HomeMy WebLinkAbout10-96 RESOLUTION NO. 10-96
A RESOLUTION of the City Council of the City of
Port Angeles, Washington, adopting the Alcohol
and Controlled Substance Testing Policy and
Procedures for employees required to possess a
commercial driver's license.
WHEREAS, the federal government has issued regulations
requiring all employers to implement a comprehensive alcohol and
controlled substance testing program for employees that are
required to have a commercial driver's license; and
WHEREAS, the City of Port Angeles, in compliance with the
federal regulations, has contracted with the Association of
Washington Cities to administer the City's comprehensive testing
program for alcohol and drug testing; and
WHEREAS, the City Council recognizes the importance of a
drug-free workplace to ensure the safety of the City's employees
and citizens; and
WHEREAS, the Council values City employees, views alcohol
and drug useage to be treatable conditions, and deems it
appropriate that there be a one-chance rehabilitation option for
employees who may test positive for drugs or alcohol; and
WHEREAS, the City's collective bargaining units have
reviewed and concurred with the attached policy and procedures;
NOW, THEREFORE, BE IT RESOLVED by the City Council of the
City of Port Angeles as follows:
Section 1. The City of Port Angeles adopts the Alcohol and
Controlled Substance Testing Policy and Procedures as set forth in
the attached Exhibit "A" and thereby implements the federal regula-
tions concerning alcohol and drug testing for employees with
commercial driver's licenses.
PASSED by the City Council of the City of Port Angeles at
a regular meeting of said Coun/~i~hel~~lSth day of June,
1996.
MAYOR
ATTEST: APPROVED AS TO FORM:
{~fk~'J~Up~n, C/i~y--cl~e~k Craig D. ~nutson, City Attorney
1
EXHIBIT "A"
CITY OF PORT ANGELES
321 East Fifth Street, PO Box 1150 Phone (360) 417-4500 TTY Phone (360) 417-4645
CITY MANAGER Port Angeles, Washington 98362-1150 Fax (360) 417-4509 internet address citym@olympus.net
CITY OF PORT ANGELES
ALCOHOL AND
CONTROLLED SUBSTANCES TESTING
POLICY AND PROCEDURES
PREPARED BY THE HUMAN RESOURCES OFFICE
ADOPTED JUNE, 1996
TABLE OF CONTENTS
PAGE
INTRODUCTION 1
Section 1: Pre-Employment Testing 2 - 4
1.1 Purpose
1.2 Scope of Testing
1.3 Applicant Notification
1.4 Test Scheduling and Conduct
1.5 Consequences of Failure to Comply With Policy
Section 2: Random Testing 5 - 6
2.1 Purpose
2.2 Selection Process
2.3 Supervisor Responsibilities
2.4 Driver Responsibilities
Section 3: Reasonable Suspidon Testing 7 - 8
3.1 Purpose
3.2 Basis for Reasonable Suspicion
3.3 Authority to Order Alcohol and/or Drug Tests
3.4 Supervisor Responsibilities
3.5 Test Scheduling and Transportation Arrangements
Section 4: Post-Accident Testing 9 - 10
4.1 Purpose
4.2 Scope
4.3 Supervisor Responsibilities
4.4 Driver Responsibilities
Section 5: Refusal to Submit to City-Ordered
Drug or Alcohol Testing 11
5.1 Definition
PAGE
Section 6: Reporting and Verification of Results 12 - 13
6.1 Reporting Negative Test Results
6.2 Reporting Positive Drug Test Results
6.B Requests to Test a Split Specimen
6.4 Reporting Positive Alcohol Test Results
Section 7: Consequences of Engaging in a Prohibited
Behavior and Possible Disciplinary Actions 14 - 20
7.1 Introduction
7.2 Voluntary Drug/Alcohol Assistance
7.3 Pre-Employment Testing
7.4 Probationary Employees
7.5 Alcohol Possession
7.6 Alcohol Testing
7.7 Possession of Controlled Substances
7.8 Drug Testing
7.9 Referral and Treatment
Section 8: Employee Responsibilities 21
8.1 Condition of Employment
8.2 Employee Responsibilities
DEFINITIONS 22 - 25
APPENDIX A: Relevant Excerpts from the DOT Rules
APPENDIX B: DOT Urine Testing for Drugs of Abuse
Split Specimen Collection Procedures
APPENDIX C: The Effects of Drug and Alcohol Use
APPENDIX D: Forms
RECEIPT OF INFORMATIONAl. MATERIALS
CERTIFICATION OF RECEIPT
I acknowledge that I have received informational materials and instruction regarding
the following:
· The agency policy establishing alcohol and drug testing and prohibiting drug
and alcohol use among employees who hold a commercial driver's license.
· The procedures that will be used to conduct testing, protect the integrity of the
process, and ensure validity of results.
· Potential consequences if I violate the policy and rules regarding the use of
alcohol and controlled substances.
· Consequences if I refuse to submit to required testing.
The effects of alcohol and controlled substance misuse on my health, work and
personal life, as well as the signs and symptoms of misuse, and methods for
requesting intervention and referral assistance when I identify a potential
problem with alcohol or controlled substance misuse.
Date Employee Signature
Printed Name
COMMERCIAL DRIVERS LICENSE (CDL) NOTIFICATION
PROCEDURE FOR DRUG/ALCOHOL RANDOM TESTING
When the Association of Wa~ington Cities notifies the Human Resource office that the City of Pon
Angeles has employees for CDL Drug/Alcohol testing, the following shall apply:
1. Each month the Association of Wa.~hington Cities has a random selection of the CDL pool
for all cities that have joined the AWC consortium. There are about 1200 employees in the
pool. ff a City of Port Angeles employee is selected, the Human Resource Manager is
notified by mail. Sometime during that month,, the affected employee will be tested for
drugs, alcohol, or both, depending on the random selection.
2. The Human Resource office will comact the affected employee's supervisor (Division
Manager) who will transport the employee to the test site for the random drug/alcohol test,
i.e. Clinicare.
3. The Human Resource Manager will notify Clinicare of the employees that will be coming so
they will not have to wait an extended period of time. Please let the Clinicare receptionist
know you are there for a drug or alcohol test when you axxive. Each employee will have a
form letter to show the test facility and must sign a consent form.
4. After the urine sample is collected for a drug test, the Human Resource office will receive
notification of the test results in about 24-48 hours. The employee is responsible to phone
the Human Resource Manager (Bob Coons) for the test results within this period. This will
provide greater confidentiality for the employee.
5. If a positive test for alcohol (through the breathalyser) is confirmed, the employee will know
at the test site.
ifa positive drug test is confirmed, the Medical Review officer in the Seattle laboratory will
contact the employee directly by phone. If unable to reach the employee, the Medical
Review officer will contact the Human Resource Manager. This will generally occur within
48 hours of the test. Refer to the details ofthi~ Policy Manual for procedures used in the
event of a positive test.
6. Any questions on the CDL Drag/Alcohol Policy should be directed to the Human Resource
Manager at extension//4511.
CITY OF PORT ANGELES
ALCOHOL AND CONTROLLED SUBSTANCES TESTING
POLICY AND PROCEDURES
For Drivers of Commercial Motor Vehicles
INTRODUCTION
The Federal Government issued regulations that cover employees who hold a commercial driver's license.
The Federal regulations require the City to implement a comprehensive alcohol and controlled substances
testing program for its covered employees (drivers). This manual is intended to serve as a summary of
procedures implemented by the City to comply with the regulations. Nothing contained herein shall in any
way be construed to limit or restrict the scope of State or Federal laws addressing the subjects covered in
these materials.
It is the intention of the City to comply with the Federal regulations for drug and alcohol testing for
employees with a Commercial Eh'iver's License (CDL). The City recognizes that employees that have used
alcohol and drags may be able to be rehabilitated to return as productive employees. To this end, the City
will establish a policy that alcohol and drug usage is a treatable condition. We value our employees and
therefore will provide a one-chance option for rehabilitation if an employee tests positive for alcohol or
drugs. However, if the severity of the incident warrants termination in the sole judgment of the City, we
reserve the fight to discharge an employee from City employment without offering a rehabilitation program.
The law was passed to provide protection to the public to keep our communities and streets safer and
remove drivers that use drugs or alcohol.
