using marc CMV
drivcrs than there lire CMV driver
positions. In deteflnining the numher of
tests, an emplayer should use the
number af CMV driver positions, nul the
number af CMV drivers used/employed
during the testing period.
To. illustrate using the previous
example. in the February selection
(which represents the qUl1rter January 1
through March 31), the emplayer
dlllerminod thnt there were an avorilgt,
of GO CMV driver positions. Howevur.
during the sallie quarter (at least up to
tho date the employer perfanned the
random selection afCMV drivers to be
tested, say February 12) the emplayer
used/emplayed a tatal of 75 individuals
as CMV drivers or persons expected to
be CMV drivers. Of these 75
individuols, 15 were IlO longer used uy
the employer at the time the selectian
was made (Feuruary 12). As nated
oarlier. eight individuals will be
selected for controlled substllnces
testing and four individual:. will be
selected for alcahal testing.
Training Supervisors for Reasonable
Suspician Testing
ThcFHWA has leamed that some
employers and drivers believe that only
'certain supervisors of a driver are .
required to. be trained in techniques of
determining reasonable suspicion of
alcahol and drug use or that this is
suhject to coUeclive bargaining. The
intent afthe FHWA was, however. to
require that all persans designated to
supervise drivers be trained under
!i 382.603. Sectian 382.307 is being
amended to clarify this requirement.
The current rule at S 382.401(b)(2)
may also be interpreted to. allow
emplayers to discard documents
praving that supervisors had received
, I
=
Federal Register / Vol. 61, No. 47 / Friday. March 8. 1996 / Rules and Regulations
9549
Iraining to determine whether
reasonable suspicion exists to conduct
alcohol and controlled substances
testing two years after beiilg trained.
The FHW A believes it is necessary to
maintain documents related to such
training during the entire period for
which a supervisor is authorized to
make such determinations. Il was the
FHWA's intent to allow employers to
discard such training records two years
after the supervisor leaves the employer
or ceases to perform tho tasks requiring
the training. The FHWA, therefore. is
clarifying the record retention
requirements in ~ 382.401(b)(4) for all
persons who are required to be trained
or educated under tho rules, such as
collection site personnel. breath alcohol
technicians, screening test technicians
and supervisors.
Record Retention Requirements
The FHWA is revising the record
retenlion section to clarify certain .
requirements and to add itcms that were'
included in part 391 requirements for
dntg testing but inadvertently left out of
the part 382 regulations.
The FHWA is clarifying that
~ 382.401(b) is meant to note the time
periods for which records must be kept
and 5 382,401 (c) is meant to specify
most of the records that must be kept.
The FHW A declines to list every record
that could be generated in an alcohol
and drug testing program. The FHWA's
. :.~ ~~~~~~:~. intent. ho\vever, is that all records that
are generated by an employer or its
llgents ill the administration of Iho
tll:iting program must he maintained to
the $OIlIIC cxtent llS required in part 3D1.
Administrative records are required to
he maintained for a minimum of five
years under S 391.87(d). The FHWA is
adding an item to ~ 38Z.-iOl(b) noting
that administrative records must be
: maintllined for the same time period.
A new paragraph, S 382.401(e). is also
buing added to note the locations in the
ntle of information collection
requirements required by part.382. The
FHW A believes tbat tbis provision will
allow the public to easily locate those
rule sections wh!ch require documents
to be prepared and maintained.
Medical Review Officer Notification to
the Employer
The FHW A also has received
numerous questions regarding the new
requirement that signed. writlen
notifications of the results be sent from
lhe MRO to lhe employer. Many MROs
hav.e asked whelher their staff may .sign
the reports. and if not. whether the MRO
signature may he handwritten, mhbor
stamped, or electronically produced.
Th~se MROs stated that requiring Ihem
~~.. ....
to personally si~n written reports of
neglltivc test resultsy.,ould be uxtremely
burdensome. The FIlWA's intent with
the new requiremen'( ~vas to get reliable
information concerning positive and
negative test results into the hands of
the employer,and avoid communication
problems from occurring over Ihe
telephone. Some employers have stat~d
that they have heard the MRO say
"negative," when in fact. the MROs
records indicate the driver was verified
posilive for illeglll controlled substances
use.
The FHWA will continue to require
that all test results be forwarded to the
employer in wriling and be signed by
the MRO within three business days
after complelion of the verification of
test results. (Note that the Office of tbe
Secretary of Transpartation's Drug
Enforcement and Program Compliance
office has held, under ~ 40.33, that
positive test result verifications may not
be completed lIl/til part 2 of the Fedeml
Clls/ody and Control Form is received
by the MRO from the labora/ory.) Some
consortia have reported that MROs
never receive their cop'y from the
collection site, Copy 4. of the Federal
Custody and Control Form. The FHWA
would expect in these circumstances
that the MRO would contact the
collection site or the employer 10 obtain
a photocopy of their copy of the form,
Copies 6 or 7 in order 10 complele the
verification process for bolh negatives
and positives.
To fllcilitnte trnnsmittnl of
informalion. ~ 31l2.407(a) is heing
dlanged 10 IIl10w MRO:i to notify
employers using II logible photocopy of
the fourth copy of part 40's Appendix A
subtitled COpy 4-,SEND DIRECTLY TO
MEDICAL REVIEW OFFICER-DO NOT
SEND TO LA BORA TORY of the Federal
Custody and Control Form. This copy
may be used in lieu of producing a new
record to make the signed, written
notificalion to the emplqyer, provided '
that for verified positive test results the
controlled substance(s) identified and
verified as positive shall be legibly
noted in the remarks section for step a.
If a Copy 4 is used, the MRO must sign
his or her name on tbe form.
The MRO shall forward the test
results and other information required
by ~ 382.407(a) within lhree business
days after the completion of the MRO's
review of the lest result and the MRO
must sign his or her name on positive
notification records. The FHWA does
not believe a driver should be subject to
the consequences of the rule based on
results that are not signed by a MRO.
Therefore, the MRO's signature must he
handwritton by tho MRO. The MRO's
staff wi II not be allowed 10 sign or
robber stamp verified positive test
results for the MRO.'The MRO's stnff,
however. would be allowed to rubber
slamp negalive lest results for the MRQ
when the MRO delegates such authority
to the MRO staff. Allhis lime, Ihe
FHWA shall not allow electronic
signature lechnology to be used. If.SllCh
electronic signature technology is
considered in the future, the public will
be provided an opportunity to comment
on such a proposalal that lime.
Inquiring for Alcohol and Controlled
Substances Infonnalion From Previous
Employers
The F'liWA has had numerous
questions about the new requirement to
obtain prior positive testing information
from former employers. Many questions
have arisen about the good faith effort
discussed in the preamble and about
other provisions of the section. Also.
since publication of the alcohol and
drug lesling rule, Congress enacted
legislation rl::quiring interstate Illotor
c.arriers subject to S 391.23 to obtain
safety information from former
employers of drivers similar to that
required under 5382,413 (Hazardous
Mate~ials Transportation Authorization
Act of 1994 (HazMat Act), Pub. L. 103-
311. sec. 114). The FHWA will provide
notice and an opportunity for comment
i in a future rolemaking on S 391.23 about
" possible conforming changes to
, S 382,413.
, Section 382.413 requires the sharing
of information on certain violations of
pan 3H2-positive drug lest results,
nfcohol results of O.(J4 alcohol
concentration or greater, and refusals to
be tested. It should be noted thlltthe
records required to be obtained under
S 382.413 are limited to only those
records generated under part 382 after
January 1, 1995. See paragraph (h).
Employers are expected to request the
information from former employers as
soon as the employer expecLo; to use/hire
the driver to drive or perform otber
safety-sensitive functions.
The rule continues to require that, if
feasible, the employer obtain the
information prior to the first
performance of ~afety-sensitive
functions by a driver. If obtaining the
information prior to the driver's first
performance of safely-sensitive,
functions for the employer is not
feasible, the information should be
obtained as soon as possible, but not
more than 14 days later. If a driver
leaves a new employer before tho new
employer obtains fhe information, th,e
new employer must continue to aHempt
to oblain tho information. In response to
inquiry on this point, a clarifying
amendment to S 382,413(b) expressly
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limits this 'provision to drivers actually
hired and used by the employer to
perform safely-sensitive functions. A
prospective employer need not obtain
the information from an employer
which tested but did not hire a driver.
This is consistent with ~ 391.21, which
requires drivers to list only previous
employers. However, a prospective
employer may request the information if
it chooses to obtain the information.
In another clarifying change,
~ 382.413(a)(2) is being added to explain
that a new employer may obtain from a
former employer information on all
records of that employer relevant to
~ 382.413(a)(1) (i)-(iii). This includes
not only that information recorded as
the result of the driver's violalions of
the rules by that former employer, but
also any records of violalions within the
past two years which the former
employer obtained from other former
employers. For example, Sue Driver is
applying for a job with ABC Trucking.
Ms. Driver notes on her appliClltion that
she previously drove CMVs for three
omployers-DEP City Schools. XYZ
Airlines. and the Minnesola DOT
(MnDOT). ABC Trucking obtains from
Ms. Driver three wrilten authorization
requests to obtain information required
by 5 382.413(a)(1) and transmits them to
the three employers. In response to the
request, DEF City Schools transmits all
the relevant information it has on file,
including not only the information
resulting from tests it administered, but
also all the information it has in its files
from XYZ Airlines and the MnOOT. if
any, which it had obtained pursuant to
~ 382.413 and which referred to tests
occurring during the past two years. No
information beyond the two year period
is required to be obtained. ABC
Trucking would then have a complete.
perhaps overlapping, picture of Ms.
Driver's testing and violation history.
ABC Trucking may, in turn. pass this,
information along to the next employer
with the information ABC develops
from Ms. Driver's ABC Trucking
employment, provided it falls within
the two year time period.
New and prospective employers
should ensure that Ule driver's wrilten
consent authorizes former employers to
disclose aU prohibitions listed under
S 382.413(8)(1), thot occurred within the
previous two years, oC which the Cormer
employer has knowledge. Otherwise, a
former employer may be prohibited by
~ 332.405(0 from passing along to the
inquiri~g employer any ~ 382.413(a)(1)
information that was ol:itained from .
another previous employer. .section
382.405(0 states that records under part
382 may only be released to a
subsequent employer upon receipt of
wiilten authorization from a driver.
Disclosure of:the part 382 records by the
subsequent employer is also permitted
only as expressly authorized by the
terms of the driver's signed
authorization. If the driver's
authorization had prohibited the
subsequent employer from disclosing
the information, sharing that
information with the inquiring
employer would bo in violation of
~ 382.405(0.
In another change, ~ 382.413(0 is
being added to explain that a new
employer may obtain directly from the
driver the information required to be
shared in ~ 382.413(a)(1) (iHiii). The
purpose of the provision is to facilitate
information exchange where it might
not otherwise be possible. Drivers may
be the sole source of their testing
records when their previous employers
have gone out of business or refuse to
provide the required information. Given
the fluidity of driver-employer
relalionships in the commercial motor
vehic:le industry, employers in some
situ.ltion:; might find it difficult to
outain the necessary lesting informalion
on certain drivers. Allowing drivers to
present the information should prevent
~ 382.413 from being a hindrance to
operations while still ensuring that
accurate information is exchanged. It
should also result in more information
being exchanged. "
An employer presented with, testing
information from a driver must assure
itself that the copies of former
employer's records provided by the
driver are true and accurate. The rule
does not specify how an employer can
assure itself that the copies of former
employer's testing records are true and
accurate and it may vary on a case-by-
case basis. One method might be to
transmit a confidential fax to the former
employer's (listed on the employment
application required by ~ 383.35) testing
program representative, the driver's
written authorization for release of
specific information and the list
provided by the driver. The prospective
employer would then telephone the
fornler employer to verify the
information on the testing record copies.
A former employer who has a driver's
written authoriZlltion in hand and
verifios 8 prospective employer's
inquiry over the telephone Is less
, sensitive to confidentiality than the
Cormer employer providing the
information without any written
authorization. Verification might also
have to be made with SAI-! directly
when the former employer did not
provide for a full rehabilitative program.
Prospective employer verification of this
information should help prevent drivers
wh~ ~lave violated. the rules by testing
posItive from contmually skipping from
one employer to the next wiUlOut
getting needed treatment. These drivers
will be subject to this previous
employer verification check at every
employer where Ole drivers seek work.
Former employers will be able to share
information on these drivers' with
prospective employers about the
problems with alcohol and/or drugs
these drivers have had in the past.
For example. Sam Trip works as an
occasional driver for interstate molar
carriers that use his services in
accordance with ~ 391.63. Mr. Trip
arranges with PWC Contract Carriers 10
haul a load from Chicago 10 Kansas Cil)
PWC Contract Carriers continues to be
subject 10 ~ 383.35 and must oblain an
employment application from Sam Trir
Mr. Trip .Iists three employers where hE
worked as a CMV operator since Januar
1,1995. Mr. Trip also provides copies
of his testing records for the period
January I, 1995, to the present. PWC
Contract Carriers transmits by
confidenlinltclcconllllnnicntions the
information in Sam Trip's records for
the past two years, including testing
information from January I, 1995. with
Mr. Trip's written authorization for
release of such information, verifies the
information to be accurate, and allows
Mr. Trip to haul its load to Kansas City
A subject of ma~y questions since th'
publication of the February 15, 1994,
final rule Is the discussion of good faitl
effort which appeared in the preamble
to the final rule. In response, the good
faith concept is being incorporated inte
~ 382.413(b) of the rule. It is recognizee
that, given the high level of fluidity of
the motor carrier population. obtaining
responses to information requests may
not always prove to be easy. Former
employers may have gone out of '
business, changed locations. been less
than diligent In reporting, or simply
refused to respond. Drivers and new
employers should not be punished for
this situation when Uley have been
diligent in requesting the information.
Therefore, it is provided that an
employer may not use a driver for mar.
than 14 days without having mnde a
good faith effort to obtaili the
information.
G<lod faith in this conlext means a
arequcst o( eadl formcr elllJ.lluycllisleJ
on the driver's employment applicatiOl
or known to exist. Where information i
not forthcoming, a good faith effort
, consists of something more than the
original mailed request for informatior
and will vary depending 011 the
situation. Except where lhere is a clear
refusal by the former employer to
transmit the information. rendering
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9551
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further requests futile, there should also
be a follow-up attempt, preferably by
telephone, to obtain the information.
Refusals to respond should be reported
to the FHWA for investigation as a
violat ion of the requirement in
~ 382.405(0 to release information to a
subsequent employer.
In keeping with the intent of this
section, there must be a good faith effort
in the first instance to obtain the
in formation before permitting the driver
to drive. If that is not feasible. then the
information should be obtained as soon
as possible, but no laler than expiration
of the 14-day period. An employer is
certainly not acting in good faith when
only beginning to attempt to obtain the
information on the 13th day. Moreover.
if, for example. it is, possible to obtain
the information in 5 days, it is not good
faith and is a violation of the rule to
wait until the 12th day to obtain it. In
most circumstances, good faith dictates
that the information should be
requested by the new employer
immediately after making a conditional
offer of employment.
If, after making a good faith effort, the
information is not available,
~382.413(c) requires a record to be
made of the attempt. The employer may
then continue to use the driver. '
Paragraph (c) also requires all
information obtained in response to a
request under paragraph (a) to be
recorded, including failures to obtain
the information. This includes the
information in paragraph (a)(I) (i)-(iii)
on violations. as well as the information
that the former employer has no records
of any violations. If the information
somehow is made available after the 14-
day period. the employer would then be
obligated to toke appropriate action on
it. including not using a driver with a
violation who has not been
subsequently evaluated by an SAP.
A typical good faith effort would
begin with the employer obtaining the
ddver's wrilten consent on the
employer's letterhead stationary. The
driver should complete the document at
the time the driver prepares other '
documents in the hiring process (e.g.,
the document the employer is required
to obtain from the driver in compliance
with ~ 383.35 Notification of Previous
Employment or 3 391.21 Application for
Employment). Immediately after the
employer makes a conditional offer of
employment, a written consent letter is
sent via certified mail to the fanner
employer(s), -along with instructions ort
how the information should be
transmitted back to the requesting
employer (e.g., by secure and
confidential facsimile. by certified mail,
or by telephone to a designated person).
After a rellsonable period without 0
response, the employer should contact
the driver's former employers' alcohol
and drug testing progtam managers to
ask about the status of the request to
obtain the driver's testing records. The
employer should not wait until a few
days before the first time the employer
uses the driver to perform safety-
sensitive functions to make a follow-up
contact with the former employers.
Former employers are required to
forward, upon receipt of a former
driver's specific writlen consent, their
testing information to the driver, tho
employer or any third party lhe driver
designates. Failure to do so is a
violation of ~ 382.405.
If a driver's former employer has gone
out of business or refuses to comply
with part 382, subpart 0, requirements
to forward its testing information about
the driver to the new employer, or for
some other reason the employer cannot
obtain the testing information from a
particular former employer, the
employer must document the facts and
any related information and retain this
information in the employer's files.
Finally, the section heading is being
changed to clarify the intent of the
section and the current !l382.413(a) is
being removed. The FHWA explained iq.
the February IS, 1994, final rule /
preamble that paragraph (a) restated ,
S 382.405(b) in terms of the prospecti va
employer. The FHWA wrote in the
preamble "An employer may obtain any
of the information retained by other
employers under part 382, pursuant to
a driver's consent." Because this
paragraph merely repeats S 382.405(0
requirements. it is being removed.
Part 391, Subpart H Record Retention
Questions have also been asked about
whether Interstate motor: carriers who
prepare and maintain records under part
391 may discard those records when, in
aCcordance with ~ 391.125, they cease
compliance with part 391 and begin
complying with part 382. The intent of
the FHW A was to terminate compliance
with the applicability, consequences.
and testing requirements of part 391. It
was the FHW A's intent that the records
prepared and maintained under part 391
would continue to be kept in
accordance with part 382. The FHWA is
amending S 391.125 to sp~cify that the
record keeping req~irements of part 391.
subpart H, will be transferred to part
382. Also, part 382 is being amended to
note that records generated under part
391, subpart H, must be maintained
under !l382.401(c)(6)(v).
Possession of Alcohol
The FHW A has had numerous
inquiries about the alcohol possession
prohibition in parts 382 and 392. The
, FHWA has reconsidered its position on
whether prohibiting unmanifested
possession of alcohol on commercial
motor vehicles is necessary given the
new regulations for alcohol use. The
FHW A believes the possession
prohibition is not needed in part 382.
Section 392.5 prohibits the possession
of alcoholic beverages and is generally
en forced as a part of roadside
inspections by FHWA and State
officials. Formerly, ~ 392.5 prohibited
possession Of intoxicating beverages. On
February IS, 1994 (59 FR 7484), ~ 392.5
was amended to prohibit possession of
"alcoholic beverages." The intent of
!i 392.5 is to prohibit the carrying of any
substance on a CMV that could be
consumed by the driver and result in
impairment. However, it does not
prohibit the possession of other forms of
alcohol that would be used for the safe
operation of commercial motor vehicles,
such as alcohol formulations to be used'
in the'fuel tank. on the windshield, as
cleaning agents, and for other safety
uses.
Section 382.204, in contrast. could be
construed as prohibiting the possession
of substances such as windshield
washer fluid, denatured alcohol, fuel
line antifreeze. rubbing alcohol. and . '.
other products that contain alcohol and
hllve been allowed in the past far the
safe operation of CMVs. 111is section
could also be construed to prohibit !he
possession of shaving lotion, cologne, or
room deodorizers. This is the case
because a broader definition of alcohol
was used in part 382. rather than
"alcoholic beverage." The FHW A '
believes, however, that mere possession
of alcohol in forms other than beverage
does not render a person. unable to
safely operate a CMV. Moreover, the
new testing regulations for alcohol will
provide controls in a4ditlon to the
amended ~ 392.5 to ensure that
impaired drivers do not operate CMVs.
The FHW A does not believe. therefore,
that it is necessary to repeat an alcoool
possession prohibition in part 382 and
is removing it. '
The FHW A will continue to prohibit
the possession of alcoholic beverages in
S 392.5 for Interstate motor carriers and
drivers. The term "alcoholic beverage"
is not defined in the general definitions
of!i 390.5. so the FHWA h~s decided to
ameri'd '!i 392.5 to add the content of the
definition in S 38~.5. This definition is
consistent with the Commercial Motor
Vehicle Safety Act of 1986 (CMVSA)
and is restricted to beer, wine, and
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distilled spirits as de lined under the
hiternal Revenue Code of Hl54.
In addition, consistent with an
interpretation published on November
17,1993 (58 FR 60734), the FIIWA is
explaining the exception for the
possession of alcoholic beverages on
buses and motorcoachs in greater detail.
The FHW A will not prohibit motor
carriers from transporting alcoholic
beverages for distribution to passengers,
or alcoholic bevernges that have been
brought on board by passengers for the
passengers' personal consumption. '
However. any driver who is seated in
the passenger seating area or who is
resting in sleeper berth equipment sflall
be prohibited from possessing alcoholic
beverages. It should be noted, howeve"r,
that States may have stricter laws
regarding whether bus passengers may
possess alcoholic beverages. If a State
would have a stricter law regarding bus
passenger possession of alcoholic
beverages, such a law would not be
preempted by'this rule.
The FHWA has had, and will
continue to hav.e. a strong policy of zero
tolerance of consumption and use of
alcohol by commercial motor vehicle
drivers. The consumption or presence in
the body of any form of alcohol.
including any alcoholic mixture,
preparation. or bevernge, is strictly
prohibited while driving. This includes
any substance containIng alcohol,
Including, but not limited to,
windshield washer fluid. liquid fuels,
fuel line antifreeze, denatured alcohol.
shaving lotion. cologne, beer, wine, and
distilled spi~ts. In terms of possession,
the form of prohibited alcohol is
narrower. Drivers subject to ~ 392.5 may
not possess beer, wine, or distilled
spirits. Many States have laws that are
similar to S 392.5 regarding the '
possession of alcoholic beverages for
commercial motor vehicle drivers .
operating In intrastate commerce and
the FHWAdoes not believe that it must
supersede those State laws. The FHWA
will allow those States to use imd
enCorce those laws without expressly
preempting them. .
. Metric System
The Omnibus Trade and
Competitiveness Act of 1988 (Pub. L
10Q-418, sec. 5164) amended the Metric
Conversion Act oC 1975 to require,
among other things, that each Federal
agency, by the end oCthe fLScal year
1992, use the metric system oC .
measuremeqt in.its procuremlilnts,
grants, and other business-relnted
activities, except to the extent that such
use is impractical or is likely to cause
significant inefficiencies or loss oC
markets to United States firms, such as
when foreign competitors are producing
competing products in:non-metric units.
The term "metric system" means the
International System of Units (SI)
estnblished by the General Conference
of Weights and Measures in 1960, as
interpreted or modified from time to
time for the United States by the
Secretary of Commerce under the
authority of the Metric Conversion Act
of 1975 and the Metric Education Act of
1978. The ,Commerce Department
requires Federal agencies to coord innte
and plan for the use of the metric
system in their procurements. grants
and other business-related activities
consistent With the requirements of the
Metric Conversion Act, as amended.
The FHWA has begun the transition
process to convert to the metric system.
In so doing, the FHWA believes it must
convert to metric equivalents those parts
of the definition of the term,
"commercial motor vehicle," which use
gross vehicle weight ratings in the U.S.
Customary System of measurement. The
FHWA is therefore taking this
opportunity to change the delinition to
the S1 system in line with 15 CFR part
19. The customary equivalent is
provided parenthetically' for
convenience.
Locations of Regionai Offices of Motor
Carriers
The FHW A regional Offices of Motor ;..
Carriers Cor regions four and nine have,
recently moved. The FHWA, therefore.'
, is updatfng tlie title of the section and
the addresses in the table found in
~ 390.27.
Rulemaking Analyses and Notices
BeOluse this final rule simply makes
minor edits to the FHWA's alcohol and
dntg testing rules to clarify these
regulations. the FHWA believes that
prior notice and opportunity for
comment are unnecessary under S
U.S.C. 553(b)(3)(B). In addition, due to
the technical nature of this final rule.
the FHWA has detennined that prior
notice and opportunity Cor comment are
1I0t required under the Department of
Transportation's regulatory policies and
procedures, as It is not anticipated that
such action would result in the receipt
of useful information. In this final rule.
the FHWA is not exercising discretion
in a way that could be meaningfully
affected by public comment. ,
This action also effectively gronts an
exemption Crom an alcohol and drug
testipg regulation to employers and
MRO::;: The amendments to ~ 382.407
relieve MROs Crom the requirement to
prepare, in writing, a document if they
wi::;h to legibly photocopy Copy 4 of the
Federa,l Chain of Custody form. fill in
verified positive or negative test
information, add a statement about
corn'pliallce with 49 CFR parts 40 and
382, and sign the photocopy.
Because this final rule relieves
employers and MROs from certain
regulations cited above, the FHWA also
believes that good cause exists to
publish this rule less than 30 days
before it is effective. as is ordinarily
required under 5 U.S.c. 553(d).
Accordingly, the FHWA is proceeding
directly to a final rule which is efrective
on its date of publication.
Executive Order 12866 (Regulatory
Planning and Review) and DOT
Regulatory Policies and Procedures
The FHWA has determined that this
action is neither a significant regulatory
action under Executive Order 12866 or
significant under the Department of
Transportation's regulatory policies and
procedures. It i::; anticipated that the
economic impact of thi::; nclion will not
be substantial bCOluse this rule simply
makes minor, techniOlI changes to the
Federal Motor Carrier Safety
Regulations to clarify the FHW A's
alcohol and drug testing rules.
Therefore, a full regulatory evaluation is
not warranted.
Regulatory Flexibility Act
In compliance with tho Regulatory
Flexibility Act (S.U.S.C. 601-~512). the
FHW A has evaluated the effects of this
rule on sma II entities. This final rule
will technicalIy' amend and clarify the
requirements for employer::; to test
drivers for the use of alcohol and
controlIed substances. Accordingly. the
FHWA certifie~ that this action will not
have a significant economic impact on
a substantial number of smalI entities.
Executive Order 12612 (Federalism
Assessment)
The amendments made by this rule do
not have a substantial direct effect on
the States or on the relationship or
distribution of power between the
national government and the States
because they do little to limit the
policymaking discretion of the States.
To the e~ent that these amendments do
require States to make minor
modifications to their laws or
regulations, the authority to preempt
inconsistent State and local laws,
regulations, rule::; ond<lr.ders was
expressly provided under 49 U.S.c.
31306(g). Therefore, the FHWA is not
required to prepare a separate
Federalism Assessment for this rule.
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9553
Executive Order 12372
(Intergovernmental Review)
Catalog of Federal Domestic
Assistance Program Number 20.217,
Motor Carrier Safety. The regulations
implementing Executive Order 12372
regarding intergovernmental
consultation on Federal programs and
activities apply to this program.
Paperwork Reduction Act
The Office of Management and Budget
(OMB) has approved 2,900.717 hours for
the information collection requirements
in the existing drug nnd alcoholtesling
rcgulalions at 49 CFR part 382. under
OMIJ control no. 2125-0543. One of the
changes contained in this nile will
decrease the burden hours .required to
comply with these regulations by a
significant amount. Other changes aro
due to technical modifications.
c1orific.ation of language, and closing
loopholes for drivers with numerous
previous employers. Also. a rule
amendment published on March 13,
1995, contains a significant decrease in
burder hours. Accordingly, the overall
effect of these amendments is to .
decrease the burden of complying with
the recordkeeping and reponing
requirements of the drug and alcohol
testing regulations.
In addition. the FHWA is clarifying
the record retention provisions in
S 382.401 to req\.lire that records
. ""'~""'~'" documenting supervisors' reasonable
__un__n_un_ _ _ _ _ . _. . .. , .. J,. a
. -...,...."'.-.........,., AUO)..,,,..IUU uauuug Uts reuunBO lor tWO
years after the supervisor ceases to
perform the tasks requiring this training,
replacing the current requirement to
retain such records for two years after
the training is completed.
Finally. the total number of burden
hours will be decreased by this final
rule as a result of the FHW A allowing
MROs to send Copy 4 of the Federal
, Custody and Control form rather than
complete a new written document that
is signed as a notificafion oftest'results
to the employer of cadl driver tested.
The net effed of these changes will be
a decrease in burden hours. TIle FHW A
will be sending a revised burden
estimate for this information collection
request to the Office of Management and
Budget.
National Environmental Policy Act
The agency has analyzed this action
for the purpose of the National
Environmental Policy Act 0[1969 (42
D.S.C. 4321 et seq.) and bas determined
that t.his action will not have any effect
on the qua-lity of the environment.
Regulation Identification Number
^ .regulation identification number
(RlN) is assigned to each..regulatory
i'
"',:.,'
action listed in the Unified Agenda of
Federal Regulations. The Regulatory
Information Service center publishes
the U~ified Agenda in April and
October of each year. The RlN contained
in the heading, of this document can be
used to cross reference this action wilh
the Unified Agenda.
List of Subjects in 49 CFR Pans 382,
383, 390, 391, and 392
Alcohol testing. Controlled substances
testing, Drivers. Highways and roads,
Highway safety, Motor carriers, Motor
vehicle safety, Reporting and
recordkeeping requirements, Safety,
Transportation.
Issued on: February 29, 1996.
Rodney E. Slater.
Federal Highway Administrator.
In consideration of the foregoing, the
FHW A is amending title 49, CFR.
subtitle B, chapter III, pans 382. 383,
390,391. and 392 as set forth below:
1. Pan 382 is revised to read as
follows:
PART 382-cONTROLLED
SUBSTANCES AND ALCOHOL USE
AND TESTING
Subpart A-General
. See.
382.101 Purpose.
382.103 ^pplicability.
382.105 Testing procedures.
382.107 Definitions. ,
382.109 Preemption of State and local laws.'
382.111 Other requirements imposed by
employers.
382.113 Requirement for notice.
382.115 Starting date Cor testing programs.
Subpart B-:-fIrohlbltJons
382.201 ^Icohol concentration.
382.205 On-duty use.
382.207 Pre-duty use.
382.209 Use following en accident
382.211 Refusal to submit to.a required
alcohol or controlled substances test.
382.213 Controlled substances use.
382.215 Controlled substances testing.
Subpart C-Tests Required
382.301 Pre-employment testing.
382.303 Post-accident testing.
382.305 Random testing.
382.307 Reasonable suspicion testing.
382.309 RetunHo-duty testing.
382.311 Folluw-up testing.
Subpart D-Handllng of Test Results,
Record Retendon, and Confidentiality
382.401 'Retention of records.
382.403 Reporting of results In a
managementlnfonnation system.
382.405 ^'=cess to facilities and records.
382:"407 . Medlca.1.revlew officer notifications'
to the employer.
382..09 Medical review officer record
retention for controlled substances.
382..11 Employer notifications.
382.413 Inquiries for alcohol and controlled
substances information from previous
employers.
Subpart E-Consequences tor Drivers
Engaging In Substance Use-Related
Conduct
382.501 Removal from safety-sensitive
function.
382.503 Required evaluation and testing.
382.505 Other alcohol-related conduct
382.507 Penalties.
Subpart F-Alcohol Mlsuse'and Controlled
Substances Use IntonnatJon, Training, and
Referral
382.601 Employer obligation to promulgate
a policy on the misuse of alcohol and use
of controlled suustances.
382.603 Training for supervisors.
382.605 Referral, evaluation, and treatment.
^uthority: -49 U.S.C. 31133, 31136, 31301
ef seq.. 31502; and -49 CFR 1.48.
Subpart A-General
~382.101 Purpose.
The purpose of this pan is to establish
programs designed to help prevent
accidents and injuries resulting from the
misllse of alcohol or use of controlled
substances by drivers of commercial
motor vehicles. .
~ 382.103 Applicability.
(a) This pan applies to every person
and to all employers of such persons
/ who operate a commercial motor
vehicle in commerce in any Stale, an'd
is subject to:
(1) The commercial driver's license
requirements of part 383 of this
subchapter: '
(2) The Licenda Federal de Conductor
(Mexico) requirements; or
(3) The commercial driver's license
requirements of the Canadian Nationel
Safety Code.
(b) An employer who employs
himself/herself as a driver must comply
with both the requirements in this pan
that apply to employers and the ,
requirements in this part that apply to
drivers. An employer who employs only
himselflherself as a driver shall
implement a random alcohol and
controlled substances testing program of
two or more covered employees in the
random testing selection pool.
(c) The exceptions contained in
S 390.3(g) of this subchapter do not
apply to this part. The employers and
drivers identified in S 390.3(g) must
comply with the requirements of this
part. unless otherwise specifically
provided in paragraph (d) of this
section.
(d) Exceptions. This part shall nqt
apply to employers and their drivers:
(1) Required to comply with the
alcohol and/or controlled substanc.es
testing requirements ofpans6S3 and
.- ....~
Ii.\~
9554
Federal Register I Vol. 61, No. 47 I Friday. March 8, 1996 I Rules and Regulations
654 of this title (Fedeml Transit
Administration alcohol and controlled
suhstances testing regulations); or
(2) Who a State must waive from the
requirements of part 383 of this
subchapter. These individuals include
active duty military personnel; memhers
of the reserves; and mcmhers of the
national guard on active duty. including
personnel on full-time national guard
duly. personnel on part-time nationi\l
guard ,tmining and national guard
military technicians (civilians who are
required to wear military uniforms). and
active duty U.S. Coast Guard personnel;
(3) Who a State has, at its discretion.
exempted from the requirements of part
J83 of this sulx:hapter. These
individuals may be:
(i) Operators of a farm vehicle which
is:
(A) Controlled and opemled by a
farmer;
(B) Used to transport either
agricultuml products. farm machinery.
farm supplies. or both to or from a fann;
(C) Not used in the operations of a
common or contract motor carrier; and
(D) Used within 241 kilometers (150
miles) of the farmer's farm.
(ii) Firefighters or other persons who
operate commercial motor vehicles
which are necessary for the preservation
of life or property or the execution of
emergency governmcntal functions. arc
equipped with audible and visual
signals. and a're ncit subject to nomlal
tmffic regulation.
~382.105 TesUng procedures.
Each employer shall ensure that all
alcohol or controlled substances testing
conducted under this part complies
with the procedures set forth in part 40
of this title. The provisions of part 40 of
this title that address alcohol or
controlled substances testing are made
applicable to employers by Ulis part.
~ 382.107 Dennltlons.
Words or phrases used in this part are
defined in SS 386;2 and 390.5 of this
subchapter, and S 40.3 of this title,
except as provided herein-
Alcoho[.means the iqloxicating agent
in beverage alcohol. ethyl alcohol. or
olher low molecular weight alcohols
including methyl and isopropyl alcohol.
Alcohol concentration (or content)
means the alcohol in a volume of breath
expressed in terms of grams of alcohol
per 210 liters of breath as indicated by
an evidential breath test under this part.
Alcohol use means the cons~mpllon
of any beverage. mixture, or preparation,
including any medication. containing
alcohol.
Commerce means:
(1) Any trade, traffic or transportation
within the jurisdiction of the United
States between a place in a Slale and a
place outside of SUcll Slale. including 'a
place outside of the United Slales and
(2) Trade, traffic. -and lransportation
in the United States which affecls allY
trode. traffic. and transportation
described in parngraph (1) of this
definition.
COll/mercial motor vehicle means a
motor vehicle or combination of motor
vehicles used in commerce 10 tmllsport
passengers or property if the Illolor
vehicle-
(1) Has a gross combination weighl
raling of 11,794 or more kilograms .
(26,001 or more pounds) incl usi ve of a
lowed unil with a gross vchir.le weighl
rating of lIIore than 4.5:J1i kilograllls
(10,000 pounds); or
(2) Has a gross vehicle weight raling
of 11.794 or moreki lograms (21i.00 1 or
more pounds); or
(3) Is designed to tmnsport 16 or more
passengers. including the driver; or
(4) Is of any size and is used in lhe
transportation of materials found to he
h.azardous for the purposes of the
Hazardous Materials Transportation Act
and which require the motor vehicle to
be placarded under the Hazardous
Materials Regulations (49 CFR part 172.
subpart F).
Confirmation test for alcohol testing
means a second test, following a
screening test with a result of 0.02' or i
greater. that provides quantitative datil
of alcohol concentration. For controlled
substances tosting means a second ,I
analytical procedure to identify the
presence of a specific drug or metabolite
which is independent of the screen test
and which uses a different technique
and chemical principle from that of the
screen test in order to ensure reliability
and accuracy. (Gas chromatogrophyl
mass spectrometry (GClMS) is the only
authorizud confirmation melhod for
cocaine, marijuana, opiates.
amphetamines, and phencyclidine.)
Consortium means an entity.
including a'group or association of
employers or contractors, that provides
alcohol or controlled substances testing
as required by this part. or other DOT
alcohol or controlled substances testing
rules. and that acts on behalf of the
employers.
Contro//ed substances mean those
substances identified in S 40.21(0) of
th is tit Ie.
Disabling damage means damage
which precludes departure of a molor
vehicle from the scene of the accident
in it9 usual mann6l' in daylight after,
siml'le repairs. . .
(1) Inclusions. Damage to motor
vehicles that could have been driven.
but would have been further damaged if
so driven.
(2) Exclusions.
(i) Damage which can be remedied
temporarily at the scene of the accident
without special tools or parts.
(ii) Tire disablement without other
damage even if no spare tire is available.
(iii) Headlight or taillight damage.
(iv) Damagc to turn signals, homo or
windshield wipers which make thelll
inoperative.
DOT Agency means an agency (or
"operating administration") of the
United Slates Department of
Transportation adminislering
regulalions requiring alcohol and/or
drug lesting (14 CFR partslil, 63. 65,
121. and 135: 4!l CFR parts 199. 219.
:J82. li5:l (lnd li54), in accordance with
(Jart 40 of this title.
Driver means any person who
operales a commercial motor vehicle.
This includes. bul is not limited to; Full
tilllt!. regul<lrly employed drivers;
casual, intermillent or occ<lsional
drivers; leosed drivers ond independent,
owner-operalor contractors who <Ire
eilher directly employed by or under
lease to an employer or who operate a
commercial motor vehicle at the
direction of or with the consent of an
employer.
Employer means any person
(including the United States. a State.
District of Columbi<l. tribal government.
or <I political subdivision of a Slate) who
owns or leases a commercial motor
vehicle or assigns persons to operate
such a vehicle. The term employer
includes an employer's agents. officers
ond representatives. .
Licensed medical practitioner means a
person who is licensed. certified. and/
or registered. in accordance with
<lpplicable Federal. State. local. or
foreign lows'and regulations. to
prescribe controlled suhstollces and
olher dnlgs.
Performing (a safety-sensitive
function) means a driver is considered
to be performing a safety-sensitive
function during any period in which he
or she is actually performing. ready to
perform, or immediately available to
perform any safety-sensitive functions.
Positive rate means the number of
positive results for random controlled
subst<lnces tests conducted under this
part plus the number of refusals ,of
random controlled substances tests
required by this part. divided by the
total of mndom controlled substances
tests conducted under this part plus the
number of refusals of random tests
. r.eq\.lired by lhis part. .
Refuse to submit (to an alcoho! or
controJ/ed substances test) meons that a
driver:
(1) Fails to provide adequate breoth
for alcohol testing (IS required by part 40
Federal Register I Vol. 61, No. 47 I Friday. March 8, 1996 I Rules and Regulations
9555
of this title, without a valid medical
explanation, after he or she has received
notice of the requirement for hreath
testing in accordance with the
provisions of this pan,
(2) Fails to provide an adequate urine
salllple for controlled suhstances lesting
as rt!quired by part 40 of this title.
without a genuine inability to provide a
specimen (as determined by a medical
IlVnlllation). after he or she has received
notice of the requirement for urine
testing in accordance with the
provisions of this pan. or
(:1) r::n~:Jgcs in condllct thnl c:Ienrly
(IhSlrll<;IS lllll lllstinp proCllSS.
Snft!/J'-sensitil'c Junction means all
time from the time a driver begins to
work or is required to he in readiness to
work lIntilthe time he/she is relieved
from work and all responsibility for
performing work. Sdfety-sensitive
functions shall indude:
(1) All time at an employer or shipper
plant, terminal, facility, or other
property, or on any public property,
waiting to be dispatched, unless the
driver has been relieved from duty by
the employer;
(2) All time inspecting equipment as
required hy 99392.7 and 392.8 of this
sul1(;hapter or otherwise inspecting.
servicing, or conditioning any
commercial motor vehicle at any time;
(3) All time spent at the driving
conlrols of a commercial motor vehicle
ill operation;
(4) All time. other than driving time,
ill or upon any commercial motor
vehicle except time spent resting in a
sleeper herth (a benh conforming to the
requirements of 9 393.76 of this
sllhch<lptcr);
(5) All lime loading or unloading a
vehicle, suporvising, or assisting in the
loading or unloading. attending a
vehicle being loaded or unloaded.
n!lll<lining in readiness to operate the
vehicle. or in giving or receiving
receipts for shipments loaded or
unloaded; and
(6) All time repairing; obtaining
assistance. or remaining in attendance
upon a disabled vehicle.
Screening test (also known as initial
test) In alcohol testing, it means an
unal}'tical procedure to determine
whether a driver may have a prohibited
C",oncentration of akohol in his or her
system. In controlled substance testing.
it means an immunoassay screen to
uliminntc "negative" urine specimens
from funher consideration.
Substance abuse professional means a
'licensed physician (Medical Doctor or
Doctor of Osteopathy). or a licensed or
(;ertified psychologist, social worker.
employee assistance professional. or
nddiction counselor (certified hy the
National Association of Alcoholism <lnd
Drug Abuse Counselors Certification
Commission) with know1edge of and
clinical experience in the diagnosis and
treatment of alcohol <loe! controlled
suhstances-related disorders.