Any employee that has an alcohol problem or is using any prohibited drug is encouraged to come forward
on a voluntary basis and seek help through the Employee Assistance Program. We encourage you to seek
help before the CDL drug and alcohol testing begins. The City's medical plan offers considerable coverage
for treatment of alcohol or drug abuse.
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Section One:
. PRE-EMPLOYMENT TESTING
1.1 Purpose
To ensure that no person who has received a conditional offer of employment (for a position that requires
driving a commercial motor vehicle) operates a commercial motor vehicle (CMV) until the person is found
to be free of controlled substances as provided by the DOT regulations.
1.2 Scope of Testing
The following persons will be subject to pre-employment drug testing:
1. applicants selected for hire into a position which requires driving a vehicle under the regulations
for a CDL; and
2. current City employees who have not participated in the City's random drug testing program for
at least 12 consecutive months and are newly selected (transferred or reassigned) for assignment
to a position that requires driving a commercial motor vehicle; and
3. current City employees who have not participated in the City's random alcohol and controlled
substances testing program for at least !2 months and are promoted to a position that requires a
commercial motor vehicle license.
1.3 Applicant Notification
1.3.1 Each job announcement published and/or distributed by the Human Resources Office for a
position which includes driving a CMV shall include notice that a pre-employment drug test will
be administered to each person offered employment.
1.3.2 Job offers to a person selected to fill a position which involves driving a CMV shall include
information that:
(a) the offer is conditional pending completion of a drug test and the receipt of negative test
results; and
Co) refusal to partidpate in the testing will be disqualifying and will cancel the conditional offer
of employment; and
(c) the testing will be conducted by a Department of Health and Human Services (Dill]S)
certified facility and results will be reviewed by medical professionals; and
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(d) the individual must report to a specified test collection facility within 12 hours of receiving
the offer; and
(e) a valid driver's license (with photograph) must be presented at the test site for
identification.
1.3.3 ff the City does not conduct a pre-employment test, then, as a condition of employment, an
individual applying for a position requiring the performance of safety-sensitive functions shall,
at the request of the City, provide written authorization for previous employers to release to
the City any and all test results, including records of the individual's refusal to test, administered
in accordance with the Department of Transportation (DOT) Rules and Regulations concerning
controlled substances and alcohol use and testing.
1.4 Test Scheduling and Conduct
1.4.1 During the hiring process, applicants will be asked to read and sign a "Pre-Employment Test
Notification FormM. The Human Resources Office will schedule the applicant for testing.
1.4.2 Transportation to the testing site and the time required for the test will be the responsibility of
the applicant; no compensation or reimbursement will be provided by the City to participate in
the testing. The cost of the initial pre-employment test shall be at the expense of the City (not
any confirming test).
1.5 Consequences of Failure to Comply With Policy
1.5.1 If any of the following events occur, an applicant shall be considered to lack the qualifications
for the position and be disqualified for any City position that involves driving a commercial
motor vehicle:
(a) positive test for drugs;
(b) refusal to submit to a pre-employment drug test;
(c) failure to appear for a drug test within 12 hours after receiving a conditional offer
of employment. (NOTE: DOT regulations mandate that documentation of the
applicant's involvement in a vehicle accident or a genuine medical emergency are
the only explanations that are sufficient to excuse an Applicant's failure to appear
within the prescribed time period.)
1.5.2 To the extent that a test reflects illegal drug use by a current City employee while on duty, the
Program Manager will notify appropriate management of the positive result.
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1.5.3 In addition to the above, a current City employee who is promoted to a position that requires
a commercial motor vehicle license who fails a pre=employment drug test, the employee will be
returned to his/her former position and shall be directed to a substance abuse professional for
evaluation. The employee shall not be eligible for a position requiring a CDL for a period of
5 years, unless the employee completes a treatment program as recommended by the SAP.
Ifa seasonal employee is offered regular employment and fails the pre-employment drug test,
the employee shall be discharged.
Section Two:
RANDOM TESTING
2.1 Purpose
To serve as a strong deterrent of the use of controlled substances and the misuse of alcohol and to identify
commercial drivers who are using controlled substances or misusing alcohol and placing themselves, their
co-workers and the public at risk and to comply with the D.O.T. alcohol and controlled substances testing
regulations.
2.2 Selection Process
2.2.1 Each year, at least 50% of the average total number of Commercial Drivers will be randomly
selected to take a drug test and at least 25% of the average total number &Commercial Drivers
will be randomly selected to take an alcohol test.
2.2.2 On an unannounced basis, the City's Contractor will generate a list of persons to be tested. The
Contractor will use a scientifically valid, random number selection method. The number of
employees tested will vary throughout the year.
2.2.3 Department Heads and/or Division Managers will be notified when employees in their
d~partment are selected for a drag and/or alcohol test. A driver shall 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. (See
definitions of "Performing Safety-Sensitive Functions" and "Safety-Sensitive Functions".)
2.2.4 If an employee is on leave or otherwise absent from their job when they are randomly selected
to test, the employee's name will be put back into the pool. The Supervisor or Program
Manager must prepare written documentation explaining the reason why any driver is
unavailable for a random test.
2.2.5 If an employee with a Commercial Driver's License is on unpaid leave of absence for more than
30 consecutive days, they shall be removed from the pool for random testing. Upon return to
work, the employee shall be placed into the pool and be required to take a drug test before they
can perform safety sensitive activities.
2.3 Supervisor Responsibilities
City departments will coordinate scheduling and transportation arrangements for their employees selected
to take random drug or alcohol tests.
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2.4 Driver Responsibilities
Employees selected to take a random drag or alcohol test are required to sign a "Test Notification and
Consent Form" and submit to a drag and/or alcohol test at a time and place as directed by the City. Drag
and/or alcohol testing must occur as soon as possible after employees are notified of their selection.
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Section Three:
REASONABLE SUSPICION TESTING
3.1 Purpose
To identify drivers who may pose a danger to themselves and others in their performance of safety-sensitive
functions. Federal regulations require the City to test drivers for alcohol and drugs when the City has
reasonable suspicion to believe that the driver has engaged in prohibited behaviors. Nothing contained
herein shall in any way be construed to restrict the City's fight to order fit-for-duty exams and/or other
measures that are consistent with law and designed to promote safety in the workplace.
3.2 Basis for Reasonable Suspicion
Reasonable suspicion shall be based on specific, contemporaneous, and articulable observations concerning
the appearance, behavior, speech or body odors of a driver. Possession of alcohol or controlled
substances while on duty is a prohibited behavior and will, at a minimum, result in reasonable suspicion
testing (see Section 7.5, Alcohol Possession and Section 7.7, Possession of Controlled Substances).
3.3 Authority to Order Alcohol and/or Drug Tests Based on Reasonable Suspicion
Division Managers and above are authorized to order a driver to submit to an alcohol and/or drug test when
the supervisor has a reasonable suspicion to believe the driver has engaged in a prohibited behavior (see
Definition of "Prohibited Behaviors"). If possible, the supervisor will contact the Human Resources
Manager, or if he is not available, the affected Department Head, to witness the behavior to confirm and
document the behavior. Federal Law provides that employees suspected of violating these procedures
may be required to submit to a medical examination/evaluation in conjunction with their drug
and/or alcohol tests.
3.4 Supervisor Responsibilities
3.4.1 Once a supervisor has a reasonable suspicion that a driver has violated any of the prohibitions
contained in these policies, the manager/super~sor will take measures consistent with law to
protect the life and safety of employees and others who could be endangered by a driver
believed to be in violation of this program, including but not limited to the following actions:
(a) The supervisor will notify any driver suspected of a violation that he/she is being directed
to submit to a reasonable suspicion drug and/or alcohol test. The supervisor will request
the driver read and sign the "Test Notification and Consent Form".
(b) The supervisor will not allow any driver suspected of a violation to perform any safety-
sensitive functions until after alcohol and/or drug tests are conducted and negative test
results are received. The employee shall be assigned non safety sensitive functions, or
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placed on paid leave as determined by the Division Manager, with pay, pending the
outcome of the investigation.
(c) If the driver submits information regarding their use ora prescription drug, the supervisor
shall record all information contained on any prescription medications as well as a physical
description (i.e. number, color, shape of pills) of any medications.
(d) After taking steps to ensure the safety of employees and others who could be endangered
by a driver believed to be in violation of this program, the supervisor will complete anci
sign a "Post Accident/Reasonable Suspicion Record" setting forth the specific behavior
observed to support the reasonable suspicion. This written record must be completed
within 24 hours of the observed behavior or before the results of the drug and
alcohol te~ts are released, whichever is earlier.
(e) Following a determination of reasonable suspicion, drug and/or alcohol tests should be
ordered to occur as soon as possible. If not conducted within two hours of such incident,
supervisors must document the specific reason(s) for delays in the mandatory testing
procedures. In no event will an alcohol test be conducted more that eight hours following
a determination of reasonable suspicion.
3.4.2 When a supervisor has come to believe that a driver is in possession of under the influence of
alcohol or a controlled substance in the work place, the supervisor will:
(a) immediately remove the driver from the performance of safety-sensitive functions;
(b) contact the appropriate law enforcement agency (for controlled substances only), and the
Human Resources Manager as soon as possible;
(c) take steps to secure any area in which alcohol, drugs, suspected illegal substances or
paraphernalia are found; and,
(d) follow all steps outlined in 3.4.1, above.
Test Scheduling and Transportation Arrangements
The Human Resources Manager or the supervisor will call the designated medical staff at the appropriate
contractor's facility to inform the medical statfthat they are bringing in a City employee for a Reasonable
Suspicion Drug/Alcohol Test. Supervisors will make arrangements to transport the employee to and from
the testing location and will not allow the employee to drive.
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Section Four:
POST-ACCIDENT TESTING
4.1 Purpose
To determine whether a driver's use of drugs or alcohol might have played a role in an accident involving
a commercial motor vehicle.
4.2 Scope
4.2.1 For purposes of this section, "accident" refers to any mishap involving a City commercial motor
vehicle which results in a fatality, or when law enforcement official(s) indicate a traffic citation
will be issued to a City driver arising from the accident. (NOTE: Other accidents and mishaps
should be evaluated to determine whether drivers need to be tested under the Reasonable
Suspicion procedures in the previous section).
4.2.2 As soon as practicable following an accident, the City will require the following persons
("affected employees~) to submit to drug and alcohol testing:
(a) drivers who were performing driving functions with respect to any commercial motor
vehicle involved in an accident; and/or
(b) drivers who receive a citation from a law enforcement official at the scene of the accident
for a traffic violation arising from the accident.
4.2.3 Drug and/or alcohol tests ordered by law enforcement officials may be obtained by the
City and used for purposes of this program.
4.3 Supervisor Responsibilities
To implement this section, Supervisors must:
4.3.1 Immediately remove the employee from safety sensitive duties until negative test results are
received or until a determination is made by the City that no tests are required. The employee
shall be assigned non safety sensitive work or placed on paid leave as determined by the
Supervisor.
4.3.2 Ensure all chivers receive appropriate information, procedures and instructions on post-accident
protocol before drivers are permitted to operate commercial motor vehicles.
4.3.3 After an accident occurs, arrange for required tests, if not already initiated by law enforcement
officials.
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4.3.4 Require that affected employees read and sign the "Test Notification and Consent Form"
and arrange to have such employees transported to a testing facility. (Affected employees or
employees subject to reasonable suspicion testing will not be allowed to drive.)
4.3.5 Document facts and observations related to any decision to order testing under this program,
noting the time and date of both the accident and the test along with standard accident
investigation information.
4.3.6 If a required alcohol test is not administered within 2 hours following an accident, the
supervisor will continue to attempt to ensure the employee is tested, and will document on the
"Test Notifw~ation and Consent Form" the reason(s) the test was not promptly administered.
ffthe alcohol test is still not administered within 8 hours following an accident, the supervisor
will stop attempts to have the employee tested and document on the form the specific reasons
the employee was not tested as required by this program.
4.3.7 If a drug test is not administered within 32 hours following an accident, the supervisor shall
discontinue attempts to have the employee tested and document on the "Test Notification and
Consent Form" the specific reasons the employee was not tested as required by this program.
4.4 Driver Responsibilities
4.4.1 As soon as possible, drivers must notify their supervisors after nny accident that involves
injuries or property damage and follow established policies and procedures relative to nn
accident.
4.4.2 Drivers are to remain readily available for possible testing after any accident or mishap involving
injuries or property damage. Failure to do so may be considered a refusal to submit to testing.
(Since post-accident drug and alcohol testing should not delay necessary medical attention for
injured people, the driver may leave the scene of an accident for the time necessary to obtain
assistance in responding to an accident or for necessary medical treatment.)
4.4.3 Drivers must refrain from the consumption of any products containing alcohol or controlled
substances for at least 8 hours following an accident or until they take post-accident drug and
alcohol tests, whichever occurs first.
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Section Five:
REFUSAL TO SUBMIT TO
CITY-ORDERED DRUG OR ALCOHOL TESTING
5.1 Definition
The phrase "refusal to submit" to an alcohol or controlled substances test means:
1. A driver fails to provide adequate breath for testing without a valid medical explanation aRer he
or she has received notice of the requirement for breath testing; or
2. A driver fails to provide adequate urine for controlled substances testing without a valid medical
explanation after he or she has received notice of the requirement for urine testing; or
3. A driver engages in conduct that clearly obstructs (in the employeffs opinion) the testing process;
or
4. A driver fails to be readily available or delays arrival at the collection site for any City-ordered drag
or alcohol test; or
5. A driver refuses to comply with a request for testing~ provides false information in connection with
a test, refuses to sign any required testing forms or attempts to falsify test results through
tampering, contamination, adulteration or substitution.
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Section Six:
REPORTI~/G AND VERIFICATION OF TEST RESULTS
6.1 Reporting Negative Test Results
As soon as possible, the MRO will provide individual notices reflecting negative drug or alcohol test results
to the Program Manager or designate. Such information will promptly be communicated to affected
employees and their Department Head.
6.2 Reporting Positive Drug Test Results
6.2.1 After reviewing test results, the MRO will attempt to contact affected employees to advise them
of the positive test results. Such contact is intended to provide an employee with an
oppommity to explain medical conditions or treatments that might have affected the test(s) at
issue.
6.2.2 If unable to reach an employee through ordinary means, the MRO will contact the Program
Manager who will attempt to contact the employee to direct them to contact the MRO as soon
as possible, before performing safety sensitive duties, and no later than 24 hours from such
contact. If the Program Manager is unable to contact the employee, the appropriate department
representative shall take whatever steps are necessary to see that the employee is removed from
safety-sensitive duties pending further action by the Department.
6.2.3 In any event, if the MRO does not hear from an employee within 5 days of requesting the
Program Manager's cooperation in contacting such employee, the employee waives the
opportunity to present information concerning possible explanations of their test result(s).
Should this occur, the MRO will issue a final and binding positive test result. For good cause,
the MRO can re-open the verification process, such as emergency leave, vacation, or other
similar reasons.
6.2.4 The MRO may conclude, after appropriate review, that no legitimate medical reason exists for
a positive test and then must report the verified positive test and identity of substance found to
the City's Program Manager. This reporting will not be delayed pending split specimen analysis.
In addition, the employee will be referred to the City's EAP.
6.2.5 The Program Manager will report verified positive results to the Department Head, who will
coordinate steps consistent with Section 7, Consequences of Engaging in a Prohibited Behavior.
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6.3 Requests to Test a Split Specimen
6.3.1 The MRO will notify each employee who has a verified positive test that the employee has 72
hours in which to request a test ora split specimen. For good cause, the MRO has discretion
to waive the 72 hour time limit and accept an employee's request that a split sample be tested.
6.3.2 If requested, the MRO will direct the laboratory to send the split specimen to another DHHS
lab for analysis.
6.3.3 All split specimen tests requested by employees will be conducted at the requesting
employee's expense. If analysis fails to confirm the presence of drugs found in a primary
specimen, the MRO will report a negative result and the City will reimburse the employee for
the cost of the split specimen testing.
6.3.4 If the split specimen is unavailable or inadequate for testing, the MRO shall cancel the test and
report the cancellation and reasons therefore to the DOT, the City Program Manager and the
affected employee. Such event does not in any way restrict the discretion of the MRO to
verify results of a drug test without a split specimen.