Violatioll ratl! means the numher of
drivers (as rcponed under ~ 3112.305 of
this part) found during random tests
given under this port to have an alcohol
concentrntion of 0.04 or greoler, plus the
numher of drivers who refuse a random
test required hy this pan, divided hy the
totnl mporled numher of drivers inlhe
industry given random <llcohol tests
IIndl!r this p;lrl pillS tho total reported
number of drivers in the induslry who
refuse <I random test required by this
part.
9382.109 Preemption of Slate and local
laws.
(a) Except ns provided in pnragraph
(h) oflhis section. this pan preempts
an}' State or 10(:<11 bw. rule, regul<llion,
or order to the extent that:
(1) Compliance with both the Slate or
loenl requirement and this part is not
possible; or
(2) Compliance with the State or local
requirement is an obstacle to the
accomplishment and execution of any
roquimment in this part.
(h) This pnrt shall not be construed to
preempt provisions of State criminal
Inw that impose sanctions for recklElss
conduct lending to actual loss of life,
injury. or damage to property, whether
the provisions apply specifically to
trnnsportation employees, employers, or
I III! gcnern I puhlic.
'9382.111 Other requirements Imposed by
. employers.
EXCllflt ns expressly provilltld in this
part, nOlhing in this port shall he
constnled'to nffel:t tho nuthority of
employers, or the rights of drivers. with
respect to the use of alcohol. or the use
of controlled suhstances, including
authority and rights with respect to
testing and rehahilitation.
~ 382.113 Requirement for notice.
Defore perfonning an ak.ohol or
controlled suhstances test under this
part. each employer shall notify a driver
that the alcohol or controlled suhstances
test is required by this part. No
employer shall falsely represent that a
test is administered under this part.
~ 382.115 Starting date for testing
progra~s.
{a),I:.arge dOlJlestic employers. Each
employer with fifty or more drivers on '
March 17.1994. will implement the
requirements of this part beginning on
Janunry 1. 1995.
(h) Small domestic employers. Ench
employer with less than fifty drivers on
March 17, 1994, will implement the
requirements of this part beginning on
J<lnuary 1, 1996.
(c) All domestic employers. Each
domestic em ployer that hegi ns
commercial molor vehicle operations
after March 17, 1994. but hefore Jnnuary
1, 1996, will implement the
requirements of this part heginning on
January 1, 1996. Howevcr, such nn
el\lployer may Ill! subject to the
requiremenls of pnrt 391, subpnrt H on
('ill datllllwy bl,!gin oper;'llions, if
ol'c:rnting cOlllJlwrcia!lIIolor vel,ic:les ill
interslate COllllllerC(!. A domestic:
employer that begins commercinl mOlar
vehicle operations on or after January 1,
1!l96, will implelllenlthe requirements
of this part on the date the employer
hegins such operations.
(d)' Large fomign amployp.t"S. Ench
foreign-domiciled employer with fifty or
more drivers assigned to operate
commercial motor vehicles in North
America on December 17.1995, must
implemellt the requirements of this part
beginning on July 1, 199fi.
(e) Small foreign employers. Each
foreign-domiciled emplo)'er with less
than fifty drivers assigned to operate
commercial motor vehicles in North
America on December 17.1905, must
,implement the requirements of this part
,heginning on July 1.1997.
I (0 All foreign employers. Each
, foreign-domiciled employer that hegins
commercial motor vehicle operations in
the United States after December 17,
1995, hut before Jllly 1. 1997, mllst
implement the requirements of this pn'rt
heginning on July 1, 1997. A foruign
employer lhal hegins COmmtlrdlllmotor
vehicle opernlions in the United Stales
on ornftor Jllly 1. 1997, must implement
the requiremcnts of (his part on the date
the foroign employer begins such
operations.
Subpart B-Prohlbltions
~ 382.201 . Alcohol concentration.
No driver shall report for duty or
remain on duty requiring the
performa nce 0 f sa fety-sensiti ve
functions while hnving an alcohol
C".oncentration of 0.04 or greater. No
employer having actual knowledge that
a driver has an alcohol concentration of
'0.04 or greater shall permilthe driver to
perform or continue to perform safely-'
sensitive functions.
~ 382.205, On-duty use.. .'
No driver shall use alcohol while
performing safety~sensitive functions.
No employer having actual knowledge
,that n driver is using alcohol while .
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Federal Register / Vol. 61, No. 47 / Friday, March 8, 1996 / Rules and Regulations
n;;:>
performing safety-sensitive functions
shall permit the driver to perform or
continue to perform safety- sensitive
functions.
~ 382.207 Pre-duty use.
No driver shall perform safety-
sensitive functions within four hours
after using alcohol. No employer having
IIctual knowledge that a driver has used
alcohol within four hours shall permit
a driver to perform or continue to
perform safely-sellsitive functions.
~ 382.209 Use tol/owlng an accldenL
Nu driver n"l"in,d 10 take a IllJ.~t-
accident alcuholtest ullder !i :lllZ.:IO:1 of
this part sh<lll use alcohol for eight
hours following the accident. or until
he/she undergoes << post- accident
alcohol test. whichever occurs first.
~ 382.211 Refusal to submit to a required
alcohol or controlled substances tcsL
No driver shall refuse to submit to a
post-accident alcohol or controlled
substances test required under
!i 382.303, n mndom nlcohol or
controlled substnnces test required
under !i 382.305. a rensonable suspicion
alcohol or controlled substances test
required under !i 382.307, or a follow-up
alcohol or controlled substnnces test
required under 3382.311. No employer
shall permit a driver who refuses 10
submit to such tests to perform or
continue to perfonn safoty-sensitive
func;tions.
~ 382.213 Control/ed substances use.
(a) No driver shall report for duty or
remain on duty requiring the
performance of safE'ty-sensilive
functions when tho driver uses any
controlled substance. except when the
use is pursunntto the instructions of a
licensed mediad practitioner. os
defined in 3382.107 of this part, who
has advised the driver that the
substance will not adversely affect the
driver's ability to safely operate a
commercial motor vehicle.
(b) No employer having actual
knowledge that a driver has used a
controlled substance shall permit the
driver to perform or continue to perform
a safety-sensitive function.
(c) An employer may require a driver
to inform the employer of any
therapeutic drug use.
S 382,.215 Controlled substances testing.
No driver shall report for duty. remain
on duty or perform a SlIfety-sensilive
function, if the driver tests positive for
controlled substances. No employer
having actual knowledge that a driver
has tested positive for controlled
substances shall permit the driver to
perform or continue to perform safety-
sensitive functions.
Subpart C-Tests Re<;luired
~ 382.301 Pre-employment testing.
(a) Prior to the first time a driver
performs safety-sensitive functions for
an employer, the driver shall undergo
testing for alcohol and controlled
substDnces as a condition prior to being
used. unless the employer IISCS the
exception in paragmphs (e) <lnd (d) of
this section. No cmployer shnll nllulV n
driver. who the employer intends to hir~
ur IISI:. 10 IWrrOrlll sn rut y-sI:lIsit i VI'
rllnctions IInless lho drivor has 11<:\:11
Ddlllinistered an alcohol t~st with a
result indicating an <llcohol
concentration less than 0.04. and has
received a controlled substances test
result from the MRO indicnting <I
verified negative test result. If a pre-
employment alcohol test result IInder
this section indicates an alcohol contellt
of 0.02 or greater but less than 0.04. the
provision of 3 382.505 shall apply.
(b) Exception for pre-employment
alcohol testing. An employer is not
required to administer an alcohol test
required by paragraph (a) of this section
if:
(1) The driver has undorgolie an
alcohol test required by this section or
the alcohol misuse rule of another DOT ,
agency under part 40 of this title withiqi
tho previous six months, with a result
indicating'an alcohol concentration less'
than 0.04; and '
(2) The employer ensures that no
prior employer of.lhe driver of whom
the employer has knowledge has records
of a violation of this oart or the alcohol
misllsE! rulo of ouotllE;r DOT agency
within tho previous six months.
(e) Exception for pre-employmellt
controlled substances testing. An
employer is not required to administer
a controlled substances test required by
paragraph (a) of this section if:
(1) The driver has participated in a
controlled substances testing program
that'meets the requirements of this part
within the previous 30 days; and
(2) Whilo participating in that
program, either
(i) Was tested for controlled
substances within the past 6 months
(from the date of application with the
employer) or
(ii) Participated in the random
controlled substances testing progrnm
for the previous 12 months (from the'
date of application with the employer);
.and
(3) The employer ensures that no
prior employer of the driver of whom
the employer has knowledge has records
of a v.ioh;ltion of this part or the
controlled substances use rule of
another DOT agency within the
previous six months.
(d)(l) An employer who exercises the
exception in either paragraph (b) or (c)
of this section shall contact the alcohol
and/or controlled substances testing
program(s) in which the driver
participates or participated and sh<lll
obtain and retain frolll the testing
program(s) the following information:
(i) Name(s) and address(es) of the
progrnm(s).
(ii) Verific<llion llwt the driver
participates or p<lrtic:ipated in the
progr;lIl\(s).
(iii) Vl.lrificnliullthallhe prugralllls)
conforms 10 part 40 of this litle.
(iv) Verification that the driver is
'1l1a1i fied under the rules of this p<lrt.
including that the driver has not refused
to be tested for controlled substances.
(v) The dllte the driver was lastlested
for lIlcohol or controlled substances.
(vi) The results of auy tests taken
within the 'previous six months and any
other violations of subpart B of this part.
(2) An employer who uses. but does
not employ, a driver more than once a
year to operate commercial motor
vehicles must obtain the information in
paragraph (d)(l) of this section at least
once every six months. The records
prepared under this pllJ'agraph shall be
maintained in accordance with
S 3112.401. If the employer cannot verify
thntthe driver is participating in a
controlled substances testing program in
accordance with this part and part 40.
the employer shall conduct a pre-
employment alcohol and/or controlled
substances test.
(e) Nothwithstanding any other
provisions of this subpart. aU provisions
and requirements in this section
pertaining to pnHlmploymenttesting for
alcohol are vncated os of :viay 1. 1995.
~ 382.303 Post-accident testing.
(a) As soon as practicable following
an occurrence involving a commercial
motor vehicle operating on a public '
road in commerce, each employer shall
test for alcohol and controlled
substances each surviving driver:
(1) Who was performing SlIfety-
sensitive functions with respect to the
vehicle. if the accident involved the loss
of human life; or
(2) Who receives a citation under
State or local law for a moving traffic
violation arising from the accident, if
the accident involved:
(i) Bodily injury to any person who,
. as a result of the injury. immediately
receives medical treatment away from
the scene of the accident; or
(ij) One or more motor vehicles
incurring disabling damage as a result of
.' .:.~ .
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Federal Register / Vol. 61. No. 47 / Friday, March ii, 1996 / Rules and Regulations
9557
the accident, requiring the motor
vehicle 10 be transported away from the
scene hy a low truck or other motor
vehicle.
(3) This table noles when a post-
accidentlesl is required 10 be conducted
by paragraphs (a)(l) and (a)(2) of this
section:-
, TABLE FOR 9 382.303(a)(3)
Type 01 accident
involved
Citation
issued to
the CMV
driver
Human fatality .......
YES ....... YES.
NO ......... YES.
YES ....... YES.
Bodily injury with
immediate medi-
cal trealment
away from the
scene.
Disabling damage
10 any motor ve-
hicle requiring
tow away.
NO ......... NO.
YES ....... YES.
NO ......... NO.
'~,:,' \
(b)(l) Alcohol tests. If a test required
by Ihis section is nol administored
within two hours following the
accident, the employer shall prepare
and mainlain on file a record stating the
reasons the test was not promptly
ndministered. If a test required by this
section is not administered within eight
hours following the accident. the
employer shall cease attempts to
administer an alcohol test and shall
prepare and maintain the same record.
Records shall be submitted to the
FHW A upon request of the Associate
Administrator.
(2) For the years stated in this
paragraph, employers who ~ubmit MIS
reports shall sul:imilto the FHWA each
record of a test required by this section
that Is not completed within eight
hours. The employer's records of tests
that are not completed within eight
hours shall be submitted to the FHWA
by March 15.1996; March 15, 1997. and
March 15. 1998. for calimdar years 1995.
1996. and 1997, respectively. Employers
shall append these records to their MIS
submissions. Each record shall inClude
the following information:
(i) Type of test (reasonable suspicionl
post-accident);
(il) T(i~oring cvullllinduding dUlu.
time. and Io<:ntion);
(iii) Rcason(s) test could not be
completed within eight hours;
flv) rfblood alcohol testing could
.t~ ~ ~rtfpl~t!d ~i:h;{ ttlf.11'
hours, the name, address. and telephone
number of the testing site where blood
testing could have occurred; and
Test must
be per-
formed by
employer
(3) Records of alcoholtesls that could
not be completed in eight hours shall be
submitted to the FHWA-dt the following
address: Alln: Alcohol -r:esting Program.
. Office of Molor Carrier Rese<lrch and
Standards (HCS-l), Federal Highway
Administration, 400 Seventh Street
SW., Washington, DC 20590. .
(4) Controlled substance tests. rf a test
required by this section is not
administered within 32 hours following
the accident, the employer shnll cease
allempts to administer 11 controlled
substances lest. and prepare and
maint<lin on file a record stating the
reasons tlw test was not promptly
administered. Records shall be
submitted to the FHWA upon request of
the Associate Administrator.
(c) A driver who is subject to post-
accident tflsting shall remain readily
nvailable for such testing or may he
deemed by tho employer to have refused
to submit to tesling. Nothing in this
section shall be construed to require the
delay of necessary medical attention for
injured people following an accident or
10 prohibita driver from leaving the
scene of an accident for the period
necessary to obl<lin assistance in
responding to the accident. or to ohtain
necessary emergency medk.al care.
(d) An employer shnll provide drivers
with necessary post-accident
information, procedures and
instOlctions, prior to the driver
operating a commercial motor vehicle,
so. that drivers will be able to comply
wtth the requirements of this section.
(e)(l) The results of a breath or blood
test for the use of alcohol. conducted by
Federal. State, or local officials having
independent authority for the test, shall
be considered to meet the requirements
of this section, provided such tests
conform to the applicable Federal. State
or local alcohol testing requirements,
and that the results of the tests are
obtained by the employer.
(2) The results of a urine test for the
use of controlle,d substances. conducted
by Federal, Stl;lte, or local officials
having independent authority for the
lest. shall be considered to meet the
requirements of this section, provided
such tests conform to the applicable
Federal. Slale or locnl controlled
substances testing requirements. and
that the results of the tests are obtained
hy tho Ilmr1oyor.
(r) l:x(;(:pt/o/l. '11,IK SOCtlUll (\00:1 llol
nPllly to: ,
1) An occurrence involving only
boarding or alighting from a stationary
motor vehicle; or. .
l1.').,1 6aoi';~a ,\f~ll.r.i{!f 6rny !.1lf
loading or unloading of cargo; or
(3) An occurrence in the course of the
operation of a passenger car or a
multipurpose passenger vehicle (as
defined in ~ 571.3 of this title] by an
employer unless the motor vehicle is
transporting passengers for hire or
hazardous materials of a type <lnd
quantity that require the motor vehicle
to be marked or placarded in nccord<lnce
with ~ 177.823 of this title.
~ 382.305 Random tesllng.
(a) Every employer shall comply with
the requirements of this section. Every
driver shall submit to random alcohol
and controlled substance testing <IS
required in this section.
(1l)(I) Excepl as provided in
par<lgraphs (c) through (e) of th is
section, the minimum annual
percenlage rate for random alcohol
testing shall be 25 percent of the aver<lge
number of driver positions.
(2) Except as provided in paragra phs
(I) through (h) oflhis section. the
minimum annual percentage rate ror
random controlled substances testing
shall be 50 percent of lhe average
number of driver positions.
(c) The FHWA Administrator's
decision to increase or decrease the
minimum annual percentage rate for
alcoholtesling is based on the reporled
violation rate for the entire industry. All
information used for this determination
is drawn from the alcohol management
i,nformation system reports required by
fi 382.403 of this part. In order 10 ensure
reliability of the dala. the FHW A
,'Adminislrator considers the quality and
completenoss of the reported data. may
outain additional information or reports
from employers, and may make
appropriate modifications in calculating
the industry violation rate. Each year.
the FHW A Administrator will publish
in the Federal Register the minimum
annual percentage rate for random
alcohol testing of drivers. The new
minimum annual percentage rate for
random alcohol testing will be
applicable starting January 1 of the
cnlendar year followin~ publication.
(d)(I) When the minimum annual
percentage rate for random alcohol
testing is 25 percent or more. the FHW A
'Administrator may lower this rate to 10
percent of all driver positions if the
FHW A Administrator determines that
the data received under the reporting
requirements of!i 382.403 for two
l:onr.lJl':utivo C"".lIlondnr your,; Inoicl\'" lhol
'''0 vlolulk.., fuhJ \1\ lCJC\oQ "uall U,~i
percent.
(2) When the minimum annual
percentage rate for random alcohol
testing is 50 percont, the FHWA
1..tJ.((\i(\i.9,rfi(?f.l'04l11?w~, t.lti~ rille II) ,n
percent of all driver positions if the
FHWA Administrator determines that
the data received under the reporting
955U
Federal Register / Vol. 61, No. 47 / Friday, March 3, Hl~JG / Rules and Regulations
~:'::[P
requirements of ~ :162.403 for two
consecutive calend..r ye..rs indicate th..t
rhe violation rate is less t/1<I11 1.0 percent
but equ:d to or greater than 0.5 percent.
(e)(l) When the minimum annual
percent,1ge rille for 'random alcohol
lesting is HI percent. nnd the d..ta
received under the reporting
requirements of ~ :162.403 for that
calendar year indicate that the violation
rilte is equal to or greater thnn 0.5
percent. but less th..n 1.0 percent. the
FHWA Administrator will increase the
minimum annual percentage rate for
rnndom aleoholtesting to is percent for
011 driver positions.
(2) When the minimum annual
percentage rate for random alcohol
resting is 25 percent or less. and the data
received under the reporting
requirements of 9 :1112.403 for that
Cllendar year indh;nte that the violation
rate is equal to or greater than 1.0
percent. the FHWA Administrator will
increase the minimulll <Innual
percentage rate for random akohol
testing to 50 percent for all driver
positions.
(0 The FHWA Administrator's
decision to increase or decrease the
minimum annual percentage rate for
controlled substances testing is b..sed on
the rcportnd positive rote for the entiro
industry. All information used for this
determinnlion i:<: drawn from the
controlll!d :<:lIbst..nl;e:<: IIlnnagelllent
information system reports required by
9382.403 of this part. In order to ensure
reliability of the data, the FHW A
Administrator considers the quality and
completeness of the reported data. mny
obtain additional information or reports
from employers. and may make
appropriate modifications in calculating
the industry positive rate. Each year. the
FHWA Administrotor will publish in
the Federal Register the minimum
annual percentage ruto for random
controlled substances testing of drivers.
The new minimum annual percentage
rute for random controlled substances
testing will be appliC<lble starting
J:lIIuary 1 of the c:nle,ndar year following
publk.ation.
(g) When the minimum annual
percentage rute for random controlled
substances testing is 50 percent. the
FHW A Administrator may lower this
rate to 25 percent of all driver positions
if the FHWA Administrator determines
that the data received under the
reporting requirements of S 382.403 for
two con~ecutive calendar years indic:nte
that the positive rate is less than 1.0
percent. However. after the initial ~wo
years of random te~ting by large
employers and the initial first year of
testing by small employers .under this
section, the FHWA Administrator may
lower the rate the following calendar
year, if the combined.positive tesling
rote is less thnn 1.0 p'ercent. and if it
would be in tile interest of S<l fety.
(h) When the minimum annual
percentage rate for random controllt!d
substances testing is 25 percent. nnd the
data received under the reporting
requirements of 9 332.403 for any
calendar year indicate that the reported
positive mte is equal to or greater tlwn
1.0 percent. the FHW A Administrntor
will increase the minimum annunl
percentage r<lle for random controlled
substances testing to 50 percelll of <III
driver positions.
(i) The selection of drivers for rnndom
alcohol and controlled substances
testing shall be made by a scientifically
valid method, such as R random numher
table or a computer-based r<1lldom
lIumber generutor that is mntched with
driver;<;' Social Security number;<;.
pnyroll identificnlion numbers, or ullwr
compal1lble identifyillg numbers. Und(lr
the selection process used, ench driver
shall hnve on equal chance of being
tested each time selections are made.
(j) The employer shall randomly
select a sufficient number of ddvers,for
testing during each calendar year to
equal an annual rate not less than the
minimu/lI'annual percentage rate for
random alcohol nnd controlled
~ubstances tasting detennined by tho ,
FHWA Adlllinistrutor.lflhe ompluyer/
conducts.r<1ltdom testing for alcohul ,
and/or controlled substances through b
consortium. the number of drivers to be
tested may be calculated for each
individual employer or may be based on
the total number of drivers covered by
the consortium who are subjeclto
random alcohol and/or controlled
substances'testing at the same minimum
annual percentage rate under this part,
or any DOT alcohol or controlled
substances random testing rule.