6.4 Reporting Positive Alcohol Test Results
The Breath Alcohol Technician (BAT) will immediately notify the employee and the accompanying
supervisor or designee of a positive alcohol test. If a supervisor is not present, the BAT will immediately
inform the Program Manager of the test result. Employees who have tested positive will not be permitted
to drive. The Supervisor, Program Manager, or their designate will assist in making transportation
arrangements for those employees.
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Section Seven:
CONSEQUENCES OF ENGAGING IN A PROHIBITED BEHAVIOR
AND POSSIBLE DISCIPLINARY ACTION
7.1 Introduction
7.1.1 This section explains the City's POlicy regarding the use of drugs and alcohol in the workplace
by employees performing safety sensitive functions. This section also describes what the City
considers to be a "minor violation" of prohibited behaviors relative to alcohol use and prescribes
minimum steps necessary for counseling, rehabilitation and follow-up testing before an
employee can be permitted to return to duty. These procedures shall not in any way be
construed to limit the fight of the City to impose discipline upon an employee for engaging in
prohibited behaviors or for violating any other City policies or work place standards regarding
drugs or alcohol, up to and including discharge from employment.
7.1.2 Under DOT regulations, discipline for program violations are determined at the local level. City
policy for prohibited conduct is as provided below. Those employees covered by this policy
who engage in any prohibited behavior will be subject to discipline, up to and including
discharge.. Those employees who have a positive test result and who are permitted to retain
employment with the City must comply with the referral and treatment procedures outlined in
Section 7.9 or they will be subject to immediate discharge.
7.1.3 Upon determination that a driver has engaged in a prohibited behavior, the appropriate
supervisor or department representative will take whatever measures are necessary to
immediately remove the employee from safety sensitive duties. Then the supervisor or
department representative should contact the Human Resources Office for guidance on what
steps to take, for assistance in conducting an investigation.
[Note: State or Federal officials may suspend or confiscate an employee's commercial
driver's license and or certification. In such event, the employee would not be qualified
to perform safety-sensitive duties and may face discipline.
7.2 Voluntary Drug/Alcohol Assistance
7.2.1 Employees are encouraged to consider their conduct regarding the use of alcohol and/or drugs
in light of the regulations and to seek assistance from the Employee Assistance Program if they
believe that their conduct would violate the prohibited behaviors. Any employee voluntarily
coming forward, prior to being selected for testing under this policy, may be allowed a one
time opPOrtunity to pursue and complete treatment. Payment for evaluation and treatment will
be per the employee's health care benefits plan, if applicable.
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7.3 Pre-employment Testing
Any prospective employee who fails a pre-employment drug test or refuses to submit to a pre-employment
drug test will have the job offer rescinded and shall be removed from consideration for the position. In
addition, test failure shall be considered cause for the removal of the applicant's name from any employment
list and disqualification from future employment with the City.
Any current employee who is to be promoted, transferred or demoted to a safety sensitive position and fails
a pre-employment drug test shall be removed from consideration for that position. If the employee's
previous position was not a safety sensitive position, the employee will be allowed to continue in their
former position.
7.4 Probationary Employees
Probationary employees are at-will employees and may be released at any time with or without cause. Any
probationary employee who falls a random, reasonable suspicion or post-accident drug or alcohol test (at
any alcohol concentration level) or who refuses to submit to any drug or alcohol test shall fail probation and
will be discharged from employment. If the employee was promoted and fails a drug or alcohol test, they
may be placed in a non safety senstive position.
7.5 Alcohol Possession
Alcohol possession while on duty is a prohibited behavior and will, at a minimum, result in immediate
removal from the performance of safety-sensitive functions and a reasonable suspicion alcohol test. Any
employee in possession of alcohol while on duty who has previously tested positive for alcohol at any
alcohol concentration level (0.02 or above), or has had a verified positive test result for controlled
substances, or has previously been disciplined for infractions related to alcohol or drugs, or has been
placed under a "return to work" agreement will be discharged.
7.6 Alcohol Testing
7.6.1 Any employee (other than a probationary employee) who tests positive for alcohol under
random, reasonable suspicion or post-accident testing at 0.02 - 0.039 (minor violation) level:
(a) will be immediately removed from their safety sensitive position for a minimum of twenty-
four (24) hours following administration of the test (on an administrative leave with pay
status pending the outcome of the City's investigation); and
(b) may be required to sign a "return to work" agreement; and
(c) will be provided information regarding the Employee Assistance Program; and
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(d) will be disciplined up to and including possible discharge, depending on the severity of the
violation.
Any employee who tests positive for alcohol at any alcohol concentration level (0.02 or
above) under return-to-work or follow-up testing will be subject to immediate discharge.
Any employee who tests positive for alcohol at any alcohol concentration level (.02 or
above) a second time will be subject to immediate discharge.
Any employee who tests positive for alcohol at any alcohol concentration level (0.02 or
above) and has previously been disciplined for infractions related to alcohol or drugs, has
previously had a verified positive test result for controlled substances, has been in
possession of alcohol or controlled substances while at work, or has been placed under
a "return to work" agreement will be subject to immediate discharge.
7.6.2 Any employee who has not previously been disciplined for infractions related to alcohol or
drags and who tests positive under random, reasonable suspicion or post-accident testing for
alcohol at 0.04 - 0.079 alcohol concentration:
(a) will be immediately removed from their safety sensitive position (on an administrative
leave with pay status pending the outcome of the City's investigation); and
(b) may be required to sign a "return to work" agreement; and
(c) will be disciplined up to and including possible discharge depending upon the severity of
the violation; and
(d) if not discharged, will be referred to a Substance Abuse Professional (SAP) and must
successfully complete the treatment plan summarized below and explained in detail in
Section 7.9, Referral and Treatment:
(1) be evaluated and complete a treatment and rehabilitation program as developed by
the SAP; and
(2) submit to return to duty drug and alcohol tests; and
(3) sign and comply with a return to work agreement that is developed in conjunction
with the SAP outlining terms of return to work, including ongoing treatment and
additional random testing for up to five years, with a minimum of six tests the first
year.
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7.6.3 Any employee who tests positive for alcohol at an alcohol concentration level of 0.08 or higher
in any alcohol test, or who refuses to submit to any ordered alcohol test will be immediately
removed from their safety-sensitive position and will be discharged.
7.7 Possession of Controlled Substances
As discussed in Section 3.2, possession of controlled substances while on duty is a prohibited behavior and
will, at a minimum, result in immediate removal from the performance of safety-sensitive functions and a
reasonable suspicion controlled substances test.
Any employee in possession of controlled substances while on duty who has previously tested positive
for alcohol at any alcohol concentration level (0.02 or above), or has had a positive test result for
controlled substances, or has previously been disciplined for infractions related to alcohol or drugs,
or has been placed under a "return to work" agreement will be discharged.
7.8 Drug Testing
7.8.1 Any employee who has not previously been disciplined for infractions related to alcohol or
drugs and who receives a positive test result for controlled substances under random,
reasonable suspicion or post-accident testing:
(a) will be immediately removed from their safety sensitive pos/tion and assigned to non safety
sensitive work or placed on paid leave as determined by the Division Manager pending
the outcome of the City's investigation; and
may be required to sign a "return to work" agreement; and
(c) will be disciplined up to and including possible discharge from employment, depending
upon the severity of the violation; and
(d) if not discharged, will be referred to a Substance Abuse Professional (SAP) and must
successfully complete the treatment plan summarized below and explained in detail in
Section 7.9, Referral and Treatment:
(1) be evaluated and complete a treatment and rehabilitation program as developed by
the SAP; and
(2) submit to return to duty drug and alcohol tests; and
(3) may be required to sign and comply with a return to work agreement that is
developed in conjunction with the SAP outlining terms of return to work, including
ongoing treatment and additional random testing for up to five years, with a minimum
of six tests the first year.
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Any employee who receives a verified positive test result for controlled substances under
return-to-work or follow-up testing will be subject to immediate discharge.
Any employee who receives a verified positive test result for controlled substances a
second time will be subject to immediate discharge.
Any employee who receives a verified positive test result for controlled substances and
has previously been disciplined for infractions related to alcohol or drugs, has previously
had a verified positive test result for controlled substances, has been in possession ot
alcohol or controlled substances while at work, or has been placed under a "return to
work" agreement will be subject to immediate discharge.
7.8.2 Any employee who refuses to submit to a City ordered controlled substances test will be subject
to immediate discharge.
7.9 Referral and Treatment
This section shall apply only to those individuals who have been referred to the SAP as described in Section
7.6.2 and/or Section 7.8 above. The employee must consent to release information from all involved
counselors and/or physicians to the SAP.
7.9.1 Evaluation by the SAP
The Substance Abuse Professional (SAP) will evaluate the employee and will determine what
assistance and treatment, if any, the employee needs in resolving problems associated with
alcohol misuse and/or substance abuse. The employee will provide the City with documentation
certifying that he/she has been evaluated by the SAP, whether or not treatment was
recommended and whether or not the employee will be required to be offwork to complete the
treatment. This information is to be documented on the "SAP Preliminary Evaluation
Form." An employee may be allowed to use sick leave, vacation, or compensatory time, if
applicable, to enter and complete a recommended treatment program.. Donation of time from
other employees per the Catastrophic Illness Policy will not be allowed.
(a) If the SAP determines that the employee needs assistance in controlling prohibited
behaviors and the employee wishes to remain employed with the City, the employee must
enter and complete the recommended inpatient or outpatient treatment program.
Employees pursuing outpatient treatment will continue to be subject to alcohol and drug
testing under this policy. Failure to complete all recommended treatment (inpatient and/or
outpatient) will result in immediate discharge.
On completion of the treatment program, a summary of the treatment outcome and
recommendations for follow-up are to be forwarded to the SAP. The employee will then
provide documentation to the City of successful completion of the program. The
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documentation shall include any recommendation for follow-up care and unannounced
follow-up testing (at least six in the first year). This information shall be documented on
the "SAP Post Treatment Evaluation Form."
If required by the treatment plan, the employee must enroll in and complete a bonafide
aftercare program following completion of the inpatient treatment program. Progress
reports shall be forwarded to the SAP.
(b) If the SAP determines that the employee is not chemically dependent and a rehabilitation
program is not required, the employee must comply with recommendations by the SAP
for educational programs and/or counseling. Such employee will still be subject to a return
to duty test prior to returning to work.
7.9.2 SAP Follow-up
Prior to an employee being permitted to return to duty, the SAP will review his/her original
assessment of the employee and the summary of any treatment the employee has undergone in
order to advise the City of whether or not the employee has successfully completed the
recommended treatment program. The SAP may interview the employee and may consult with
involved counselors to assist in making this determination.
7.9.3 Return to Duty Test
After the SAP has determined that the employee has successfully completed the recommended
treatment program, the employee will submit to a drug screen urinalysis and an alcohol breath
test. A positive return to duty drug or alcohol test will result in immediate discharge.
7.9.4 Follow-up Testing
Upon return to work, the employee will be subject to an individual random alcohol and/or
controlled substances testing program, the number and frequency to be determined by the SAP
(with at least 6 tests in the first 12 months and additional testing for up to 60 months at the
discretion of the SAP). All collections may be observed and all test results will go to the SAP
and Program Manager. All test results must be negative or the return to work program is
terminated and the employee will be discharged. This testing is in addition to all other testing
already required by the City and DOT regulations.
7.9.5 If the SAP rex:ommends more than 6 follow-up tests, upon completion of the sixth test, the
employee will return to the SAP for a reassessment (the original assessing SAP is preferred).
Results of this assessment will be used by the SAP to determine whether and how long to
continue individual follow-up testing. The results of the reassessment will be sent to the
Program Manager.
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7.9.6 The employee must agree to sign a return to work agreement or the treatment program will be
considered to be incomplete and the employee may be discharged. Payment for evaluation and
treatment will be per the employee's health care benefits plan if and to the extent, the plan so
allows.
7.97 Payment for evaluation and treatment will be per the employee's health care benefits plan if and
to the extent the plan so allows.
-20-
Section Eight:
EMPLOYEE RESPONSIBILITIES
8.1 Condition of Employment
As a condition of employment, drivers are expected to perform their duties in a manner consistent with the
City's Alcohol and Controlled Substances Testing Policy and Procedures for Drivers of Commercial Motor
Vehicles and applicable state and federal regulations. It is encouraged by the City that employees
voluntarily seek help for substance abuse problems before their work performance is affected.
8.2 Employee Responsibilities
8.2.1 Employees may be immediately removed from all safety-sensitive functions and may be subject
to discipline, up to and including discharge from the City, if they do not comply with the
following expectations. Employees are expected to:
(a) appear for a random drug and/or alcohol test immediately or within a maximum of (2)
hours following notification to appear for such test(s);
Co) submit to any alcohol or drug test ordered by the City; sign a "Test Notification and
Consent Form"; provide a breath and/or unadulterated urine sample; and test negative
for the presence of alcohol or drug(s);
(c) remain drag and alcohol free until tested, not to exceed 8 hours after an accident or until
post-accident alcohol and drug tests are administered, whichever occurs first and remain
readily available for alcohol and drug testing after any accident or mishap involving a
commercial motor vehicle;
(d) not manufacture, distribute, dispense, possess, or use controlled substances;
(e) inform the City of a physician's recommendation, in writing, whether or not therapeutic
drug use will adversely affect the employee's ability to safely drive a commercial motor
vehicle;
(f) report the condition of other employees to the supervisor when the employee's condition
may present a safety hazard to him/herself or others;
(g) attend any mandatory training in regards to the Alcohol and Controlled Substances Testing
Program.
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DEFINITIONS
The following definitions are to be interpreted in a manner which allows the City to implement the applicable Federal regulations
to their fullest extent.
3. is designed to transport 16 or more
passengers, including the driver, or
ALCOHOL the imoxieating agent in beverage alcohol, ethyl
alcohol, or other low molecular weight alcohols including 4. is of any size and is used in the transportation
methyl and isopropyl alcohol, of materials found to be hazardous for the
purposes of the Hazardous Materials
ALCOHOL AND CONTROLLED SlYl~$TANCES Transportation Act and which requires the
TESTING pROGRAM MANAGER see 'Program motor vehicle to be placarded under the
Manager". Hazardous Materials Regulations (49 CFR
part 172, subpart F).
ALCOHOL CONCENTRATION (OR CONTENT) the
alcohol in a volume of breath expressed in terms of grams of CONFIRMATION TEST
alcohol per 210 liters of breath as indicated by an evidential
breath test. 1. in ~eOl~01 testing, a confirmation test means a
second test, following a sereenin_~ test with a
ALCOHOL TEST evidential breath testing using a devioe result of 0.02 or greater, that provides quantitative
approved by the National Highway Traffic Safety clataofaleoholeoncentration.
Administration (NHTSA). Two breath tests are required to
determine ifa person has a prohibited alcohol concentration. 2. in controlled substances testing, a confirmation
Asereeningtestisconduetedfirst. Any result less than 0.02 test means a see, oM analytical procedure to
is considered a Wnegafive~ test. fit he alcohol concentration identify the presence of a specific drug or
is 0.02 or greater, a second confirmation test must be metabolite which is independent of the screening
conducted, test and which uses a different technique and
chemical principle from that of the soreening test
ALCOHOL USE the consumption of any beverage, mixture in order to ensure reliability and accuracy. Gas
or preparation, including medication, containing alcohol, chromatography/mass spectrometry (GC/M$) is
the only authorized confirmation method for
BREATH ALCOHOL TECHNICIAN 01AF) a trained cocaine, marijuana, opiates, amphetamines, and
individual who instructs and assists individuals in the alcohol pheneyclidine.
testing process and who operates the evidential breath testing
device. CONFIRMED POSITIVE T~ST RESULT with respect
to controlled substances testing, following the screening test
COMMERCIAL DRIVER see ~Driver". and the confirmation test, the lab conducting the test reports
a ~confirmed positive~ test result to the Medical Review
Officer for verification.
COMMERCIAL MOTOR VEHICLE (CMV) a motor CONTROLLED SUBSTANCES under thc DOT rules
vehicle or combination of motor vehicles used to transport include marijuana (THC), cocaine, opiates, phencyclidine
passengers or property if the motor vehicle: (PCP) and amphetamines. Other controlled substances for
which employees may be disciplined include all drugs and
1. has a gross combination weight rating of other substances as defined by RCW 69.50.