(k) Each employer shall ensure that
random alcohol and controlled
substances tests conducted under this
part are unannounced and that tho dates
for administering random alcohol and
controlled substallces tests are spread
reasonably throughout the C<llendnr
year.
(I) Each employer shall require that
each driver who is notified of selection
for random alcohol and/or controlled
substances te~ting proceeds to the test
site immediately: provided. however.
that if the driver is perfomting a Imfety-
sensitive function. other thun driving a
commercial motor vehiclo. at the time of
notification. the employer shall inste'ad
ensure that the drivor'ceases to perform
the safety-sensitive function and
proceeds to the testing site as soon as
po~sible.
(01) A driver shall only be tested for
alcohol wh.i!: the dri~'er is performing
safety-sensitive funcllons, just before
the driver is to perform safety-sensitive
functions. or just after the driver has
censed performin~ such functions.
(11) If 0 given driver is subject to
rondom alcohol or controlled substances
testing under the random alcohol or
controlled substances testing rules of
1I10re than one DOT agency for the ~ame
employer. the driver sholl be subject to
random alcohol and/or controlled
substances testing 01 the annual
percentage role eSlablished for the
c.,lendar year by lhe DOT agency
reguraling more than 50 percent of tile
driver's function.
(0) If an employer is required lo
conduct random alcohol or controlled
~ubstances testing under the alcohol or
controlled sllb~tances testing rules of
more than one DOT agency. the
employer may-
(1) Establish separote pools for
r..ndom selection. with each pool
containing the DOT-covered employees
who are subject to testing at the snllle
required minimum annual percentage
rote; or
(2) Randomly select such employees
for testing at the highest minimum
<lnnual percentage rate established for
the c..,lendnr year by any DOT agency to
which tho employer is ~ubjecl.
9382.307 Reasonable suspicIon testing.
(a) An employer shall require a driver
to submit to au alcohol test when the
employer has reasonable suspicion to
believe thattbe driver has violated the
prohibitions of subpart B of this part
concerning alcohol. The employer's
determination that reasonable suspicion
exists to require the driver to undergo
an alcohol lest must be based on
specific. contemporaneous. nrticulable
observations concerning the appearunce.
behavior, speech or body odors of the
driver.
(It) An employer sholl require a driver
to submit to a controlled substances'test
when the employer has l""..asonable
suspicion to believe that the driver has
violated the prohibitions of subpart 8 of
this parl concerning controlled
substances. The employer's
determinationlhat reasonable suspicion
exists to require the driver to undergo a
controlled substances test must be ba~ed
on specific. contemporaneous.
articulable observations concerning the
nppearance. behavior, speech or body
odor;<; of the driver. Tho observatiuns
may include indications of t!te chronic
and withdrawal effects of controlled
substances.
(c) The required observations for
alcohol and/or controlled substances
r::~;."::,
Federal Register / Vol. 61, No. 47 / Friday. March 8, 1996 / Rules and Regulations
9559
,(. ":.
reasonable suspicion testing shall be
made hy a supervisor or company
official who is trained in accordance
with 9382.(;03 of this p:1rt. The person
who makes the determination thaI'
rol;sonable suspicion exists to conduct
an alcohol test shall not conduct the
alcohol test of the driver.
(d) Alcohol testing is authorized by
this section only if the observations
required by paragraph (a) of this section
are made during, just preceding, or just
after the period of the work day that the
rlriver is required to be in compliance
with this part. A driver may he directed
by the employer to only undergo
reasonable suspicion testing while the
driver is performing safety-sensitive
functions, just before the driver is to
perform safety-sensitive functions, or
just after the driver has ceased
performing such functions.
(e)(l) If an alcohol test required by
this section is not administered within
two hours following the determination
under paragraph (a) of this 'section. the
employer shall prepare and maintain on
file a record stating the reasons the
alcohol test was not promptly
,. administered. If an alcohol test required
hy this section is not administered
'., within eight hours following the
determination undtlr paragraph (a) of
this section. the employer shall cease
attempts to administer an alcohol test
nnd shall state in the record the reasons
for not administering the test.
(2) For the years stated in this
paragraph, employers who submit MIS
reports shall submit to the FHW A each
record of a test required by this section
that is not completed within 8 hours.
The employer's records of tests that
could not be completed within 8 hours
shall be submitted to the FHWA by
March 15. 1996; March 15, 1997; and
March 15. 1998; for calendar years 1995,
1996, and 1997, respectively. Employers
shall append these records to their MIS
submissions. Each record shall include
the following information:
(i) Type oEtest (reasonable suspicion/
post-accident);
(ii) Triggering event (including date,
time. and location);
(iii) Reason(s) test could not be
c.ompleted within 8 hours; and
, (iv) If blood alcohol testing could
hnve heen completed within eight
hours, the name. address, and telephone
numher of the testing site where blood
testing could have occurred.
(3) Records of tests that could not be
completed in eight hours shall be
submitted to the FHW A at the following
address: Attn.: Alcohol Testing program,
Office of Motor Carrier Research and
Standards (HCS-ll, Federal Highway
Administration, 400 Seventh Street, associated with alcohol misuse and/or
SW., Washington, DC 205~O. use of controlled substances, each
(4) Notwithstanding the ahsenc:e of a employer shall ensure that the driver is
reasonablu sllspidon alcohol test under sullject to unannounced follow-up
this section. IlO rlriver shall report for nlcollol and/or controlled substances
duty or remain on dUly requiring the testing as directed by a suhstance abuse
performance of safety-sensitive professional in accordance with the
functions while the driver'is under the provisions of ~ 382.605(c)(2)(ii).
innuence of or impaired by alcohol, as (b) Follow-up alcohol testing shall be
shown by the behavioral, speech, and conducted only when the driver is
performance indicators of alcohol performing safety-sensitive functions.
misuse, nor shall an employer permit just before the driver is to perform
the driver to perform or continue to ' safety.sensitive functions, or just after
perform safety-sensitive functions. until: the driver has ceased performing safety-
(i) An alcohol test is administered and sensilive functions.
the driver's alcohol concentration
measures less than 0.02; or
(ii) Twenty four hours have elapsed
following the determination under
paragraph (a) of this section that there
is reasonable suspicion to believe that
the driver has violated the prohibitions
in this part concerning the use of
alcohol.
(5) Except as provided in paragraph
(e)(2) of this section, no employer shall
take any action under this part against
a driver based solely on the driver's
behavior and appearance, with respect
to alcohol use, in the absence of an
alcohol test. This does not prohibit ;:n
employer with independent authority of
this part from taking any action
otherwise consistent with law.
(0 A written record shall be made of
the observations leading to a controllod
substance reasonable suspicion test, and
signed by tho supervisor or company
official who made the observations,
within 24 hours of the observed
behavior or hefore the results of the
controlled substances test are released,
whichever is earlier. .
~ 382.309 Return-to-duty testing.
(a) Each employer shall ensure that
before a driver returns to duty requiring
the performance of a safety-sensitive
function after engaging in conduct
prohibited by subpart B of this part
concerning alcohol, the driver shall
undergo a return-to-duty alcohol test
with a result indicating an alcohol '
concentration of less than 0.02.
(b) Ench employer shall ensure that
before a driver returns to duty requiring
the performance of a safety-sensitive
function after engaging in conduct
prohibited by subpart B of this part
concerning controlled suhstances, the
driver shall undergo a return-to-duty
controlIed substances test with a result
indicating a verified negative result for
controlled substances use.
~ 382.311 Follow-up testing.
(a) Following a determination under
~ 382.ti05(h) that a driver is in need of
assistance in resolving problems
Subpart D~andling Of Test Results,
Record Retention and Confidentiality
~ 382.401 Retention of records.
(a) General requirement. Each
employer shall maintain records of its
alcohol misuse and controlled
substances use prevention programs as
provided in this section. The records
shall be maintained in a secure location
willi controlled access.
(h) Period of retention. Each employer
shall maintain the records in accordance
with the following ,schedule:
(1) Five years. The following records
shall be maintained for a minimum of
five years:
(i) Records of driver alc:oholtl!st
results indic.,ting an ukohol
cioncentration of 0.02 or greater,
, (ii) Records of driver verified positive
crontrollod substances test results.
, (iii) Documentation of refusals to take
required alcohol and/or controlled
substances tests,
(iv) Driver evaluation and referrals.
(v) Calibration documentation,
(vi) Records related to the
administration of the alcohol and
controlled substances testing programs,
and
(vii) A copy of each annual calendar
year summary required by S 382.403.
(2) Two years. Records related to the
alcohol llnd controlled substances
collection process (except calibration of
evidential hreath testing devices).
(3) One year. Records of negative and
canceled controlled substances test
results (as defined in part 40 of.this
title) and alcohol test results with a
concentration of less than 0.02 shall he
maintained for a minimum of one year.
(4) Indefinite period. Records related
to the education and training of breath
alcohol t(!c:hnidans, screening tnst
technicians, supervisors, and drivers
shall be maintained by the employer
while the individual performs the
functions which rt.'quiNfthe training and
for two years after ceasing to perform
those functions.
(e) Types of records. The followi ng
specific types of records shall be
9560
Federal Register / Vol. 61, No. 47 / Friday, March 0, 1996 I Rules and Regulations
C :,...,',
maintained. "Documents generated" are
documents that may have to be prepared
under a requirement of this part. If the
record is required to be prepnred. it
mu:;t be m<Jintnincd.
(1) Records related to the collection
process:
(i) Collection logbook:;, if used:
(iij Documents rebting to the random
selection process:
(iii) Calibr.Jtion documenlntion for
evi~ent inl hrenth l~sting devices:
(IV) Documenlatlon of ure;lth akohol
technician tmining:
(v) Docllment:; generated ill
connection with decisions 10 administer
reasonnble sllspicion alcohol or
controlled substances tests:
(vi) Documents generated in
cOlllH..'{;tion with decisions on post-
acciden ttests;
(vii) Documents verifying existence of
a medical explanation of the inability of
a driver to provide adequate hreath or to
provide a urine specimen for testing;
and .
(viii) Consolidated annual c.,lendnr
year summaries as required by
~ 382.403.
(2) Records related to a driver's test
results:
(i) The employer's copy of the alcohol
test foml. including the results of the
test:
(ij) The employer's copy of the
controlled suhstances test chain of
custody and control form;
(iii) Documents sent by the MRO to
the employer. including those required
by S 382.407(u).
(iv) Documents related to tho refusal
of any driver to submit to an alcohol or
controlled substances test required by
this rart: and
(v Documents presented by a driver
to dispute the result of an alcohol or
controlled substances test administered
under this part.
(vi) Documents generated in
connection with verifications of prior
employers' alcohol or controlled
substances test results that the
employer:
(A) Must obtain in connection with
the exception contained in 3382.301 of
this fart, and '
(B Must obtain as required by
3382.413 ohhis subpart.
(3) Records related to other violations
of this part.
(4) Records related to evaluations:
(i) Records pertaining to a
determination by a substance abuse
professional concerning a driver's need
for assistance;.and
(ii) Records concerning a driver's
compliance with recommendations of
the substance abuse professional.
(5) Records related to education and
trainin'g:
(i) Materials 011 ulcohol misuse and
controlled substance use awnrencss,
including a copy bf the employer's
policy on alcohol misuse ilnd conlrolled
suhstnnce use: .
(ii) Document<ltion of complinnce
with the requirements of 9 3U2.6U I,
including the driver's signed receipt of
education materi,Jls;
(iii) Documentation of training
provided to supervisors for the purpose
of <(ualifyiug the supervisors to make iI
detnrminntion concerning tllll n(wd for
nkohol nnd/or controlled suustallcns
testing uased on reasonable suspicion;
(iv) Documentation of trnining for
hrc<lth alcohollechnicians ns required
by ~ 40.51(a) of this title, and
(v) Certification thaI nny Irnining
conducted under this part complies
with the requirements for such training.
(6) Administrative records rebted to
alcohol and controlled substances
testing:
(i) Agreements with collection site
facilities. laboratories. brenth alcohol
technicians, screelting test technit:i<lns.
medical review officers. consortia, and
third party service providers;
(ii) Names and positions of officials
and their role in the employer's alcohol
and controllod substances testing
program(s):
(iii) Quarterly laboratory statistical
summaries of urinalysis required by
3 40.29(g)(6) of this title;' /
(iv) The employer's alcohol and'
controlled substances testing policy and
procedures: and
(v) Records generated in connection
with part 391. subpart H of this
subchapter.
(d) Lacation of records. All records
required by this part shnll he
maintained as required by 3390.31 of
this subchapter and shall be made
available for inspection at the
employer's principal placo of business
within two business days after a request
has been made by an authorized
representative of the Federal Highway
AdmInistration.
(e)(l) OMB control number. The
information collection requirements of
this part have been reviewed by the
Office of Management and Budget
pursuant to the Paperwork Reduction
Act of 1980 (44 U.S.C. 3501 et seq.) and
have been assigned OMS control
number 2125-0543, approved through
March 31,1997.
(2) The information collection
requirements of this part are found in
the following sections: Section 382.105,
382.113,382.301,382.303,382.305.
382.307, 382.309, 382.'311, 382.401,
382.403,382.405.382.407,382.409.
382.411.382.413.382.601.382.603,
382.605.
!i 382.403 Reporting of results In a
management Information system.
(a) An employer shall prepare and
mnintain a summary of the results of its
alcohol and controlled substances
testing programs performed under this
purt during the previous calendar year.
.when reque~ted by the Secretary of
fransportatlon, any DOT agency. or nny
State or local officials with regulatory
authority over the employer or nny of its
drivers.
(hl If nn employer is notified, during
Ihe month of ]anunry. of a requestuy the
Federal Highway Administration to'
report the employer's nllnu:t) c.,lendnr
Y<:<lr summary informalion. the
employer shall prepare and submit the
report to the Federal Highway
Administration by March 15 of that
year. The employer shall ensure that the
nnnual summary report is accurate and
received hy March 15 at the location
that the Federal Highway
Administration specifics in its reqnes!.
The ruport shnll be in the iorm and
manner prescribed by the Federal
Highway Administration in its reques!.
When the report is submitted to the
Federal Highway Administration by
mail or electronic transmission, the
information requested shall be typed,
except for the signature of the certifying
official. Each employer shall ensure the
accurncy and timeliness of each report
submitted by the employer or a
consortium.
(c) Detailed summary. Each allnual
calendar year summary that contains
information on a verified positive
controlled substances test result, an
alcohol screening test result of 0.02 or
grenter. or any other violation of the
alcohol misuse provisions of subpart B
of this part shall include the following
illformalionnl elements:
(1) Number of drivers subject to Part
382;
(2) Number of drivers subject to
testing under the lllcohol misuse or
controlled substances use rules of morc
than one DOT agency. identified by
each agency;
(3) Number of urine specimens
collected by type of test (e.g., pre-
employment. random, reasonable
suspicion, post-accident);
(4) Number of positives verified by a
MRO by type of test, and type of
controlled substance;
(5) Number of negative controlled
substance tests verified by a lvffiO by
type of test;
. (6) Number of persons deni~d a
position as a driver following a pre-
employment verified positive controlled
substances test and/or a pre-
employment alcohol test that indiC<1tes
Fed~r;tl Resister / Vol. G1, Nll. 47 / Friday, MilfCh U, Hl~Hi / [{Il!l:$ ~nd Regulations U5Gl
~~~-- -'V.~--_...._- ~~ _._ .__~~.... _.... __ ~~~
nn alcohol conr.ent.ratioll of 0.04 or
j::w;:ler;
(7) Numb!!r of drivers with tests
veri IIp.d positive by a mediC<! i'review
officor for lI1ultiple controlled
substilnces:
(H) Number of drivers who refused to
submit to an alcohol or conlrulled
suhstances lest requirud under this
sub!Jnrt; .
(!I)(il Number of :mpervisors who hnve
received requirE;d alcoholt raining
during the reporting period; :lnd
(ii) Number of supervisor!: who have
received re:qllired conlrnlltld suhstances
Ira;nill~ dufing !he reporting period;
(1O)(i) Number of !:ereening illcohol
tests hy Iype of lesl; :lnd
(ii) Number of confirmalion n\cohol
lesls, by type oflesl;
(11) Numht;r of confinnation alcohol
tests indiCllling an alcohol concentration
of 0.U2 or gre~1ler but less than 0.04. by
tYJlu of tesl;
(J 2) NUllIhtir of confirmation .1kohol
tests indiOlting an alcohol conccntrntion
oro,O'1 or grc.1ter, by Iypl! of test;
(1:1) Nllmher of drivers who WC'jC
n:tunll'dIO duty (llllving cOlJlplicd wilh
the recommondlltions of a substnnce
nbuso piOfessional as descrihed in
5~ 3:12.:;03 and :H12.60S). in this
rl!porling period, who prcv,iously:
(i) Had a verified positive controlled
substance test result, or
(ii) Engaged in prohibited alcohol
misuse undc:r tilt! provisions 'of this part;
(14) Number of nrivers who-were
administered alcohol and drug tests at
tho sumo time, with uoth a verified
positivll drug test result nnd on alcohol
test r.::sult indk.~ting an alcohol
f;onc;enlration of Cl.lJ4 or greater; Dnd
(l:oJ Numbor of drivers who werll
found to havlI violall.>d any non-testing
prohibitions of subpart B of this part.
and any action taken in response to the
violation.
(d) Shari summary. Each employer's
anuu",1 C".lIlendar year summary that
contains only negntive contl'Olled
substance test results. alcohol screening
test results of less thnn 0.02, and does
not conl.1iu any other violntions of
subpart n of this part. may prepare and
suhmit, ns required by paragraph (b) of
this section. either n standard report
form containing nil the infonnation
ullllllonts sJ.wcified in parngraph (c) of
this S<.>ction. or an "EZ" report fomt. The
"EZ" report shall include the following
information elements:
(I) Number of drivers subject to this
Part 382;
(2) Number of drivers subjoct to
testing under the alcohol m'isuse'or
controlled substance use rules of more
than one DOT agency, identified by
each agency;
(3) Nnllih~r of llrino specimens
r.ollected h~: tYPfl of test (e.g., pre-
Ilnl ploY1l1l:1I1. ra:\dlllll. re:;llsonilh Ie
,~lIspid()(), posl.;I(:cid~nt);
(4) Nlllllht.r ofnegativos verified hy 11
'nndiC"."ll rovimv officer hy type of test;
(51 NUllllwr of drivers wllo r<:fllsed 1(,
submit 10 nn alcohol or controllud
substnnc:l'~<; test required undel' this
suhPilrt;
(fiHil Number of supervisors who hnvll
ruccived requimd akoholtraining
durillg Ihe reporting period; and
(ii) Number of supervisors who have
rucl:ivf:d rtlquiretl conlrolled sunslilnc,:s
lraining during the reporting period;
(7) Number of screen alcohullos!:. by
IYPt1 or test; nnd
(1ll.Numher of drivor::: who wore
relurned to duty (having compfied willi
thn recommeudations of a substnncll
ahusc I'mfc!ssioual as desl.ribed in
!i!i 31l2.503 nnd 3l:12.fiOS). in Ihis
reporting period. W.110 previously:
(i) Had n vcrififl(( positivll controlled
sllhstallc:e t('.fot result, or
Iii) Engilged in prohihitlli! alcohol
lIIisllSU IllldlH'lhe provisioll~ of Ihis part.
(e) Each employer Ihal is sllhjc:ct to
more than one DOT agency alcohol or
controlled sub!:tances rule shall identify
(loch driver C'.(wol"cd hy the l'eglllulions
of more lhan onc DOT agency. The
identifiC".lItion will be by the totol
numhor uf coverud functions. Prior to
conducting an)' alcohol or controlled
substances tost on a driver subject to tho
rules of OIOro than one DOT agency. the
employer :;hall determine which DOT
agtwcy rule or rules authorizes or
mflllirt!s tho test. Tho test resull
informnlion ::hall be diroc;ted to the
ill'pl"opriat<.l ncrr agency or agendes.
(I) A con.-o.-tiunr nHIY pmpnrc llnnual
1..,lclldnr )'<mr summllries and ropolis 011
Iwhalr or individual c.mployers for
purpose:: of complinnce wilh lhis
stlction. However. ench cmployer shall
sign und submit such a report and shall
remain responsible for ensuring the
accuracy and timoliness of each report
prepared on its behalfuy a consortium.
~382.405 Access to tacllltles and records.
(a) Excaptas required by law or
exprns:;ly authorized or required in lhis
sectioll. no cmployer shall release driver
informatiol1 th.1t is contained in records
requirod to ho rnaintllincd under
S 332.401.