26,001 or more pounds inclusive of a towed
unit with a gross vehicle weight rating of CONTROLLED SUBSTANCES TEST a method for
more than 10,000 pounds; or detemfining the presence of controlled substances in a urine
sample using a scientifically reliable method performed in
2. has a gross vehicle weight rating of 26,001 accordance with procedures specified in 49 CFR part 40.
or more pounds; or See screening test and confn-mation test.
-22-
COORDINATOR see "Program Manager". function during any period in which he or she is actually
performing, ready to perform or immediately available to
COVERED EMPLOYEE sec "Driver". perform any safety-sensitive functions.
DEPARTMENT OF TRANSPORTATION (DOT} POST ACCIDENT TEST conducted after accidents on
AGENCY an agency (or "operating administration")of the drivers whose performance could have contributed to the
United States Deparlment of Transportation administering accident (as determined by a citation for a moving traffic
regulations requiring alcohol and/or drug testing (14 CFR violation and for all fatal accidents even if the driver is not
parts 61, 63, 65, 121, and 135; 49 CFR parts 199, 219, 382, cited for a moving traffic violation).
653 and 654), in accordance with 49 CFR part 40.
PRE-EMPLOYMENT TEST an alcohol and/or drug test
DRIVER any employee who operates a commercial motor acknimstered to an individual prior to employment.
vehicle and is required to have a CDL. This includes, but is
not limited to: regular, full-time, seasonal, temporary, or part- PROGRAM MANAGER the Human Resources Manager
time employees. For the purposes of pre-emplqvment/pre- for the City of Port Angeles to oversee the CDL proced~s
duty testing only, the term "driver" includes a person applying for the City.
to an employer to drive a commercial motor vehicle.
PROHIBITED BEHAVIORS DOT regulations and/or
DRUG TEST see "Controlled Substances Test". City policy prescribe prohibited behaviors for employees
subject to the City's Alcohol and Controlled Substances
DRUGS see "Controlled Substances". Testing Program. For purposes of this program, prohibited
behaviors include but are not limited to the following:
EMPLOYEE ASSISTANCE PROGRAM lEAP) a
consultation and referral service to assist employees in Alcohol Coneentration
resolving a variety ofproblems, including emotional, marital, Reporting for duty or remaining on duty and
family, drug and alcohol, legal and others, performing safety-sensitive functions while
having an alcohol concentration of 0.02 or
EVIDENTIAL BREATH TESTING (EBT} DEVICE a greater.
device approved by the National Highway Traffic Safety
Administration (NHTSA) and placed on NHTSA's Aleohol Pos~esdon
Conforming Products list and used for the evidential testing Possession of alcohol while on duty or operating
of breath for alcohol concentratioB, a commercial motor vehicle.
FOLLOW-UP TEST an alcohol and/or controlled
substances test administered to a driver who has violated the
regulations and City policy and who has been permitted to On Duty Use of Alcohol
return to duty atter passing a return-to-duty alcohol and/or Use of alcohol while performing safety-sensitive
controlled substances test. functions. (This includes alcohol which may be in
medications.)
INrrIAL TEST see "Screening Test".
Pre-Duty Use of Alcohol
MEDICAL REVIEW OFFICER (MRO) a licensed Performin~ safety-sensitive functions within four
physician (medical doctor or doctor of osteopathy) hours atterhavingusedalcohol.
responsible for receiving laboratory results generated by the
City's drug testing program who has knowledge of substance Alcohol Use Following An Aeeldeat
abuse disorders and has appropriate medical training to Use of alcohol within eight hours following an
interpret and evaluate an individual's eonfn'med positive test accident or before undergoing a post-accident
result together with theft medical history and any other alcohol test, whichever occurs first.
relevant biomedical information.
Use of Controlled Substanees (Drugs)
PERFORMING (A SAFETY-SENSITIVE FUNCTION) Reporting for duty or remaining on duty
a driver is considered to be performing a safety-sensitive performing safety-sensitive functions alter having
-23 -
used a controlled substance, except when the use 4. a driver fails to be readily available or delays
is prcseribed by a physician who has advised the arrival at the collection site for any City-ordered
driver that the substance does not adversely affect drug or alcohol test; or
the driver's ability to safely operate a commercial
motor vehicle. 5. a driver refuses to comply with a request for
testing, provides false information in connection
Refm~l To Submit To A R~lulr~d Test with a test, refuses to sign any required testing
]~fla~l/,_~ or to ex,operate in providing forms, or attempts to falsify test results through
valid sample(s) for post-aecident, random, tampering, contamination, adulteration or
reasonable susp_iciorb or follow-up alcohol or substitution.
controlled substances test(s) as directed pursuant
to this policy. RETURN-TO-DUTY TEST an alcohol and/or conlrolled
substances test adminisered prior to a driver being permitted
Refusal To Sign for Poliey to return to duty after the driver has violated the prohibitions
No driver shall refuse to sign a statement of thispolicy.
indicating receipt of a copy of the City's Alcohol
and Controlled Substances Testing Program. RETURN TO WORK AGREEMENT any employee
found to have violated the prohibited behaviors and who is
RANDOM TEST an alcohol and/or controlled substances permitted to retain their employment with the City may be
test administered to a driver who has been randomly selected required to sign a 'return to work agreement.' This
by a scientifically valid method from among the pool of City agreement shall set forth the conditions under which the
drivers, employee shall be allowed to retain City employment.
Failure by the employee to follow all of the conditions of this
REASONABLE SUSPICION TEST an alcohol and/or ageement shall result in the employee's immediate discharge.
controlled substances test administered to a driver as a result
of a supervisor's evaluation that the driver has violated the SAFETY-SENSITIVE FUNCTIONS for purposes of this
alcohol or controlled substances prohibitions of the program, the following items provide non-exclusive
regulations and/or City policy. A reasonable suspicion descriptions ofactivities that are considered 'safety sensifive
determination must be based on specific, contemporaneous, functions' when performed by a Commercial Driver:
articulable observations concerning the appearance,
behavior, speech or body odors of the driver. These 1. when a driver begins to work or is required to be
observations may include indications of the chronic and in readiness to work until the time he or she is
withdrawal effects of controlled substances, relieved from work and all responsibility from
performing work;
REFUSAL TO SUBMIT (TO AN ALCOHOL OR
CONTROLLED SUBSTANCES TEST) 2. when a driver spends time at a carrier or shipper
plant, terminal, facility, or other property, or on
1. a driver fails to provide adequate breath for any public property, waiting to be dispatched,
testing without a valid medical explanation after unless the driver has been relieved from duty by
he or she has received notice of the requirement the City;
for breath alcohol testing; or
3. when a driver inspects equipment, services or
2. a driver fails to provide adequate urine for conditions of any motor vehicle at any time;
controlled substances testin~ without a valid
medical explanation after he or she has received 4. during all 'driving time,' meaning all time spent
notice of the requirement for urine testing; or at the driving controls of a motor vehicle in
operation;
3. a driver engages in conduct that clearly obstructs
(in the employer's opinion)the testing process; or 5. during all times, other than driving time, in or
upon any motor vehicle;
-24-
6. when losding or unloading a vehicle, supervising, VERWIED POSITIVE TEST RESULT with respect to
or assisting in the loading or unloading, attending controlled substances testing, a confi~ed positive test result
a vehicle being loaded or unloaded, remaining in (as determined by the lab) shall be provided to the Medical
readiness to operate the vehicle or in giving or F, rwiew Officer (MRO). After the MRO has interpreted and
receiving receipts for shipments loaded or evaluated the confirmed positive test result, if the MRO
unloaded; concurs, such positive test result is considered "verified" and
is reported to the employer.
7. during time spent performing the driver
requirements and during time relating to
accidents; and
8. during time repairing, obtaining assistance or
remaining in attendance upon a disabled vehicle.
SCREENING TEST
1. in alcohol testing~ a "screening test' means an
analytical procedure to determine whether a driver
may have a prohibited eoneenl~ation of alcohol in
his or her system, ffthe screening test is positive,
then a second, eonfirmafiola test will be
conducted.
in ~ntroned ~s~C~ test~_~, a '~-m$ test'
means an immunoassay screen (or other DHHS-
approved test) to eliminate "negative' urine
specimens from further consideration. If a
controlled substances screening test is positive, a
second, confirmation test will be conducted.