(b) A driver is entitled. upon writtell
roquest, to obtain copies of any records
pertaining to the driver's use of alcohol
or controlled substances, including any
records portai.ning to his or her alcohol.
or controlled' substances tests. The .
employer shall promptly provide the
records requested by the driver. Access
to II driver's rec:orns shall not be
c:ontir.gcul upon paymenl for rt-"l;ords
nihcr Ihan thosll spllcificr.lly reqllested,
(c.) Each cmployet: sh;1I1 p~'llIit1lcce;;s
to all faciljlie~ ulilized in complying
wilh Iilo requirements oflhis part to th,~
SecTlltary ofTmnsportation, ;lny DOT
agr:n::y. or nil}' StaW or locnl offic:i..I~
wilh regulillory authority over the
C::lI1rfoyer or any of its driv~r<;.
(d) Each employnr shall nHlke
llvnilahlCl copie$ of ull resillts for
employcr ;deohol and/ur controlleu
substances testing cOllducted under thi:;
part and any other information
pert.lining 10 the mllploj'cr's alc:lJhol
mi:a;se ilnd/fJr C'.(\nlwflHd sJ;ti.,lar\o,,: :lse
prevention program, wht.:n reqlll<slcd hy
the Secretary ofTr:\Ilsporlllliun, any
DOT agenr.y, or any Slill~ or !0(;;'I1
omcinls with rcgl:lntory alllhoril.\' n',f)!'
the employer or ilny of its rlriV(1r!:.
(e) When rt~qlll!sted hy the i'J:.tiur,;;/
Trllnspcrlntioll Snf.~ty DO;'lrcJ ilS rorl of
;'In 1lC".ddellt investigation, cmplo)'(!f's
shall Jjsclose iuformlltion ....Jlated to :hc:
employer':; ilc1rninislration of a po:;i-
ac:dde:nt illcohol and/or controllt:d
Sll bSlilnc:c lest admin isl(!r"d !tlllu\':i Il:~
the ,1cr.idc:nlllnder invcstigatiull.
(!) Records shall he mndc i!v:.ilable 10
a subsequcnt emploYf:rupon rf.\ccipt of
a wrillen r<xlll(...~t from a driver,
Disdnsure "r Iho lOuhsC4lHHlt cHlployer
is pcmlitted only as t:!xpl'l.~;;I.\'
nllthoriwd by tlw terms of llll: ddv.:,'s
requust.
I 19) An (!mployer may disc1ClsiJ
jnformation required to he mllir:luincd
under this pnrt per1l1ining to a t1rivl:r,
the decisionmnker III alaw:;uil.
grievance; or othel' prccecdillg iuiliiltcd
by or on hehalf of the individunl, nnd
arising from tho results of all ulcCJho'1
aud/or ..olllrolled suhslnm:(! IC,;l
ndlllinistc:red lJlld3r Ihis pal1, or.frou\
ilIA cmployer's determination :/wt Ill(!
driver engaged in conduct prohibited by
subpart n of this part (including. hut not
limited to, 0 workor's compon~tion,
unemployment compensation, or olher
, proC"'ceding relilting to II hflnefit sOiJght
by the driver.)
(h) An l!mployer shnll rcll.!:ISC
informnlion regarding II drivcr'~ rccMds
n." directed hy tho specific; wrillell
consont of the driver authorizing rdeilse
of the illforrnation to an identified
person. Release of stich inforrllnlioi'l 11'y
the person roceiving th(\ infom...lioll is
permitted only in accordance wilh Ifill
tc,rms of the employee's c!lnsen;.
~ 382.407 Medical review offlccr
noUtlcaUon:J to the employer.
'(0.1 The medical revi!lw o"m~er may
report to the employer using <lilY
communir.lltions device, but ill all
instances a signed. written notification
must be forwarded within three
9562
fl:dcral Register / Vul. G1, No. 47 / friday, March ll, l~l\)(j / Rules and RegulatioIlS
,~(t: ",.-.
i-~~:;:.~.::
\... ;~.:-.
husinu~~ dil}'S of COlllpldion of (Ill:
mcdi(;:JJ reviuw officer's review,
pursuant to part 40 of this title. A
Icgihle photocopy of the fourth cOJlY of
Part 40 Appendix A suutillcd CO/'Y 1-
SEND DIIlECTLY TO MEDICAL /lEI/IEW
OFFICER-DO NOT SEND TO
LABOM TOllY of the Federal Cust.odv
and Conlrol Frl/1n OMB Number 9999-
0023 moy he used to make the signed,
written notification to the emrloyer for
oil test results (positive. negalive.
canceled, ctc.). pro\'ided that the
cOl1trollml suhstnnce(s) vcrificd ns
Jhlsilivl~. and till: "'m(r~ signnluw. :;hilll
he legiuly noted inlhe relnarks scction
of step II of the form cOlllpletcd hy the
nwdi(:.al rllvil.:w offiCl~r. The MRO fIlUSt
~ignllll verified positive test results. An
MRO IlIay sign or rubb~r stamp negi'ltiv\!
test fCsults, An MRO's staff may ruhber
stainl' negi'ltive test results under
written lIuthorization of the MRO. In no
event shall all !\.1RO, or his/her sti'lff, use
electronic siguature tl!l.:hnology to
c(Jnlply with this section. All reports,
both urallllld ill wriling. from the
IIImlic;r1 rcvim,.. nfficHr 10 an el1lplo)'l:r
shall dearh' include:
(1) A sl,atCJI1Cnt that the controlled
suhstonc!$ t~st heing mported was in
accordance with port 40 of this lill(l and
thi~ part, ux(:epl for I~gible photocopies
of Copy '\ of the Federal Custody i'lnd
Control Form:
(Z) The fullnallle of lhe driver for
whom the lest results are being
reported:
(3) The type of tust indir.nted on the
custody and (;ontrol form (Le. random.
post-acddent. follow-up):
(4) The date and location of the test
collection:
(5) The identities of the persons or
entities performing the collection. '
analyzing lho specimens. and serving os
the medicnl review officer for the
specific test;
(6) The results of the controlled
substances te:,;t. positive. negative. test
canceled. or test not perfomled. and if
positive. the identity of the controlled
substance(s) for which tho test was
verified positive.
(b) A medical review offi<..-cr sholl
report to the employer thntlhe lIIedir.l11
review officer has made all reasonable
efforts to contact the driver as provided
in 9 40.33(c) of this title. The employer
shall. I1S ~oon as prac:tir.able, request that
the driver c:ontactthe medical review
officor prior 10 dispnt<:hing the driver or
within 24 hours, whichcver i~ earlier.
~ 382:.409 MediC<11 review o(ficcr record
relllniion .for controlled substances.
(.1) A nl(~di(:<11 revimv omc(~r shall
mainlain all duted record~ and
notificntion5, iden.tified by individual.
for it lIIillilllUlll of fiVI~ veiln; for vl:rifll,d
positive conlrolled sul;stallces lesl
results.
(h) A medical ru~'iew officer shall
lIIi'lintuin all di'ltcd records lIlId
notil1cations, idel~lified uy individual.
for a miuilllullI of one year ror negative
anu canceled controlled suhsti'lllces te:;1
resu Its.
(c) No person may ohtnin t1tf~
individual controlled ~ubstnncl~s lest
results retained by a medici'll revi(:w
officer. i'lnd no IIIcaic."l1 review officer
shnll wll~nse the individllill conlrollml
~llhSI;llll:I:~ h:~t re~lllls <.If allY drivl:r III
any per:;oll. without first olliaillillg a
~Jledfic. wrillenalltllllri7":llilln rnJlII llw
les\l:d driver. Nothillg ill this paragraph
shall prohibit a lIledkaJ review orfi(;l:r
from releasing. to the elllploYIH' or to
ofl1dals of the Secreli'lry of
Tran~portation. nny DOT a!.:clll:Y. or ;IIIY
Stalu or locol officii'lls with mg\llalory
authorily over the cOlltrolll,d S\lhst.lIll:I'~
testing progrnm ullder this parI. Ill\:
information delineated ill ~ :l1l:!.40i(;1)
of this suhpi'lrl.
~ 382.411 Employer notilicntions.
(a) An employer sballnotify a drivl.!r
of the results of a pre-employment
controlled substnnce test conducted
ut'lder this part, if the driver requests
such results within GO calendar days of
being notil1ed of the dispo~ition of the
emp loyment i'lJlP \i(;:Jtion: An em p loyer
shall notify 0 driver of the resulls oV
random. rP.asonable suspicion and post-
lIccidonltests for controlled suhslanc:es
conducled under lhis pari if till: tl:sl
results arc verified po~iti"ve. Tlw
employer shall also inform the driver
which controlled substance or
substances were verified as positive.
(h) The designntod mlln"Hllnwnt
ofl1dul shallmi'lke reasonahle dforts to
contact and request each driver who
. submitted a specimen under the
employer's program, regordless of the
driver's employment status. to contact
and discuss the results of the controllod
substances test with a medical review
officer who has been unable to contact
the driver.
(G) The dllsignotod managemont
omciol shall immediately notify the
medi(;:J1 review omcer thai the driver
hns hcen notil1ed to conlaclthe medic:al
review officer within 24 hours.
~ 382.413 Inquiries for alcohol and
controlled substances Infomiatlon from
previous employers.
(i'll( I) All employer shall. )lur:mi'lnl to
tho driver's wril1(Hll1ulhori<':alioll.
in<]uirn ahout the follo\~ing illformation.
Oil a driv(~r from tIll! d'rivl~r's )lrt:vitluS
elllployer~. during lhe preceding lwo
years from the dale of lIpplical ion,
which an: lIIailllained by lite drivur's
previous cl/lploycrs under
~3H2.4()1(bl(1) (i) through (iii) of this
SUh\lilrt:'
(i ^lcohol lests with a result of 0.04
alcohol concen(rOllion or greater;
(ii) Verified positive controlled
~ullslances test results: and
(iii) Refusals to be tested.
(2) The information obtained frolll a
previous employer may conlain an\'
alcohol and drug information the -
pnl\'ious employer obtained frolll other
pmviolls employers under paragri'lph
(;1)( t) or Ihis ~(:cli(ln.
(h) If ft:a~ihlu. till: inrorllli'llion in
('aragraph (i'l) oflhis section mllst he
nhl.1ined and reviewed by tht! elllpl(l\,(,r
prillr 10 the firsltilnc a driver pl:rfof!;IS
~i'lfet\,-sensilive fUnclion5 for the
elllpioyer. If not fensible. the
infoflllatiCln llIust be obtained and
n:\'il~\Ved as soon as po~sihlf1, bul 110
laler thi'ln H-C:."llendi'lr di'l}'s i'lrtcr tlte nr~l
lilllo i'l driver performs ~afctv-sen~ili\"e
functions for the ulllployer. .An
1\lllploYllr llIay 1I0t permit 0 driver III
I'l:rfllrlll s;lfoly-sell~iti\'I' fundion~ "f!"r
H days without having llIi'ldc a Hood
failh effort to outain the information as
soon as possible. If a driver hired or
used by the employer ceoses performing
safety-sensitive functions for the
employer before expiration of the 14-
duy period or before the employer has
ohtained the information in pnrngraph
(a) of this section. the employer must
still make a good faith effort to obtnin
the information.
(<:) An employer 1Illlstl1laintain i'l
wrillen, confidentinl record of the
information obtained under paragraph
(a) or (f) of this section. If, after mnking
a good faith effort. an employer is
ullable to obtaill the information from a
previolls employer. Q record must he
made of the efforts to obtain the
information and retained in the driver's
quali fication file.
(d) The prospective employer must
provido to each of the driver's previous
employers the driver's specific, written
authoriznlion for release of the
information in paragraph (0) of this
section.
(e) The release of ony informal ion
under this section may take the forlll of
personi'll interviews, telephone
interviews, letters, or any olher method
of transmilling information that ensures
confidentiality.
(0 The information in paragrnplt (a) (If
Ihis s<:t:tionlllayhc prnvi<\c'd difllclly to
the I'rospectivc olllploycr by the dri\'l,r.
p~(lvided tho emploYl,r :I~s\Jres it:;tdr
. thnt the information.is tnll: and
;Il:cumle.
(g) An employer may not use a dril'l:r
10 perform sa fety-sensiti \'e functions if
Federal Register / Vol. 61, No. 47 / Friday, March 8, 19!J6 / Rules ano Regulations 95G3
---.---.....- -... -,~...-. ,.- -~ .....-..- ~.~_._._..... ~.. - -,~-
.,~.
the employer obtains information on a
viol.llion of the prohibitions in subpart
R of this part by the driver, without
obtaining information on subseqllent
compliance with the referral,and
relwhilit"tion requirements of ~ :1ll2.liIl5
of th is part.
(h) Employers need not obtain
information under pal1lgraph (a) of this
section gener<lted by previous
emrloy~rs prior to the storting dates in
~ 382.115 of this part.
Subpart E-Consequences For Drivers
Engaging In Substance Use-Re/<ltcd
Conduct
~ 382.501 Removal from safety-sensitive
function.
(a) Except as provided in subpart F of
this part. no driver shall perform snfety-
sensitive functions, including driving a
commercial motor vehie/e, if the driver
has ollgaged in conduct prohibited by
subpilrl D of this part or an alcohol or
controlled subst<lnces ru Ie of another
DOT agency.
(b) No employer shall permit <lny
driver to perform safety-sensitive
functions, including driving a
. commercial motor vehicle. if the
employer h<ls determined th<lt the driver
hilS violated this section.
(c) For purposes of tbis subpart.
commercial motor vehicle means a
commercial motor vehicle in commerce
us defined in ~ 382.107, and a
commercial motor vehicle in interstate
commerce as defined in P<lrt 3!J0 of this
suhchapter.
~ 382.503 Required evaluation. and testing.
No drivllr who hns engaged in
cOllduct prohibitlld by subpart D of this
part shall pcrform snfety-sensilivo
functions, including driving <I
commercial motor vehicle, unless the
driver has met the requirements of
~ 3il2.60S. No employer shall permit a
driver who hus enRoged in conduct
prohihited by subpart 8 of this part to
perform s:1fety-sensitive functions.
inc:luding driving n commercial motor
vehicle, unless the driver has metlhe
requirements of S 382.605.
9382.505 Other alcohol;related conduct.
(a) No driver tested under the
provisions of subpart C Qf this part who
is found to have an alcohol
concentration of 0.02 or greater hut less
than 0.04 shall perform or continue to
perform s:1fety-sensitive functions for 0.11
employer. including driving a
commel:d<ll motor vehicle. l10r shall an
employer permit the driver to perform
or continue to perform safety-sensitive
functions, until the start of the driver's
,next regulnrly scheduled-duty period,
hut not less thnn 2,4 hours following
ndmitiislration of the telOt.
(h) Except as provided in paragraph
(n) of this section, 'no employer shnll
l<1ke any ilctiofl under this pnrt OIgainst
a driver based solcly on test results
showing nn n!cohol c.oncentrntion less
thOlIl 0.04. This does not prohihit an
employer with aulhority independent of
this part from taking any action
otherwise consistent with law.
~ 382.507 Penalties.
Any IllllplnYllr or driver who violates
Ilw rllqllinlllWlIlS of this part shOll1 be
subjecl 10 tho Pllnulty provisions of 49
U.S.c. section 521(b).
Subpart F-Alcohol Misuse and
Controlled Substances Use
Infomlalion, Training, and Referral
9 382.601 Employer obligation to
promulgate a policy on the misuse of
alcohol and use of controlled substances.
(a) General mquirements. Ench
employer shall provide educ<ltional
materials tl1<1t explain the requirements
of this part and the employer's policies
and procedures with respect to meetil)g
these requirements.
(1) The employer shall ensurti th<lt a
copy of these materials is distributed to
each driver prior to the start of alcobol
and controlled substances testing under
this part and to each driver
subsequently hired or transferred into a
position requiring driving a commercial
motor vehicle.
(2) E<lch employer shall provide
wrillen notice to representatives of
em ploycc organiz.1t ions of the
lIvnilnhility oflhis information.
(h) Ilequimd contemt. Thc mnlorinls 10
bo lIIado availnhle to drivcrs shlll1
indude detaillld discussion of at least
the following:
(1) The identity of the person
designated by the employer to answer
driver questions ahout the muterials;
(2) The categories of drivers who are
subject to the provisions of this part;
(3) Sufficient information about the
safoty-seilsitivc functions performed by
those drivers to make clear what period
of the work day the driver is required
to be in compliance with this part;
(4) Specific information concerning
dri ver conduct that is prohibit~d by this
part;
(5) The circumstances under which <I
driver will bo tested for alcohol and/or
controlled substances J.tnder this part,
including post-accident testing under
S :182.303(d); ,
(6) The procedures lhat will he used
to tost for the presence of alcohol and
controlled substances, protect the driver
:lIld the integrity of the testing
processes. safeguard thE: validity of the
test results, and ensure Ihat Ihose results
arc attributed to Ihe correct di'iver.
including post-ac.cident information,
procedurcs and inslrllctions rcquired by
3 311LlO3(d) of this part:
(7) The requir~ment thnt a driver
submit to alcohol and controlled
substances tests administered in
accord<lnce with this part;
(1I) An explanation of what constitutes
II refusilllo submit to an alcohol or
controlled subst<lnces tesl ilnd the
attondnnl consequences;
(!l) Till: r.onsl:qlJCnC:l:s for r1rivurs
found 10 havIll.'iol<ltcd subpart fj orthis
part. inclnding the requirement thatlhe
driver he removed illllllccliall:ly from
safclY-SlJnsitive funcliolls, and the
procedures under ~ 3112.fi05;
(111) The conscCJucnc.es for drivers
rOllnd 10 have an alcohul concenlration
of 0.02 or gre<lter but less than 0.04:
(11) Informiltion concerning the
effects of alcohol and controlled
substances use on an individual's
health, work, and personal life; signs
and symptoms of an alcohol or a
controlled substances problem (the
driver's or a coworker's); and <lv<lilable
methods of intervening when an alcohol
or 0. controlled substances prohlem is
suspected, including confrontation,
referral to any employ(.'e assistilnco
I progmm and or referral to m<lnagement.
/ (cl Optional pr.ovision. The materials
, supplied to drivers may also include
, information on additionnl employer
policies with respect to the use of
alcohol or controlled subst<lnces,
indllding nny consequences for a driver
found to have <I spccified ulcohol or
controlled substances level, thnt i1re
Ilasl~d on the umploycr's authority
illcll:pendlJlIt of lhis pnrt. Any slIch
ndditional flolic;ics or c:onsl:quclIc:es
must be c111arly and obviously dc~;ribed
as being based on independent
aul hority.
(dl Cmiificnte of re:ceipt. Each
employer shall unsure that each driver
is required to sign a statement certifying
that he or she has received a copy of
these materials described in this section.
Each employer shall mnintain the
original of the signed certificate ilnd
may provide a copy of lhe certificate to
thEl driver.
~ 382.603 TraIning for supervisors.
Each employer shall ensure that nil
persons design<lted to supervise drivers
receive ntleast fiO minutes of tmining on
alcohol misuse and receive nlleast <In
<ldditionnl 60 minutes of training on
controlled suhstances use. The truining
will be used hy the supervisors to
determine whether reasonahle suspicion
exists to require a driver to undergo
9564
federal Register / Vol. G1, No. 47 / friday, March D, 199G / l{ules and Regulalions
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testing under S 3UZ.307. The tr"ining
sh,,1I include the physical, behnvioral,
speech, und perfornl<lnce indica,tors of
prohnble akohol misuse nnd use of
controlled suhstances.
~ 382.605 Referral, evaluation, and
treatment.
(a) E<lch driver who has engaged in
conduct prohibited by subpart B of this
part shall be advised by the employer of
lhe resources available 10 the driver in
evaluating and resolving problems
associated with the misuse of alcohol
.l/ld use of controlled suhslnnces.
including Ihe n<lmes. ad'drl!sses. ilnd
tl:lephone numhers of sllhstance "hllse
professionills and cuunseling nnd
lrentment programs.
(h) Each driver who engages in
conduct prohibi led by subpart D uf this
pMt shnll be evalunled by n suhslnnce
<lhllse profl~ssioll<ll who shill I detefln i lie
whnt assislnnce, if any. Ihe employee
needs in resolving prohlems nssoc:iilted
with alcohol misuse nnd controlled
substances use.
(c)(l) 13efore a driver relurIls to duly
requiring the perforllwnce of a safely-
sensitive funclion after engaging in
conduct prohibited by subpart 8 of this
part, the driver shull undergo a return-
lo-duty alcohol :esl wilh a result
indicating an alcohol concentration of
less than O.OZ if the conducl involved
alcohol, or a controlled substances test
with a verified lIegative I1lSU It if lhe
conduct involved a controlled .
substance.
(2) [n addition, each driver idenlified
as needing assistance in resolving
problems associoted with alcohol
misuse or controlled substances use.
(iI Shall be e\'alllattld by il suustance
abuse professional 10 determine thatlhl.l
driver has properly follow!!(l any
rehabilitation program prescribed under
paragraph (h) of this section, and
(ii) Shall be subject to unannounced
follow-up alcohol and controlled
substances tests administered by the
employer following the driver's returll
to duty. The numher and fmquClI<:y of
such follow-Ilf' h:sling sh..lllm as
dinx:ted hy the sllhstall<;e ahuse
profl:ssional, and consist of ill It:ast six
tesls in the fin;t l:lmonths following the
driver's return to duty. The employer
may direct,the driver to undergo return-
to-duty and follow-up testing for both
alcohol nnd conlrolled substances. if the
substance abuse profes~ional detc'rmines
that retunHo-duty and follow-up testing
for both alcohol nlld controlled
substances is necessary for that
particular driver. Any ~uch testing shall
be performed in accordance with the
requirements of 49 CFR port 40. Follow-
up testing shall not exceed. GO months
from the dnte of the driver's return 10
duty. The substance abuse professionnl
may terlllinilte IIw requirement for
follow-up tesling at any time after the
first six tests hilve been a'dlllinistered. if
the subslilnce nbllse professionnl
dt:termine~ lhul such testillg is 110 longer
lIecessary.
(d) Evaluation and rehabilitalion may
be provided by the employer, by a
~uhstallcc abuse professionnlunder
contract with Ihl! employer. or hy a
~ubstnllce nbuse professionnl not
nffilinted with the employer. The choice
of sllh~tance ahuse professional "lid
,lssigllnwnl of costs ~hnll he mnde ill
,1c:cordill1(;e wilh employer/driver
agreelllcnts olld employer pulicies.
(e) The cmpluyer shnll ensure thal n
suhstnnce ahuse profcssiollol who
determines Ihat a driver requires
ns~istance in resolving problCllls with
<llcoholmisusc or cuntrolled suhsl;nll;cs
u~e docs nol refer the driver to rhe
suhstnnce ahuse profossional's privul\:
practice or lo a person or organization
from wbich the subslance abuse
profes~ional receives remuneration or in
whidl the subslance abuse professional
has a financial interest. This parogroph
does not prohibit a substance abuse
professional from referring a driver for
assistance provided through-
(1) A public agency. such as 0 State,
county, or OIunicipality; .
(2) The employer or a person under
contract to p~ovide treatment for alcohol
or controlled substance problems on
behalf of the employer;
(3) The ~ole source of thero Jleutica Ily
appropriate treiltmenlunder the driver's
health insurance program; or
(4) The sole source of thempoutit:.,lIy
appropriilte Irentment reasonuhly
nccessible to the driver.
(I) The requirements of tl:i~ section
with respect to referral, evaluation and
rehabilitation do not apply to applic.1nts
who refuse to submit to a pre-
employment alcohol or controlled
substances test or who have a pre-
employment alcohol tesl with n result
indi<:nting nn nlt:llhol l:Oncllntralion, of
lUJ4 or grc..h!f ur lIl:unlrollm(
suhslnnclJs tllSt witlt il vorHiud posil i\'o
test re~ull.
PART 383-[AMENDED]
2. The authority citation for 49 CFR
part 3D3 is revised to rend as follows:
Authority: 49 U.S,C 31101 Pot .~eq., :11'1:16.
and 31502; and 49 erR 1.48.
3. Section 383.3 is revised to rend :J~
follows:
9383.3 Applicability.
(a) The rules'in this part apply to
every person who operates a
commcrcialmotor vehicle (CMV) in
interstilte. foreign, or intmstate
comlllerce, to all employers of such
persons. lInd to nll Slates.
(II) The exceptions conlained in
~ 3flO.3(g) of Ihis sllbcllilpter do nol
npply 10 this parl. Tlte employer:; lInd
drivers identified in 9 390.3(g) must
comply with the requirements of this ,
part, unless otherwise provided in this
section.
(c) E....ception far certailll1lilitary
clri\'l:rs. Each State nlust excmpt from
the requirements of this part individuals
wlto operalo CMVs for milil<lry
purposlls. This excejltion is npplicahle
lu activo duty militury personnel;
IIlCnlhcrs of the mililary reserves;
IIIUlllbcr of the nillionlli guard 011 active
duly, illcluding personnel on full-lime
niltional guard duty. personnel on pnrt-
time Ilnlion:J1 guard training, ;llId
llation..) gU:Jrd militnry ledmidnns
(dviliilns who are required to wenr
lnilil<lry uniforms); and nctive duty U.S.
Coasl Guard personnel. This exception
is not applicable to U.S. Reserve
technicians.
(d) Exception for farmers. firefighters
and emergency response vehicle drivers.
A Stilte may, at its discretion, exempt
individuals identified in paragraphs
(d)(l). (d)(2), and (d)(J) of this section
from the requirements of this part. The
u~c of this waiver is limited to the
flrivcr's home Slale unless there is a
rcdprocity agreement with adjoining
.slate~.
(1) Operators of a farm vehicle which
is;
(i) Controlled and operated by a
farmer, im:luding operation by
emlJloyces or family members;
(ii) Usod to transport either
agricultural products, farm machinery,
farm supplies. or both to or frolll a fllnn:
(iii) Not used in the operations ofa
common or contract motor cnrrier; and
(iv) Used within 241 kilometers (150
miles) of the farmer's fann.
(:l) Firefightel'5 and olher persons who
operate CMVs which are necessary to
tho presorvalion of life or property or
I htl llxecution of omergoncy
Hovcfllmcntnl fUI\l:tions. arc llquipped
with nudihle and visual signals and aw
not subjoc;t to nOfmaltraffic regulatiun.
These vchicles include fire tnlcks, hook
and ladder tnlcks, foam or wal"lr
transport trucks. police SWAT team
vehicles. ambulances. or other vehicl\.'s
Ihllt are used ill responsc to
emergencies.
(e) llestricted commercial drivers
lic(!nse (CDLJ for certain drivers inlhe
State of Alaska. (1) The State of Alaska
milV. nl its discretion, waive only the
foliowing I'llquiremellts of this part and
issue n COL to each driver thatmeels
I
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Federa! Register / Vol. 61. No. 47 / Friday. March 3. H)96 / Rules and Regulations !)565
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the condilions set forth in paragraphs (e)
(2) "nd (:1) ofthili liection:
(i) The knowledge tests sland"rds for
Il:sting procedurcli and IIlclhOOli of
subparl H, but must continue 10
administer knowledge lests lhal fulfill
the Conlenl requirements 01 subpnrt C
for all "pplicanls;
(ii) AlIlhe skillli lest requirements;
and
(iii) The requirement under
~ :1B3.1!i:l(a)(4) to have" rhotograph on
the license doculllent.
(2) Driven; ofCMVli in the Slale of
.i\laskn must operate exclusively over
rmlds th"l mecl ho/h oflhe following
crileria to he eligible for the excllplion
io raragrnph (e)( 1) oflhis sectioll:
(i) Sucb roads are nol connected by
)"nd highway or vehicular way to lhe
land-connected Slnle highway sYlitem;
<llld
(ii) SlIch roads are not connected to
all)' highwny or vehicular way with an
average daily lrnffic volume greuler lh"n
4!l!1.
(:11 Any COL issued under I 'll) IllrrllS
of this paragrnph lIluSt 1~I,.r)' fwo
reslrictions:
(i) Holders may not operate CMVs
ovur mads other Ihnnlhose spt:dfied in
parngraph (Il)(Z) of this section; and
(ii) The license is not valid for CM:V
operation outside the Stale of Alaska.
(I) nl~strjc/ed CDL for certain drivers
ill farm-related service industries. (1) A
Slale may, al its discretion. waive the
requirod knowledge and skills lests of
subpart H of this part and issue
restricted COLe; to employees of these
designated fnrlll-rolated service
industries:
(i) Agri-chemic..:JI businesses:
(ii) Custom IUlrvesterro;
(iii) Farm retail outlets and suppliers;
(iv) Livestock flleders.
(2) A restrkted CDL is.e;ucd pursuant
to this paragraph shaU meet all the
requirements of this part, except subpart
H of this part. A restricted CDL issued
pursunntto this pnragrnph shall be
nccorded the same rt.'Ciprocity as n COt
meeting aU of the requirements of this
pnl'l. The restrictions imposed IIpon the
issu;1l1c:e of this restricted COL sh.1l1not
lilllit:J !lorson's use oflhe COL in a nOIl-
eMV during uither vnlidntcd or non-
\'alidnted periods, nor shall the COL
affect a State's power to administer its
driver licensing program for operators of
vehicles other than CMVs.
(:1) A State issuing n COL under the
terms of Ihis paragraph must restrict
issuance as follows:
(i) Applicants must have a good
driving record as defined in Ihis
paragraph. Drivers who have not held
any motor vehicle operntor's license for
nt lenst one ycnr shnllnot he eligible for
this COL. Drivers who Jlnve bet ween one
nnd 1\\'0 )'ll:JrS of driving e~Jlerience
1II11:;t denwnslrale n good driving record
fllr lh.:ir onlin: driving hisJ.ory. nrivcrs
wilh 11Ioru llJilnlwo YC;lrs of driving
l:xl'erioncc IIlllSt hnve a good driving
record for the two lllOst recent years. For
the pllrJloSHs of this parngraph. the t€rlll
good drivillg mC(lrd menns that an
applkA1nl:
(A) Has not had more than one license
(m:r.ept in the instances specified in
!i :1 11:1 ,Z 1 (h));
(0)1 [a5 not had (lnI' license
slIspendlHI, revoked,"or r.mll;eli:d;
(C) I [as nol had nnycollviclic)n ror
any type of mol or vehie:le for llHl
disqualifying offenses contained in
~ :1113.51 (11)(2);
(0) Hali not hnd allyconviclion for
any lype of motor vehicle for seriollS
tramc violations; and
(E) Has not had any convic;tion for a
villlalion of Statc or local law rCllaling to
llIotor \'uhie:le trani,; conlrol (lJllll:r (hall
a p..rking vilJl.1tion) ;Irisillg ill
CIIJlIH,lI:tion wilh any lraffil; acc:ht.:nt,
and has 110 n:cord of nn ,ll:ddelll ill
whil:h he/she was at fall It.
(ii) !{estric:led COLs shall have the
s.1nw renuwnl c:ycle as unrestric:ted
CDLe;, hul shall he limited 10 the
seasonal period or periods as defined by
lhe Slate of licensure. provided lhat the
tolal number of calendar days in any 12-
month period for which the restricted
COL is valid doos not exceed 180. If a
Stale elccts to provide for more than one
sensonaJ period. the restricted COL is
valid for commercial motor vllhicle
operatioll only during the currently
npproved senson, nnd must be
rov..liclalud for onch successiVE! senson.
Only one ,;cnsonn) period of vnlidity
lIlay appear on the license docllmeut <It
a lime. The good driving record must be
confirmed prior to any renewal or
revalidation.
(iii) Restricted CD!. holders are
limited to operating Group Band C
vohicles. as described in'subpart F of
I his (lart.
(iv) Restricted CDts shall not be
ililiued with any endorsements on the
license document. Only tho limited t:mk
vl:hic:ll: and hnz,nrclClUli mnlerials
l!lldor:wlllcnt privilt...ges thnt the
reslricted COL automatically confers
and are described in paragraph (O(3)(v)
of this section are permitted.
(v) Re5trictlld COL holders may not
drive vehicles cnrrying any plac.ardable
quantities of hnzordous materials.
except for diesel fuel in quantities of
3,7115 liters (1.000 gallons) or less; liquid
fllrtilizer:; (i.e., plnnt nlllrienlli) in
vehicles or implements of husbandry in
total CJlInntities of 11.355 Iitcrs (3,IlOO
gallons) or less; and roolid fmlilizers (i.e..
solid plant n'utrients) tlwt arc not
trnrisported with nny organic suhstance.
(vi) Restricted COl. holders lIlay nol
hole! an unrestric;led COL ;it \hi: S..IIlU
lime.
(vii) Restricted CDL holdi:rs may JlGl
oJ.lernte a cOlTImen:ialmotor vehic.le
beyond 241 kilollleters (150 miles) from
lho plnce of business or the farm
currently being served.
(g) Restricted CDL for certaill dril'i:rs
ill tha pyrotechnic: industlY. (1) ,\ Slale
IllAY. lit its discrulion, waive lhe
rcquil"(,c1 hnzardouli nHlturinls knowled~n
II;St5 of suhpart H of this pJrl ilnd iSSllf:
rc51ricle:d CDLs to pilrt-tirne drivers
operating cOlllml1r<:ild IllOlor v(:hide;~
transporling less than 227 kilognlOls
(500 pounds) of fireworb dali5iiied as
DOT CI:l$s 1.3C explosives.
(Z) i\ State issuing a COL lIndl~r tlw
Icrlllli or llli:: paragraph Illust restrict
isslInnc:e os follows:
(i) The Gvwn of llw Vdlidl: 101)(:
opl:ratlHllllusl he less I bill 4,!i:l7
kilogr.lllls (HI,OOl pOI/lids):
(ii) Jr a Slale ht:lieves. ill its discn:lioJl,
thnt thu Iraining roquired hy !i 172.70-1
of this litll.lndequlliely prcpafuli part-
lilllll driven; meeting the other
requirements Oflhi:; paragraph 10 denl
wilh fir..Jworks and tho othM pot(lntial
dangers posed hy fireworks
trnnsportation and use, (he ~aale may
w,hive the hazardous materinl::
knowledge tests of subpart H of this
[>hrt. The State may impo:;e any
reqllircJments it bolievHs is ner.C$lillry to
ensurH itself lhat a rlrivnr is properly
Irained pursuant to ~ 172.704 or lhis
title.
(iii) A restricted CD!. doclImnnt
isslled pursuant 10 thi:; p:tr;.gr;:,pla shall
h<lve ,1 st::ltemcnt dearly illljlri:l!p.d on
the fnce of the docurnenttlw: is
suhslunt ially si milar as folh)\....s:. "For
use as a CDL only during lhll period
from June :l0 through July t1 for
purposes of transporting )~ss than 2:~7
kilograms (500 poundfi) of fire:works
classified as DOT Clnslil.:l(; l:xpICJf.ivl;s
ill'a vehicle with n GVWR of It);;s thall
4.537 kilogrnms (10.0li1 pOilllds).
(3) A reslrie:ted CO!. isslll:d PllrSU;illl
to lhis par.l!:raph sll:llllll,,(:1 ..II Iii':
nlquiwlllellls of thi:; part. 1::..I"'I,II:IlJ:a:
specifically identified. A n:slridl,d CiiL
is.e;ueu pursunnl to lhh; parnt:r;.ll'h :.hal.
he accorded tho :;'111113 f(jl;iprodiy liS a
COr. meeting all of the nJeJllimme:nl:: cf
this rM\. The restrictions illlpOSI:c1upon
the issllancc of this restl'iclod COl. sh:dl
not limit n persoll's \lse 'of Ilw COL in
n non-CMV during either v;dicln:ud Of
non-validated periods. nl/r :;/ialllhc
COL affect a Stole's powllr III ndminis!!ir
its driver licensing progralll I(ir
opemtors of vehides otlwr I hnn CMVs.
95GG
Federal Regi~tcr / Vol. 61, No. 47 / Friday, March 3. 199G / Rules and Regulations
. o. .. ._. __0...___ ,_
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~:~~t:.~:::.
(4) Re~lriclccl COLe; shall hnve lllll
$;I/I1e rt!lw\\';d c\'C:lc i1~ 1I11rc~lricll)d
CDI_<;.11lI1 ~hall.j,c) Iillliled 10 die
!:c:;\sollal IJl,rill<ll,f JIIIlt: :llllhroul~h Jllly
Ci of e;I(;I, )'I:..r llr iI rcssl~r lH:rilJd as
ddil1l,d hv 111l: Slal/: of lic\:Ilsure.
(~) 1'4,r~~lIIS W.lIlJ ullcrall' CCIIIIII Il:n;j';'d
II1Qlor vchicles during the period frolll
July 7 through June' 2!Hor purpo$c$ of
tr.JI1sporting les~ I han 227 kilogrnll1~
(500 pOllncl~) of lireworb c:In~~ifil,d a~
DOT Cla~$ 1.3G explo!:i\'cs in a vehicle
with a GVWJ{ of less ;,hnn 4,537
kilogrnms (1(),(J()l r'CJlll1d~) i1l1cl whl1 nb,
operale such \'chic!;;s for 111l) !:::lIa:
purposes dllrillg Ihe I,ll:rind JUlie :Hl
lhrough Jllly (i shallnol be i~slled n
reslrided CDL pllrslwlltlo lhi::
p:mlgraph.
4. Seclion 311:1.5 i~ illIWlldlld by
revi~illg the II:rlll "coillllllm:i.I! /lIolor
vchic.le" 10 read as fo Il0ws:
Haz,.'lrdous Malerials Trnll~porlalion ^cl
nlld which rtJquire tho molor v(,h iell: 10
1m l"m;'1nled lIndllr Ihlllla".:mllJlIs
, Ma",rial:: J{q:ul;I,I;IlII!: (4!1 CFR parI I i''.!..
sullJl:irl (.').. . .
, lhc,l1Iolor vchiclt: to be pbc;:lrded undcr
tho. 1'1n.7~1nl(lus' Malerial~ Rcgulatiolls (49'
CFI~ part 17Z~ :;uhpnrl F). .
PART 3SO-[AMENDED]
. ,
:.. Secl iO/l :11l:Ull is allwlld,," 11\'
revi~i/lg (lur.Jgruph (a) to read .is f~llows:
~ 333.91 Commercial molor vehicle
grcl.lps. .
(a) Vehicle group dll!:eriplio/l~. Eadl
clrivHr "Jlplicnnl musl possess ,lIid hc
lcsll~t! 1111 his/ller kllowledgll alld ~ki lis.
d.,sr.ril:r:o\ ill !:lIhpnrt C uf lhis p:!rl, for
II\\: CI,'fI'lI'":I'l:;al/llolllr vehil:!I' grollp(sl
fur wh il.:h h'~/she dc!:; nos a CUI.. Tla:
cO/llllwn:iu! 1I111lnr vdlid\: grollp~ MC as
follo\\'s:
(t) COlld,illalioll vehide (Crullp :\J-
All)' eOlllhillnlioll of vc:hic:h,s with a
gross c;llIl1hinalilHI w!lighl ralillg
(GC\Vl{) of 11.7!14 kilogr:lIlIS or 1Il0rl!
(2Ci,Otll Jlound~ or llIorc) pro\'id"d llll!
GVWJ~ ofihe vuhidds) beillJ: low"d i!:
ill excp!::; of 4.:'36 kilogrmll~ (lO,()()()
pou/lds).
(2) IIc:a\'y Slraight Vnhidc! (GroIlJl
1I)-/\IIY sillgle vehicle wilh a C;VWR of
11.7H4 kilograms or more (2fi,001
pOllnds or moru). or ony suc;h vehicle
lowillg a vnhidc 1101 ill exccss of 4.:.:1C1
kilogr:llll~ (1O.11011l'olllld!:) C;VWR.
(:1) Small V\:hidu (Crllllp C)-'^IIY
sillgle vuhiclll. or cOl1lhinatioll of
vehic:les. lhnllllects Iwitller lhn
definition of Group ^ 1I0r lhat of Croup
n ns conlnilind ill this Iiection. hullhal
either ili designed to transport Iii or
more pnssongClrs including lhe dri\'er, or
ili u!:od ill tho lransportalion of male:rials
found 10 he hazmdous for the purposes
of the Hn7~1rdou$ Mnlerinls
Tnlll!:porlnUon ^c:l allll whil:h require
Ii. The nlllhorit)' dlnlioll for part 3!io
r,:olllinues to read as follows:
Authority: 4!l U.S.c. 5901-5907, 31132:
:111:1:1. :11 J:I(j. J 1 502. ;'IIId :J 1504; and 49 efR
1.'11I.
~ :;gO.s {Amcnded]
7. SIll:lion 3!1l1.S is anwlldl:d by
rc\'i~;illg 11IC: defilliliollof "clllnlller::i,,1
IIll1lor vdlide" 10 rend ns follows:
CnI11/1l/!rr:ia/ lIIolor \'(~"h;"1I11eans allV
self-propelled or towl)(j vehicle used 0(1
public highway!: ill inlerstale conllllt:n:c
lu trallsporl pas~ellgcrs or properly
whell:
(a) TIll! vehide Iws II gro~s vehide
weighl mling or gros!: combination
..'..<lighl rating of 4,5J7 or 1Il0re ki 10gr~l1ls
(10.001 or more flounds): or
(h) The vehicle is dl'siglled to
lrun~porl more than 15 passellgers.
including lhe driver; or
(e) The vehicle is used in lhe
lrnllsportnlion of hnz"lrdou~ mnlerinls in
;1 '1"antily requiring plal:.1rding (ll1I1"r
n'glll,'1ions issuod hy the S()(:rcl:JrY
/ 1I11der the HnZ<lrdou~ Materials
, Tran~pllrlal;oll ^el (4!1 V.S.C. 5101 "I.
" SC!q.).
~ 383.5 Deflnltlons.