SPLIT SAMPLE OR SPECIMEN with respect to
con, oiled substances testing, the urine sample is divided into
two samples. One sample is used for thc initial or screening
test and the confirmation test. ff the confu-mation test
indicates a "positive" test result, the results are sent to the
Medical Review Officer (MRO). At~ investigation, if the
MRO determines the test result to be a verified positive, then
the employee has 72 hours in which to request that the second
sample ("split sample") be tested.
SUBSTANCE ABUSE PROFESSIONAL (SAP) a
licensed physician (Medical Doctor or Doctor of
Osteopathy), or a licensed or certified psycholosist, social
worker, drug assistance professional, or addiction counselor
(certified by the National Association of Alcoholism and
Drug Abuse Counselors Certification Commission) with
knowledge of and clinical experience in the diagnosis and
treatment of alcohol and controlled substances-related
disorders.
SUPERVISOR any Division Manager and above with
supervisory responsibilities over other City employees.
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APPENDIX 'A'
Relevant Excerpts from the DOT Rules
APPENDIX A
RELEVANT EXCERPTS FROM THE DOT RULES
Sublxlrt A - Generl] ..............................................................
40.1 Applicability.
40.5-40.19 Reserved.
Subpart B - Drug Testing ........................................................... A-2
40.21 The drugs.
40.23 Preparation for testing.
40.25 Specimen collection procedures.
40.27 Laboratory personnel
40.29 Laboratory analysis procedures.
40.31 Quality ~.~urance and quality control.
40.33 Reporting and review of results.
40.35 Protection of employee records.
40.37 Individual ecceu to t__~ and I*bomtory certification result.
40.39 Use of DI-[HS - certified laboratories.
Subpa~ C - ~,k:ohol Testing ......................................................... A-~15
40.51 The breath alcohol t~bni¢ian.
40.53 'Devices to be used for breath alcohol tests.
40.55 Quality assurance plans for EBTs.
40.57 Locations for breath alcohol testing
40.59 The breath alcohol testing form and log book.
40.61 Preparation for breath alcohol testing.
40.63 Procedures for screemng test.
40.65 Procedures for confirmation tests.
40.67 Refusals to test and uncompleted testa.
40.69 Inability to provide an adequate mount of breath.
40.71 - 40.77 (Reserved).
40.79 Invalid Tests.
40,81 Availability and disclosure of alcohol testing information ~mut individual employees.
40.83 Maintenance and disclosure of records concerning EBTs and BATs~
Subpm't D - Non-Evidential Alcohol Screening Tests ........................................ A-21
40.91 Authorization for use of non-evidenthtl alcohol screening devices.
40.93 The screening test technician.
40.95 Quality assurance plans for non-evidential screening devicos.
40.97 Locations for non-evidential alcohol screening testa.
40.99 Testing forms.
40.101 Screening test procedure.
40.103 Refusals to test and uncompleted tests.
40.105 Inability to provide an adequate amount of breath or saliva.
40.107 Invalid testa.
40.109 Availability and disclosure of alcohol testing information about individual employees.
40.111 Maintenance and disclosure of records concerning non-evidentinl t~stmg devices and STTs.
A-I
~.h.nnrt A - I'~-1~A1.
§ 40.1 Applicability.
This part ·pptios, through regulations that reference it mued by agencies of the I~partment of Transportation, to
mmsportstion employers, including self. employed individuals, requ/red to conduct drug and/or alcohol testing programs by DOT
agency reguistiom and to such transportation employers' officers, employee·, agents and contractors (mcludiog, but not
to, consortia), l:mployore are responsible for the compliance of their officers, employees, agents, consortia and/or contractors
with the requirements of this part.
.~.h.rmrt g - DRU~ TIT_~'ITNG
~40.~I The drugs.
(·) DOT agency' drllg te~g prOgTaJ~ reclliire ~ employere U~ for mm'ijumm, cocaine, opiates. ~mpbemmmes and
phencyclidine.
(b) ~u employer m~y include in iu testing protocols o~ber controlled ~ubsmuce, or alcohol only pummnt to · DOT agency
· pproval, if testing for those ~ub~tanr~ ;~ anthorized umbr agency ragnlatio~ and if the D~[HS lure established an approved
testing protocol and positive thresbo]d for each such ~ubsmnce.
(c) Urine specimens collected under ~ agency regulations requiring comp]Janco with ibis part my only be used to test
for c~mtroLled ,ubsm~es designstM or approved for ~ting as de~ribecl in tim section and ,ball mx be used to conduct any other
analysis or ~est unless other~e specifically authorized b~ DOT agency, reguimkmL
(el) This sect~ __,,~_: not proin~ok procedures reasonsbly incident to ,~ly~is of the specimen for controlled substances ( e.g..
determination of pH or tern for specific gravity, creatinlne concentration or presence of edulterents).
§40.23 Preparation for testing.
The employer and certified laboratory ,baLI develop and maintain a clear and well-documented procedure for collection.
shipment, and accessiouing of ur/ne specimens under ilzis part. Such · procedure ,ball include, at · minimum, the following:
(a) (1) Excopt as provided in paragraph (a)(2) of this section, me of the drug testing form pre,cribed umier tim p~rt.
(i) Tim form is found in Appendix A to this pm:
(ii) Employers and (Xber p~ticil~nts in the DOT drag testing program may mx modify or revi~ tim form. except
tha~ the drug testing custody and control form may include such additional information ,, nmy be required for billing or other
legi~u~ purposes neeco,tory to the collection, provided that persona] identi~mg information on the donor (other than the ,ociaJ
s~curity number or other employee ]]) number) may nc~ be provided to the labor·tory.
(iii) Donor medical ioformution may appear only on the copy provided the donor.
(2) Nonvithsmnding the requiremant of pmq~pb (&)(l)(ii) of tim section, empioyer~ and other pmiciponu may um
~xi"tmg forms what were in use in the ~ drug testing program prior to February ]6, 1995. until June I. 1995.
(~3) Appendix ~ to psrt 40 is amended by revising the Federal Drug Testing Custody and Control Form. copy 1, to
read as follows: ,S. ppendix A to Part 40 - Federal Drug Te,ting Cnstocly and Control Form.
.~b) (1) Use of· ck.m..mgle-u~ ,p~imen bottle that is .ecurely m~pped until filled v~h the ,pecimen. A clean. ,ingle-
use collection container (e.g.. disposable cup or mrile urine) what
.r~uion/~ ~firecr~ ~mo ~ ~ec~e. bo#/e, the N~cimen bottle ,ball be provided to the employee .till ~ in i~ mlp~r or
~ b~ unu4'apped in the employee's
~ arinarion, the collection container ~ be provided to the employee still .ealed in its wrapper or ~ be unwrapped in the
employee's pre.euce immediately prior to its being provided; and the collection site person
the pre,ence of'the employee at the time the urine ,pecimen is pre,entocl.
(2) U,e ~ romper proof ~ng ,y,tem. de. igned in · m~mner .ucb to ensnare ~ undetected opezimg. The ,pecim~
bede ~ be k~nt~ed w~th · unklu~ idemif~ing number idez]tic~d to that appearing on the uriz~ cu~ody m~d conUo] for~, and
spece shall be provided to ~ the bo(tie ~n$ its identity. For pu~ of clarity, ~ pazt mlumel um of & ~ystem m~de
up of one or more preprimed labels and
&mborized.
(c) Use of· ~ppmg container in which the ~ecimen end
and initialed to prevent undetecmd mmperm, g. If the spik specimen option is exercised, the split ,pec/men and a~ocinted
paperwork sb~ll be sealed in · ~bipping (or storage) container ~ initin]ed to prevent undetected tampering.
(d) Writ~n procedures, imtructiom and training sbMl be provided as follov~:
(1) Employer collection procedures and tr~i,~ing shall clearly empbmize that the collection site per.on is re,lx~mibie
for m.int,,~n;.g the integrity of the ,pecimen collection and tmmfer proce,, carofull¥ ensuring the modesty ami privacy of the
donor, and is to ·void en¥ conduct or remmks what might be construed as accu~tormJ or othe]'m,e offensive or inappropriate.