CO/llllwrcia//IieJior ,'~hid(> {C:HVJ
mean!: a motor ~"lili;:lc cr combinalion
of llIolur vehidr,,: Il:-:cd ill C:Olllllll,rCI' 10
lmn!:port pas:;clIgers ~Ir properly if 1111:
1II0tor vehich:-
(a) ll:1s "1:ros:; nllnhillation wnighl
raling IIf 11.7!!'1 l;ilo~r;:lIl1s or II/nre
(/.1;.00 J pllllllll~ or IWI,.!!) illc:llI!:iv(, of OJ
(oweclulI;1 \\'illl a gro::s vdlidc wl:il:hl
f'.lliliU of lI\IJrc !1o""1 4,53/i kilogr:III1S
(W,oo/) puund~): or
(h) Hns a gro!:s lichide weighl rat illg
of 11,794 or more kilogmms (21i.OO 1
pound:: or marc); or
(c) Is dcsigned 10 lrnn~port 16 or morc
pa~senger~, including the drivor; or
(d) Is of ,1nv si7.1l and i~ used in tlw
lran~JlOrl.llio;1 of IIlnlerials fouud 10 he
hnZ<lrdou$ fer I Ill! puq)o!:e~ of lhe
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., II. Seclion 390.27 is revised to rend as
follows:
~ 390.27 Locations of regional olflces 01
molor carriers.
Localion 01 regional oHice
Terrilory included
Region No.
Leo W. O'Brien Federal OffICe Building. Clinlon & Peart
, Streels. Room 737. Albany. NY 12207-2334.
Connecticut, Maine. Mass:lchusells. New Jecsey, New
Hampshire, New York. Rhode Island. Vermont. Puer-
to Rico, and Ule Virgin Islands. Trot part of Canada
east of Highways 19 and B from Port Burwell to
Goderich. Ulance a straight line running north
.through Tobermory and Sudbury, and Ulancc due
north to the Canc:tdian border.
Delawarc. District of Columbia, Maryland, PeMSylva-
nia. Virginia, and West Virginia.
Alabama. Florida. Georgia, Kenlucky, Mississippi, North
Carolina. SOtJIh Carolina. and Tennessee.
Illinois. Indiana. Michigan. Minnesota. Ohio, and Wis-
consin. That part of Canada west of Highways 19
and B from Port Burwell to Goderich, thence a
straighl line running north through Tobermory and
Sudbury. and lhence due north 10 lhe Canaol3n bor-
der, and east of lhe boundary between the Provinces
of Oolario and Manitoba to Hudson Bay and !Ilcnce
a slraighl line norlh 10 the Call3dian border.
Arkansas, Louisiana. New Mexico. Oklahoma. and
Texas. All of Mexico, exceptlhe Slates of 'Baja Cali-
fornia and Sonora and the Territory ofl3aja California
Sur., Mexico. All nations south of Mexico.
Cily Gcescent Building. '10 South Howard Slreet, Suile
4000, Ballimore. MD 21201-2619.
1720 Peachlree Road, NW.. Suite 200, AUanla, GA
30367-2349.
19900 Governors Drive. Suile 210, Olympia Fields, IL
60461-1021.
3 .........._................................
4 ...........................................
5 ...........................................
Room 8AOO, Federal Building, 619 Taylor Streel. r.o.
Box 902003, Fort Worth. TX 76102.
G ...........................................
Federal Register / Vol. 61, No. 47 / Friday, March 3. 1996 / Rule$ and Regulations
9567
Region No. Terrilory included
Location ot regional office
, .
7 ........................................... Iowa.. Kansas, Missouri. and Nebraska ..........................
a ........................................... Colorado. Montana, North Dakota, South Dakota, Utah.
Wyoming. That part ot Canada west of the boundary
between the Provinces 01 Ontario and Manitoba 10
Hudson Bay and 1/1ence a straight line due north to
the Canadian border, and cast of Highway 95 trom
Kingsgate to B1ael>erry and thence a straight line due
north to the Canadian border.
9 ........................................... Arizona. Califomia, Hawaii, Nevada, Guam. American
Samoa, and Mariana Islands. The States ot Baja
California and Sonora, Mexico, and the Territory of
Oa;a California Sur.. Mexico.
10 ......................................... Alaska. Idaho, Orcgon and Washington. That part 01
Canada west of Highway 95 trom Kingsgate to
Blaeberry and thence a straight line due north to the
Canadian border, and all the Province ot British Co-
lumbia.
6301 Rockhill Road, P.O. Box 419715, Kansas City,
MO 64141-6715.
555 Zang Slreet, room 190, Lakewood. CO 80228-
t014.
201 Mission Str~et, Suite 2100, San Francisco, CA
94105.
KOIN Cenler, suite 600, 222 SW Columbia Street,
Portland. 0/1 97201-2491.
PART 391-(AMENOEDJ
!1. Tho authority dtalion for pnrt 3Hl
continues to read as follows:
Authority: 49 U.S.c. 504, 31133. 311JCi.
and 31502: and 49 eFR 1.48.
10. Section 391.85 is nmended by
removing the tenn and definition of
"drivers subject to testing" IInd by
revising the definition "commercilll
motor vehiclc" to read liS follows:
~ 391.85 Definitions.
Commercial motor vehicle means IIny
self-propclled or towed motor vehicle
used on public highwlIYs in interstate
commerce to transport passengers or
property when:
(n) Thc motor vehicle has a gross
vehicle weight rating or gross
cillnbination weight rating of 11,794 or
more kilograms (26.001 or more
pounds); or
(b) The motor vehicle is designed 10
1r.lOsport more than 15 passengers.
including tho driver; or
(c:) The motor vehicle is used in the
transportation of ha7A1rdous materials in
n quantity requiring plac:mling under
regulalions issued hy tho Socrotary
under Ihe Hazardous Mnlerillls
Transportation Act (49 U.S.C. 5 101 r~t.
s~q.).
11. Section 391.125 is revised 10 rend
as follows:
~ 391.125 Tennlnatlon schedule of this
subpart.
(a) All motor carriers shall rotnin nil
records genemted in connection wiLh
this subpart as required by ~ 302.401 of
this subchapter.
(b) Large employers. Except 3S
provided in paragraph (a) of this
section, ench motor C"A1rrior.wilh fifty or
more drivers on March 17, 1994. shall
terminate complionc.e wilh this suhpnrt
IIl1d shall illlplemont the nlf]uirellHlllts
of part 3112 of this suhdlnpll:r Iwgillllillg
on Iallullry 1, 1995.
(e) Small employers. Except os
provided in plll'llgroph (a) of this
sp.ction, each motor carrier with fewer
than fifty drivers on March 17, 1994,
shllllterminote compliance with this
subpart and shall implement the
requirements of Part 382 of this
suuchapter beginning on Jnnuary 1.
1996.
(d) Except as provided in paragrllph
(a) of this section. nil motor carriers
shllllterminnte compliance with this
suupart on JlInuary 1. 1996.
PART 392-(AMENDEDJ
12. The lIuthority citation for pnrt 392
continues to read as follows:
AUlhorit}': 4!1 lJ.S,c. :J1136 and 315U2; and
4!l CfH 1.411.
1:1. Sp.ction :192.4 is revised 10 rend ns
follows:
S 392.4 Drugs and other substances.
(a) No driver shall be on duty and
possess. be undcr tho innuence of, or
use. any of the following drugs or other
substances:
(1) Any Schedule I drug or other
suhslance idonti Cied in appendix 010
this subchapter;
(2) An amphetamine or any
formullltion thClreof (including, but 1I0t
limited, to "pcp pills." IInd "bennies");
(3) A nllrc:otic dnag or nny derivative
Ihl!TCof; or
(4) Any othur suhslnllce, to n ch:grCl!
whic:h renders Ihl! driver incA1pahltl of
sllfcly operating a motor vehicle.
(b) No motor cnrrier shall requiro or
permit a driver to violate parngrnph (a)
of this section.
(cJ Parngrnphs (nJ (2), (:1), :lIlcJ (4) do
1I0t apply to the possession or use of n
suhstance administered 10 a drivor by or
under the inslnl(:tions of a Iic:enscd
nwdic;lI prndiliClner. ns d(,finml ill
9382.107 of Ihis suhchnpler, who hns
advised the driver that the suhstance
will not affect tho driver's IIbility to
safely operate a motor vehicle.
(d) As IIsed in this section,
"possession" does not include
possession of II substance which is
manifested and transported as part of a
shipment.
14. Section :1!12.5 is IImcncJcd hy
r#visillg parogr.Jph (oj 10 read ns follows:
,
~,392.5 Alcohol prohibition.
, (a) No driver shall-
(1) Use alcohol. as defillod in
9382.107 of this sulx:h<lptnr, or he under
the inlluence of alc:ohol. within 4 hours
btlfore going on duty or operating, or
having physicul control of, 0
comlJlerdal motor vehicle; or
(2) Use IIlcohol. he tinde~ the
illnllellCtl of nlcohol, or havn <lny
measured alcohol conc:entration or
detected presence of alcuhol. while all
duly, or opel'llting, or in physiaJl control
of a r:omnlCrdal motor vohido; or
(3) Be on duty or opcrnlr: n
commercial motor vehic:fll whilll the
driver possesses wine of nol less than
one-half of one per c:enluOI of illcollCll hy
volume, beer os defilled ill 2(j U.S.c.
50.52(a). of tile lnterno/l1m'rmlll' Cod/'! of
1954, and distilled spirits os dt'~finc!cl ill
section S002(a}{8J, of such Code.
However, this docs nol npply to
pos:a:ssion of wine, henr. or disl illml
spirits which arc:
(i) Mallifllsterl anrl tr.IlISporlllrl ns p:!r!
of (J shipmenl; or
(ii) Possessed or used hy hus
passengers.
WH Doc. !lCi-5:J7:1 filcd :1-7-96; /1;45 anti
BIllING cooe ~91G-22~
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DRUGS IN THE WORK PLACE
THE LAW REQUIRES US TO MAKE YOU
AWARE OF THE DANGERS OF DRUGS
IN THE WORKPLACE. WE'RE HAPPY
TO DO IT, BECAUSE ANYTHING THAT
ALTERS MENTAL PROCESSES CAN
HURT EVERYONE! HOW?
THE BOTTOM LINE:
DRUGS IN THE WORKPLACE MEAN DANGER TO ALL!
9011.4
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MARIJUANA
(POT, GRASS, WEED)
WORKPLACE DANGERS INCLUDE:
OUTLA WEn."":
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- SLOWS YOUR PHYSICAL REFLEXES
- CUTS YOUR MENTAL POWERS
- MAKES YOU FORGETFUL
-THROWS OFF SPACE AND DISTANCE JUDGMENT, ESPECIAllY
DANGEROUS IF OPERATING MACHINERY OR DRIVING. (THE EFFECT
CAN GO ON FOR 4-6 HOURS AFTER SMOKING JUST ONE "JOINT" AND
IT'S WORSE IF YOU ALSO USED ALCOHOL.)
PERSONAL DANGERS OF MARIJUANA INCLUDE DAMAGE TO lUNGS, REPRODUCTIVE,
AND BRAIN FUNCTIONS.
THE LAW REQU.IRES US TO STRICTLY CONTROL CERTAIN
DRUGS IN OUR WORKPLACE. THESE "CONTROLLED
SUBSTANCES" ARE ON A SPECIAL GOVERNMENT LIST.
THE LIST GETS lONGER EACH TIME DRUG DEALERS
COME UP WITH A NEW "PRODUCT."
GENERALLY, ASSUME THAT ANY DRUG THAT MEANS TROUBLE
WITH THE POllGE IS OUTLAWED HERE. SPECIFICAllY, THESE ARE
"AMERICA'S MOST UNWANTED."
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MARIJUANA
FORM: CHOPPED UP LEAVES OF CANNABIS PLANT. USED LIKE TOBACCO, EITHER IN
CIGARETTE FORM OR IN A PIPE. WHEN SMOKED, IT GIVES OFF A VERY
DISTINCTIVE HEAVY-SWEET BURNT ROPE ODOR.
WHERE BECAUSE OF INCRIMINATING SMELL, IS USUALLY SMOKED OUTDOORS, IN
USED: PARKING LOT, ON LOADING PLATFORM, ETC.
CLUES: USER'S BREATH AND CLOTHING MAY HAVE BURNT ROPE SMELL. CIGARETTE
PAPERS MAY BE IN EVIDENCE. USER WILL BE ANIMATED IN ACTIONS AND
CONVERSATION IN EARLY STAGES OF INTOXICATION. INCREASED APPETITE
AND DRY MOUTH ARE COMMON SYMPTOMS. MARIJUANA USERS, BECAUSE
OF DISTORTION IN TIME AND DISTANCE, WILL BE DELIBERATE IN MOTION
WHILE DRIVING A VEHICLE OR RUNNING A MACHINE. AS DRUG WEARS OFF, A
QUIET DEPRESSION WILL SET IN.
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COCAINE
("COKE," SNOW, FREEBASE, CRACK, ROCK, ETC.)
:,,?~TLA WED
WORKPLACE DANGERS INCLUDE:
· CAUSES A TEMPORARY FEELING OF ALMOST SUPERHUMAN
POWER, IMPAIRING JUDGEMENT AND DECISION-MAKING ABiliTY.
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· EMOTIONAL PROBLEMS, MOOD SWINGS, LACK OF DEPENDABILITY
· WORKPLACE CRIME. COCAINE IS VERY EXPENSIVE, AND
TYPICALL Y ADDICTS STEAL TO COVER THE COST.
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COCAINE
FORM: ODORLESS WHITE CRYSTALLINE POWDER USUALLY INHALED THROUGH THE
NOSE, i.e., SNIFFED OR "SNORTED." "CRACK" VARIANT SMOKED.
WHERE BECAUSE THE EFFECT OF "COKE" IS SHORT-LIVED (LESS THAN AN HOUR)"
USED: ON-THE-JOB USE IS NOT UNCOMMON. DRUGS MAY BE HIDDEN IN
INNOCENT-LOOKING NASAL INHALERS OR IN THE HOLLOW OF PENS. THE
GLASS VIALS OF CRACK USERS ARE A SURE SIGN THE DRUG IS PRESENT.
CLUES: COCAINE USE BREAKS DOWN NASAL MEMBRANE SO LEAKAGE AND/OR
ENCRUSTATION IN THAT AREA IS COMMON. THERE MAY ALSO BE EXCESSIVE
LICKING OF THE LIPS. USER BEHAVIOR RANGES FROM "HIGH
OVER-CONFIDENCE" TO DEEP DEPRESSION AS DRUG EFFECT WEARS OFF.
BECAUSE OF THE BRIEF LIFE OF COCAINE "HIGH," THE USER IS QUITE
LIKELY TO BE A MULTI-ABUSER.
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CRACK
FORM: CRACK IS THE FREEBASE FORM OF COCAINE. IT CAN EITHER BE
PURCHASED IN CRACK FORM (WHITE ROCKS OR PELLETS) FROM A
DEALER, OR THE USER CAN PURCHASE COCAINE IN POWDERED FORM
FROM A DEALER AND MAKE FREE BASE CRACK.
WHERE PRIVATE SETTINGS OR CRACK HOUSES. CRACK IS SMOKED, USUALLY BY
USED: ITSELF IN A WATER PIPE. THE USER HEATS THE WHITE ROCK, THEN
INHALES THE FUMES. HIGH MAY LAST FROM 30 SECONDS TO 30 MINUTES.
CLUES: WARNING SIGNS INCLUDE: A PREOCCUPATION WITH OBTAINING THE
DRUG, APPEARANCE OF NEW FRIENDS WHO APPEAR TO BE DRUG USERS
AND THE APPEARANCE OF CRACK PARAPHERNALIA SUCH AS: WATER
)
\ PIPES, TEST TUBES AND BAKING SODA. CRACK INDUCED USER BEHAVIOR
RANGES FROM HIGH-CONFIDENCE TO DEEP DEPRESSION AS DRUG WEARS
OFF.
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AMPHETAMINES AND SEDATIVES
- CAN MAKE YOU RUSH AROUND WILDLY AND
CARELESSLY, PUSHING YOURSELF BEYOND YOUR
PHYSICAL CAPACITY.
AMPHETAMINES (SPEED, UPPERS)
SEDATIVES (DOWNERS)
-SLOW YOUR MENTAL PROCESSES AND REFLEXES--
VERY DANGEROUS IN ANY POSITION REQUIRING ~
ALERTNESS. ~ 0 t:b
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PERSONAL DANGERS OF ABUSING THESE "LEGAL" SUBSTANCES RANGE FROM
DISRUPTING FAMILY RELATIONSHIPS TO SERIOUS HEALTH PROBLEMS, INCLUDING
LIVER AND KIDNEY DAMAGE.
tIN
I: :
, ,
AMPHETAMINES
FORM: PILLS OR TABLETS, SOMETIMES LEGALLY PRESCRIBED BUT MORE LIKELY
TO BE OBTAINED ON THE "BLACK MARKET."
WHERE USUALLY IN NIGHT WORK SITUATIONS, BY DRIVERS AND OTHERS TRYING TO
'USED: STAY AWAKE AND ALERT. ALSO MAY BE USED BY PEOPLE "HOOKED" ON
THE DRUG. A PRESCRIPTION DRUG, ONCE FAIRLY EASY TO 08T AIN IN FORM
OF BENZEDRINE AND DEXEDRINE, AMPHETAMINES ARE NOW MORE
STRICTLY CONTROLLED. HOWEVER, THEY ARE STILL A PROBLEM IN THE
WORKPLACE.
CLUES: THE AMPHETAMINE USER IS THE FRENETIC, "CAN'T SIT STILL" TYPE:
INCLINED TO ATTEMPT THINGS BEYOND HIS OR HER PHYSICAL ABILITY.
~ EXCITABLE AND TALKATIVE. PUPILS OF EYES WILL BE DILATED. AS THE
DRUG WEARS OFF, THE USER WILL BECOME DIZZY AND CONFUSED AND MAY
EVEN HA VE HALLUCINATIONS.
IID,O.F
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HALLUCINOGENS
(PCP, LSD, ECSTASY (MDMA), DESIGNER DRUGS)
THESE "MINDBLOWING" DRUGS MAKE THE USER
HALLUCINATE (SEE OR HEAR THINGS THAT AREN'T
REALLY THERE). SOME NEW FORMULAS MA Y BE
TECHNICALLY LEGAL ONLY-BECAUSE LAWS HAVE
NOT YET INCLUDED THEM.
ALL WILL BE ILLEGAb
DUTLA WED
WORKPLACE DANGERS INCLUDE:
. VASTLY DISTORTING WHAT'S SEEN AND HEARD SO THAT
DANGEROUS SITUATIONS ARE CAUSED OR OVERLOOKED.
NOTE: FREQUENT. USE CAN CAUSE PERMANENT
. LOSS OF MENTAL FUNCTION!
? 1
. +2-
--
· SUDDEN BIZARRE CHANGES IN BEHAVIOR THAT CAN INCLUDE
ATTACKS ON OTHERS.
· "REBOUND" EFFECTS SUCH AS LOSS OF CONCENTRATION AND
MEMORY OR BEHAVIOR PROBLEMS EVEN WHEN THE DOSE HAS
WORN OFF.
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HEROIN
(JUNK, H, HORSE)
WORKPLACE DANGERS INCLUDE:
. CAUSING TOTAL DISINTEREST IN WORKPLACE
SAFETY-OR ANYTHING ELSE EXCEPT DRUGS,
MAKING SUCH A PERSON DANGEROUS AND A
WEAK LINK IN ANY TEAM.
. THE HIGH COST OF ADDICTION LEADS TO
. ,
WORKPLACE CRIME.
. DIRTY NEEDLES, OTHER PARAPHERNALIA SPREAD
DISEASE.
. .... . ..... ...... .....
..... ......................
....................
........ .................................-............... .. ...
,.... . ....... ':';:"':-:-:;::;:;.:'::::::::;:;:;:;:;:;:;:;:;:::::;:;:;:;:::;:;:;:;:;:::;:::;:::;:;:;:;:;:;:::;:;:;:;::..,:.:..........:.;-:...:.;-....;::::::.;.
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...........................
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.-.-.-.....................-........... .;-:;:;:;:;:;:::::;:::::-.;:::::::::.:;:::;:;:::;: ..... ............................................ :.:.;.:.;.'.;.:...;.;.:.;.:;::::::::::;::::::;
................. ........;.;.;.....,...............:...:.......:...:,..:...;.:...:.:...... ............................... :;-:-::-:......:...:.;;.:.;.....;.:..:...;.; ,.-...... ........,.................... .... '.'. :.:...:.:.;.:.:.;.:.;-:.::-;.:.;........;:...:.:-;.:.;. ..................... .......................... ......... ...............................................................
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HEROIN
FORM: WHITE, OFF-WHITE OR BROWN CRYSTALLINE POWDER. A DERIVATIVE OF
MORPHINE, IT IS ODORLESS AND HAS A BmER TASTE. USUAllY DISSOLVED
BY HEAT AND INJECTED INTO A VEIN WITH A HYPODERMIC NEEDLE.
WHERE INJECTION OF HEROIN ON THE JOB IS RARE. HOWEVER, HEROIN CYCLE
USED: TAKES THREE TO FOUR HOURS SO USER MAY COME TO WORK "HIGH.'
CLUES: SINCE HEROIN IS USUAllY INJECTED, THE USER MAY HAVE NEEDLE MARKS
ON THE UPPER ARMS. HOWEVER, THE WEARING OF lONG SLEEVED
APPAREL EVEN ON THE HOTfEST DAYS IS LIKELY. THE HEROIN USER WILL
EXHIBIT SEVERE PHYSICAL BREAKDOWN - EXTREME lOSS OF WEIGHT,
PROTRUDING EYES, DENTAL CARIES. IN THE EARLY 8T AGES OF
INTOXICATION, THE USER WON'T HAVE A WORRY IN THE WORLD; lATER HE
OR SHE Will BECOME DROWSY, EVEN COMATOSE.
11I,OlE
ALCOHOL
WORKPLACE DANGERS INCLUDE:
· LOSS OF CONCENTRATION AND JUDGMENT LEADING
TO DANGEROUS OR PROBLEM BEHAVIOR, ESPECIALLY
HARMFUL TO TEAM EFFORTS.
· lOSS OF WORKTIME OR lATENESS, INCREASING THE
WORKLOAD AND STRESS ON OTHERS.
· INABiliTY TO DEAL REALISTICALL Y WITH WORKPLACE
PROBLEMS, OFTEN HIDING THEM UNTIL THEY'RE
ALMOST IMPOSSIBLE TO SOLVE.
IHESE DRUGS AREN'T AGAINST THE LAW, BUT
THEIR USE MAY BE--TAKING PRESCRIPTION
DRUGS WITHOUT A PRESCRIPTION, FOR
EXAMPLE. ILLEGAL OR NOT, THESE SUBSTANCES
CAN CAUSE DANGERS IN THE WORKPLACE AND
THEY ARE OFTEN BANNED BY EMPLOYERS.
CHECK OUT POLICY!
@)
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BS
9.010
..
( ~::.
DOCUMENTATION OF REASONABLE SUSPICION OF ALCOHOL OR DRUG USE WHILE
PERFORMING DOT SAFETY -SENSITIVE DUTIES
DATE:
TIME (of observation):
am/pm to
am/pm
NAME OF EMPLOYEE TO BE TESTED:
NAME OF SUPERVISOR(S) REQUESTINO TEST
(Recommend two supervisors)
Signature
Signature
REASONABLE SUSPICION TO TEST FOR: [J Alcohol [J Drugs [J Both
OBSERVED BEHAVIOR: (Check all appropriate items)
SPEECH AWARENESS BALANCE WALKING
(] Normal [] Normal ( ] Normal (J Normal
(J Confused [] Confused ( ] Swaying (] Holding/reaching
(] Slurred (] Aggressive (] Staggering (J Stumbling
(] Incoherent (] Defensive [ ] Falling (J Falling
(] Silent (] Sleepy
OTHER OBSERVATIONS:
[ ] Odor of alcohol on breath
(J Flushed skin
(] Glazedlwatery eyes
[] Dialatedlconstricted pupils
(J Difficulty In focusing
[J Loss of memory
(] Unusual irritability
(] Strong eXcitmentlelation
C] Difficulty fof/owing Instructions
(J Overreaction to criticism
[J Frequent mood &wings
[1 Other
,
,
[J DIRECT OBSERVATION OF DRUG USE AT WORK (Describe in detail.....ncluda names of
witnesses):
(j' For Reasonable Suspicion of Drug Use Only: FREQUENT ABSENTEBSM AND TARDINESS
and OTHER SIGNS OF DETERIORAll0N'OF J08 PERFORMANCE.
Test only If ALL the following conditions are met
( ] ObseIvaUons are specific, contemporaneous, 8l1IcUable based on appearance, behavior, speech or
body odors.
[] ~ ~ and requesting test has boon traIned In accordance \lAth DOT reql.irements
for reasonab(e suspldon tesUng.
[ J For ALCOHOL t~ obsecvaUons were made du1ng. jJst pr~ or pst after the IocivfduaJ has
per!onned a safety-sensi1ive flrlctIon.
( J For ALCOHOL testing: the Breath Alcohol T ectlnldan Vwtlo YrU pectonn the test Is not the ~sor
mal4ng ttis detecmlnaUon.
Employee escorted to testing site by:
Oa~Tlme:_____anupm
::~:..~ ~
Comments and/or corroboration by second supervisor.
[This form n'lust be'eomplated within 24 hours of determination to test or prior to receipt of drug test
results. It unable to test within 2 hours, attach reason. It unable to test within 8 hours, cease attempts to
test and attach reason.]
'.
( .",
DOCUMENTATION OF REASONABLE SUSPIClON OF ALCOHOL OR DRUG USE WHILE
PERFORMING DOT SAFETY -5ENSlTIVE DUTIes
DATE:
TIME (of observation):
am/pm to
am/pm
NAME OF EMPLOYEE TO BE TESTED:
NAME OF SUPERVISOR(S) REQUESTINO TEST
(Recommend t'NO supervisors)
Signature
Signature
REASONABLE SUSPICION TO TEST FOR: r J Alcohol r J Drugs r J Both
OBSERVED BEHAVIOR: (Check all appropriate items)
SPEECH AWARENESS BALANCE WALKING
(1 Normal (1 Normal (1 Normal (1 Nonnal
(J Confused r J Confused ( 1 Swaying (] Holding/reaching
(] Slurred [] Aggressive [] Staggering (] Stumbling
(J Incoherent' (1 Defensive [1 Falling (1 Falling
(J Silent (] Sleepy
OTHER OBSERVATIONS:
(J Odor of alcohol on breath
(] Flushed skin
(J Glazedlwatery eyes
[J Dialatedlconstricted pupils
(] Difficulty in focusing
[1 Loss of memory
[] Unusual irritability
[] Strong eXcltmentlelation
C] Dif(iculty follO'Wing instructions
[] Overreaction to criticism
[] Frequent mood swings
[] Other
[] DIRECT OBSERVATION OF DRUG USE AT WORK (Describe in detall-{nclude names of
witnesses):
[j For Reasonable Suspicion of Drug Use Only: FREQUENT ABSEmESSM AND TARDINESS
and OTHER SIGNS OF DETERIORATION' OF JOB PERFORMANCE.
Test only If ALL the following conditIons are met
( ] Observations are specific, contemporaneous, e.rtIcUable based on appearance, beha'vior,' speech or
body odors.
( ] Sl.rpeNsor ~ and requesting test has been traIned In accordance \lri1h DOT reqlirements
for reasonabfe suspldon tes1lng.
( ] For ALCOHOL tes1I~ oOseM.tIons were made dlr1ng, iJst ~ or)Jst after the 1ndMd:JaJ has
perfonned a safety-sensl1ive fu1ctlon.
{ J For ALCOHOL testing: the 8rea1h Alcohol Technldan v.11o \IriI pectorm the test Is not the ~sor
makfng lhIs determinatIon.
Employee escorted to testing site by:
Da~ Tlme:_amJpm
Comments and/or corroboration by second supervisor.
(This form must beeompleted within 24 hours of determination to test or prior to receipt of drug test
results. If unable to test within 2 hours, attach reason. tf unable to test within 8 hours, cease attempts to
test and attach reason.]
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DOCUMENTATION OF REASONABLE SUSPICION OF ALCOHOL OR DRUG USE WHILE
PERFORMING DOT SAFETY -SENSITIVE DUTIES
DATE:
TIME (of observation):
am/pm to
am/pm
NAME OF EMPLOYEE TO BE TESTED:
NAME OF SUPERVISOR(S) REQUESTING TEST
(Recommend t'No supervisors)
Signature
Signature
REASONABLE SUSPICION TO TEST FOR: C] Alcohol C] Drugs C J Both
OBSERVED BEHAVIOR: (Check all appropriate items)
SPEECH AWARENESS BALANCE WALKING
[J Normal [] Normal [J Normal C J Normal
[J Confused C J Confused [ J Swaying [] Holding/reaching
[J Slurred [] Aggressive [] Staggering (] Stumbling
[J Incoherent (] Defensive [J Falling (] Falling
[] Silent (J Sleepy
OTHER OBSERVATIONS:
[] Odor of alcohol on breath
(] Flushed skin
[J Glazedfwatery eyes
(] DialatedlconstJicted pupils
[] Difficulty In focusing
[J Loss of memory
(J Unusual irritability
(J Strong eXcitmentlelation
C J Difflculty foltO'Ning Instructions
[] Overreaction to criticism
[] Frequent mood swings
[J Other
,.
[] DIRECT OBSERVATION OF DRUG USE AT WORK (Describe in detail~nctude names of
witnesses):
[] For Reasonable Suspicion of Drug Use Only: FREQUENT ABSENTEEISM AND TARDINESS
and OTHER SIGNS OF DETERIORAilON'OF JOB PERFORMANCE.
Test only If ALL the following condItIons are met
[ ] ObsecvaUons are specific, contemporaneous, 8l1IcUable based on appearance, behavior; speech or
body odors.
[I SUper.(sor doa..menUng and requesting test has been traIned In accordance'Mth DOT req.irements
for reasona.ble suspicion testing.
[ 1 For ALCOHOL tes1l~ obseMlUons \It'El('8 made du1ng,):Jst ~ or j.Jst attec" the Io:NciJaI has
perlonned a safety.-sansitive 1UlcUon.
[ I For ALCOHOL tesUng: the Breath Alcohol T edlnIcian 'ftt1o v.U perlocm the test Is not the ~sor
mak1ng tHs detennlnaUon.
Employee escorted to testing site b~
Oa~ Tlme:_amJpm
Comments and/or corroboration by sacond supervisor.
[This form ,nust be-eompleted within 24 hours of determination to test 0( prior to receipt of drug test
results. If unable to test within 2 hours, attach reason. If unable to testwiU1ln 8 hours, cease attempts to
test and attach reason.] .
'.
DOCUMENTATION OF REASONABLE SUSPICION OF ALCOHOL OR DRUG USE WHILE
PERFORMING DOT SAFETY-SENSITIVE DUTIES
DATE:
TIME (of observation):
am/pm to
am/pm
NAME OF EMPLOYEE TO BE TESTED:
NAME OF SUPERVISOR(S) REQUESTING TEST
(Recommend tvv'o supervisors)
Signature
Signature
REASONABLE SUSPICION TO TEST FOR: fJ Alcohol fJ Drugs (] Both
OBSERVED BEHAVIOR: (Check all appropriate items)
SPEECH AWARENESS BALANCE WALKING
(] Normal (] Normal ( ] Normal f J Normal
(] Confused ' f J Confused [ J s.....a yi n g f J Holding/reaching
(J Slurred [] Aggressive [) Staggering [] Stumbling
(] Incoherent [] Defensive [] Falling [] Falling
[] Silent f J Sleepy
OTHER OBSERVATIONS:
[ ] Odor of alcohol on breath
[] Flushed skin
(J Glazedlwatery eyes
[J Dlalated/constricted pupils
[] Difficulty in focusing
[) Loss of memory
[J Unusual irritability
(] Strong eXcltmentlelation
f] Diffjculty following instructions
[] Overreaction to criticism
[] Frequent mood swings
[1 Other
,
,
(] DIRECT OBSERVATION OF DRUG USE AT WORK (Describe in detaU-include names of
witnesses):
(j For Reasonable Suspicion of Drug Use Only: FREQUENT ABSENlEElSM AND TARDINESS
and OTHER SIGNS OF DETERIORAll0N'OF JOB PERFORMANCE.
Test only If ALL the following conditions are met
[] ObsecvaU~ are specific, ~, artJ~ based on appearance, behavior. speech or
body odoc's.
[ I SupeNsor docunec1tIng and requesting test has been tralned In accordance v.;th DOT reqlirement:s
for reasona.b(e suspldon testing.
( 1 For ALCOHOL tes1f~ obsecvatfons were made dl.I1ng, just ~ or just after the IncivlQJal has
perfooned a safety-sensttlve fl.nctIon.
[ 1 For ALCOHOL tes1fng: the Breath Alcohol T echnldan ..mo 'MI pecfocm 1M test Is not the ~sor
maklng 1tlIs detecmlnaUon.
Employee escorted to testing site by:
Oa~ Tlme:_amJpm
..r-. .
Comments and/or corroboration by second supervisor:
[This form must be'eompleted within 24 hours of determination to test or prior to receipt of drug test
results. If unable to test within 2 hours, attach reason. tt unable to test within 8 hours, cease attempts to
test and attach reason.]
'0
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DOCUMENT A nON OF REASONABLE SUSPICION OF ALCOHOL OR DRUG USE WHILE
PERFORMING DOT SAFETY ..sENSITIVE DUTIES
L.....
~..~.:. "..
DATE:
TIME (of obselYation):
am/pm to
am/pm
NAME OF EMPLOYEE TO BE TESTED:
NAME OF SUPERVISOR(S) REQUESTING TEST
(Recommend two supervisors)
Signature
Signature
REASONABLE SUSPICION TO TEST FOR: r J Alcohol r] Drugs [] Both
OBSERVED BEHAVIOR: (Check all appropriate items)
SPEECH AWARENESS BALANCE WALKING
[] Normal [J Normal ( ] Normal [J Normal
[] Confused ( J Confused ( 1 Swaying [J Holding/reaching
[J Slurred [] Aggressive (J Staggering [] Stumbling
[ ] Incoherent (] Defensive [] Falling [J Falling
(] Silent (J Sleepy
OTHER OBSERVATIONS:
[] Odor of alcohol on breath
(] Flushed skin
[] Glazedlwatery eyes
[] Dialatedlconstricted pupils
(J Difficulty In focusing
[J Loss of memory
[J Unusual irritability
[J Strong eXcltmentlelation
[J Difficulty fOJlO'Wing Instructions
[] O'Ierreaction to criticism
[] Frequent mood swings
[] Other
[] DIRECT OBSERVATION OF DRUG USE AT WORK (Describe in detall~nclude names of
witnesses):
[i' For Reasonable Suspicion at Drug Use Only: FREQUENT ABSENTEEISM AND TARDINESS
and OTHER SIGNS OF DETERIORA1l0N~OF JOB PERFORMANCE.
Test only If ALL the following conditions are met
[ ] ObservaU9f'lS are specffic, contemporaneous, 8I1lclJable based on appearance, behavior; speed1 or
body odors.
[ ] SUper.(sor docunentlng and requesting test has been trained In accordance \/with DOT reqlirements
for reasonab(e suspldon testing.
{ 1 For ALCOHOL tesUng: obsefvatlons were made ~,iJSt ~ or)lst after the IncivIdJaJ has
per10nned a safety-sensiUve flrlcUon.
[ I For ALCOHOL testing: the Breath Alc0hoI Ted1nIdan VwOO YwiI perlocm the test Is not the ~sor
makfng tt'is detemlinatlon.
Employee escorted to testing site b~
Da~ Tlme:_amlpm
Comments and/or corroboration by second supervisor.
[This form must beeompleted within 24 hours of determination to test or prior to receipt of drug test
results. If unable to test within 2 hours, attach reason. If unable to test within 8 hours, cease attempts to
test and attach reason.J
D.O.T.STOP
9484 S, Orange Blossom Trai'l
Orlando, FL 32837
PH (407) 857-5573
FAX (407) 857-3022
'~
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Compliance Made Convenient
Compliance with FHWA -DOT Drug and Alcohol Testing Regulation
49 CFR Part 382 Now Required for All Employers with CDl Drivers
if your vehicle(s) --,
· Have a GVWR or CGVWR of 26,001 pounds or more
· Is designed to carry 15 or more passengers plus the driver
· Is required to be placarded for hazardous materials
D.O.T. STOP.can help........
[frM'W fA ~lY[h~ ID@~@@U lP@[hU~ll fA[M[9) lP~@~~[9)lYM$ [f@~ [9)~~W~~$
· Controlled Substances (Drug) and Alcohol testing PQlicy and procedures meeting all the requirements
written for you, Complete Policy and Procedures Manual (hard copies) plus a computer disk with the
policy and documents you will need saved in word processing files compatible with your computer
system,
· Educational Materials for Drivers on the effects, signs and symptoms of drug use and alcohol misuse.
~ti\fMlQ)ti\lr@~W lrMOlMOlM@ ~@~ $lWlPrn~WO$@~, @~ lQ)~owrn~ {~IXlWti\ ~lW[!,rn ID@~.@@ID>>
· Designed for supervisors and company officials who are designated to determine if reasonable
suspicion exists to require drug and / or alcohol testing,
· Includes complete review of 49 CFR Part 382 requirements, Explains procedures for testing. Trains
supervisors in documenting basis for reasonable suspicion tests.
· Open classes held monthly at D.O.T STOP. On-site trainiDg available,
lQ)~lW@ ti\lMlQ) 1ID~ti\ulXl ~[!,(b@IXl@[!' urn$uOlM@
· Certified BAT technicians and Recordkeeping, Alcohol test results printed directly on form. Procedures
of Department of Transportation 49 CFR Part 40 precisely followed. '
· Drug test specimen collections as specified by Department of Transportation Rule 49 CFR Part 40,
Testing by DHHS Certified Laboratory. Certified Medical Review Officer (MRO) reports comply
with 382.407,
· Random Testing Consortium for Alcohol and Controlled Substances
· Scient4ically valid, computer generated random selection and documentation needed for compliance
with 49 CFR Part 382.305.
· Convenient D,O.T. STOP Hours. On site and 24 Hour Services available.
· Appointments acceptedl Walk-ins welcome,
ti\IQ)IQ)OuO@lMti\[!, lQ)o@ouo $1'@1P $rn~WO(brn$
· DOT Physical Examinations to comply with 49 CFR Part 391.41(physical qualification of drivers).
· Pulmonary Function. Testing-Spirometry testing.
· Functional Capacity Evaluations.
· Florida Drug Free Workplace Policy and Programs.
· Drug and Alcohol Awareness classes for employees,
Section (e)
Proposed Section 5-4(e}
Tests positive to a confirmation test following a positive initial test. A
confirmation test is a second analytical procedure run on a sample that was
positive on the initial screening test.
A job applicant who tests positive to a confirmation test may contest the
results within five (5) working days, lfthe city finds the explanation
unsatisfactory, the city shall within ten (10) working days of receipt of the
challenge, provide a written response to the applicant as to why the
explanation is unsatisfactory along with the result of the positive test.
Proposed Section 11-1(f). Leave of Absence with and without Pay
Section (f)
Section (i)
Section G)
If an employee tests positive to a confirmation drug test, the department
head shall place the employee on leave with pay (providing there is
adequate personal leave accumulated). lfthere is insufficient personal
leave, the employee will be placed on leave of absence without pay.
Proposed Section 11-9Q.lill
An employee who has tested positive and who has been referred to the
Employee Assistance Program, or other appropriate treatment and who
refuses this referral, shall be tenninated for cause.
An employee who fails to complete treatment in an Employee Assistance
Program will result in termination for cause.
RESOLUTION NO. '786
A RESOLUTION OF THE CITY OF WINTER SPRINGS, FLORIDA,
AMENDING THE CITY'S PERSONNEL POLICY IN ACCORDANCE
WITH CODE OF ORDINANCES 14-1 TO INCLUDE A PROPOSED
SECTION 21-12. DRUG FREE WORKPLACE AND REPLACE SECTION
5-4(e) WITH A NEW SECTION 5-4(e) PROVIDING FOR CONFLICT,
SEVERABILITY AND EFFECTIVE DATE.
WHEREAS, the City Commission at it's regular meeting of July 8, 1996
declared the City of Winter Springs a "Drug-Free Workplace" by adopting Resolution 782 and;
WHEREAS, the City Code of Ordinances No. 14-1, requires the City's
Personnel Policy to be modified by Resolution and;
WHEREAS, the amended Drug-Free Workplace Policy needs to be incorporated into
proposed Section 21-12 of the City's Personnel Policy attached hereto and;
WHEREAS, Section 5-4(e) of the City's Personnel Policy needs to be
replaced with proposed Section 5-4(e) attached hereto and;
WHEREAS, Sections 11-1 (t). Leave of Absence with and without Pay needs to be replaced
with proposed Section 11-1 (f) attached hereto and;
WHEREAS, Sections 11-9(i) and U). Employee Assistance Program attached hereto needs
to be amended defining grounds for termination under the new policy.
NOW, THEREFORE, BE IT RESOLVED BY THE CITY COMMISSION
OF THE CITY OF WINTER SPRINGS, FLORIDA THAT:
The City's Personnel Policy be amended to include:
1. Proposed Section 21-12. amended Drug-Free Workplace Policy and;
2. Existing Section 5-4(e) be replaced with proposed Section 5-4(e) attached
hereto and;
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3. Existing Section II-I(t) to be replaced with proposed Section II-I(t)
attached hereto, and;
4. Existing Section 11-9(i) and G) needs to be replaced with proposed Section
1I-9(i) and (j) attached hereto.
5. All other sections of the Personnel Policy known or unknown at this time are hereby
amended in accordance with proposed Section 21-12. amended Drug-Free Workplace
of the Personnel Policy.
PASSED AND ADOPTED TillS ~DAY OFt'ilr, 1996.
CITY OF WINTER SPRINGS
7:~
F. BUSH, MAYOR
ATTEST:
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Clr CLERK