(2) A collection site person shah have successfully completed traininf to carry out this function or shall be a licensed
medical professional or technician who is provided instructions for collection under this pe~t and certifies completion as
(i) A non-medical collection si~ person shall receive trabting in compliance with this pa~ and shall demonstrate
proficiency in the application of this pa~ prior to servin~ as n collection site person. A medical professionnl, technologist or
technician licensed or otherwise approved to practice in the jurisdiction in which the collection takes place is not required to
receive such Ualnin~ if that person is provided instructions descn~oed in this part and performs collections in accordance with those
instructions.
("ti) Collection site persons shah be provided with detailed, clear instructions on the collection of specimens in
compliance with this part. Employer representatives and donors subject, to testing shall also be provided standard writte
instructions setting forth their responsibilities.
(3) Unless it is imprnctieable for any other individual to perform this function, t direct supervisor of an employee shah
not serve as the collection site person for n test of the employee. If the rules of · DOT qoncy are moro stringent than this
provision regarding the use of supervisors as collection site personnel, the DOT agency rules shah prevail with respect to testing
to which they apply.
(4) In any case where a collection is monitored by non-medical personnel or is directly observed, the collection site
person shah be of the same gender as the donor. A collection is monitored for this puspose if the enclosure provides less than
complete privacy for the donor (e.g., if a restroom stall is used and the collection site person remains in the restroom, or if the
collection site person is expected to Listen for use of unsecured sources of water.)
M0.2S Spechnen collection procedures.
(1) Each employer drug testing program shall have one or more deaifnated collection sites which have all necessary
personnel, mater,·b, equipment, facilities and supervision to provide for the collection, security, temporary storafe, and shipping
or trsmpurtadon of urine specimens to · certified druf testing laboratory. An independent medical facility my also be utilized
as · cOllection sito provided the other applicable requirements of this part are met.
(2) A designated collection site my be any suitable location where n specimen can he collected under conditions set
forth in this part, including a properly equipped mobile facility. A desifnnted collection site shah he n location having
enclosure within which private urination can occur, · toilet for completion of urination (unless a single-uss collector is used
sufficient capacity to contain the void), and · suitable clean surface for writing. The site must also have n source of water for
washing hands, which, if practicable, should be external to the enclosure where urination occurs.
(b) $¢cf~r~. The purpose of this paragraph is to prevent unauthorized access which could compromise the integrity of tine
collection process of the specimen.
(1) Procedures shall provide for the ,b~,~,,,,,4 collection site to be secure. If u collection site facility is dedicated solely
to urine collection, it shall be secure at all times. If n facility cannot be dedicated solely to drug testing, the portion of' the facility
used for testing shall be secured during drug testing.
(2) A fncility normally used for other purposes, such as a public rest room or hospital examining room, may be secured
by visual inspection to ensure other persons are not present and undetected access (e.g., through a rear door not in the view of
the collection site person) is not possible. Security during collection may be maintained by effective restriction of access to
collection materials and specimens. In the cane of · public rest room, the facility must be po_~__-~_ against access during the entire
collection procedure to avoid em~ment to the employee or distraction of the collections site person. "
(3) If it is impractical to maintain continuous physical security of a collection site from the time the specimen is
present~ until the sealed mailer is transferred for shipment, the following minimum procedures ~ apply. The specimen shall
r~main under the direct control of the collection sro person from delivei~y to its being sealed in the mailer. The mailer shall be
i*~*~ediately mailed, maintained in secure storage, or remain until mailed under the personal control of the collection site person.
(c) ~ ~)./'cum2~. The chain of custody block of the drug testing custody and control form shall be properly executed by
authorized collection site personnel upon receipt of specimens. 14andling and transportation of urine specimens from one
authorized individual or place to another shall always be accomplished through chain of custody procedures. Every effort dudl
be made to mlnlmi~*e the number of persons handling specimens.
(d) ,4¢,',,=~ M ~~fr~o,mei ~ff~. No unauthorized personnel shall be permitted in any peri of the designated collection
site where urine _~,pec__imens are collected or stored. Only the colbction site person may handle specimens prior to their securement
in the mailing container or momtor or observe specimen Collection (under the conditions specified in this pail), in order to
promote security of specimens, nvoid distraction of the collection site person and ensure qainst uny confusion in the identificatia
of_~-pec__hnens, the collection site person dutll have only (mo donor under his or her supervision at any time. For this purpose,
collection procedure is complete when the urine bottle has been sealed and initialed, the drug testing custody and control fo:
A-3
has boon executed, and the employee bas departed the site (or, in the cese of an employee who was unable to provide a complete
specimen, has entered a waiting area).
(e)
(1) Procedures for collecting urine specimens shah allow individual privacy unless there is n reason to believe that a
particular individual may alter or substitute the specimen to be provided, as further described in this paragraph.
(2) For purposes of this part, the following circumstances are the exclusive grounds constituting n reason to believe
that the individual ma alter or substitute the specimen:
(i) The employee ires presented a urine specimen that falls outside the normal temperature range (32.5°-
37.7 °C/90.5 °-99.8 °F), and
(A) The employee dsclines to provide n measurement of oral body temperature, as provided m paragraph
(f) (14) of the lmrt; or "
(B) Oral body temperature varies by more than I °C/I.$°F from the temperature of the specimen;
(ii) The last urine specimen provided by the employee (i.e., on a previous occasion) was determined by the
laboratory to have a specific gravity of less than 1.003 and a creatinine concentration below .2g/L;
fi,) The collection site person observes conduct clearly and unequivocally indicating an attempt to substitute or
adulterate the sample (e.g., substitum urine in plain view, blue dye in specimen presented, et~.); or
(iv) The employee has previously been determined to have used a controlled substance without medical
authorization and the particuhtr test was being conducted under · DOT agency regulation providing for follow-up testing upon
OF al:ret return to SCl'vice.
O) A higher-level supervisor of the collection site person, or · designated employer representative, shah review and
concur m advance with any decision by · collection site person to obtain a specimen undor the direct obsorvation of a same gender
collection site person based upon the circumstances deecribed in sublmragtaph (2) of this peragraph.
(0 Integrity and ident~y o/spe~raen. Employers shall take precautions to ensure that n urine specimen is not adulterated or
diluted during the collection procedure and that information on the urine bottle and on the urine custody and control form can
identify the individual from whom the specimen was collected. The following mlnlm~lm prec~ntions
unadulterated specimens are obtained and correctly identified:
(I) To deter the dilution of specimens at the collection site, toilet bluing qenu shall be placed in toilet tanks wherever
possible, so the reservoir of water in the toilet bowl always remains blue. Where practicable, there shah be no other source of
water (e.g., shower or sink) in the enclosure where urination occurs. If there is another sourCe of water in the enclosure it shall
be effectively secured or monitored to ensure it is not used as a sourCe for diluting the specimen.
(2) When an individual arrives at the collection site, the collection site person shall ensure that the individual is
positively identified as the employee selected for testing (e.g., through presentation of photo identification or identification by the
employer's representative). If the individual's identity cannot be established, the collection site person shall not proceed with the
collection. If the employee requests, the collection site person shah show his/her identification to the employee.
(3) If the individual fails to arrive at the assigned time, the collection site person shall contact the appropriate authority
to obtain guidance on the action to be taken.
(4) The collection site permn shall ask the individual to remove any unnecessary oumr glrments such as · coat or jacket
that might conceal items or substances that could be used to tamper with ot adulterate the individual's urine specimen. The
collection site person shall ensure that all personal belongings such as · pur~ or briefcase remain with the outer garments. The
mdividtml may retain his or her wallet. If the employee requests it, the collection site personnel shall provide the employee a
receipt for any personal belongings.
(5) The individual shall be instructed to wash and dry his or her hands prior to urination.
(6) After washing hands, the individual shah remain in the presence of the collection site person and shall not have
access to any water fountain, faucet, soap dispenser, cleaning agent or any other materials which could be used to edulterem the
specimen.
('7) The individual may provide hi~/her specimen in the privacy of a stall or otherwise partitioned siren that allows for
individual privacy. The collection site person shah provide the individual with a specimen bottle or collection container, if
applicable, for this purpose.
(8) The collection site person shah note any unusual behavior or appearance on the urine custody and control form.
(9) In the exceptional event that an employer-designated collection is not accessible and there is an immediate
requirement for specimen collection (e.g., circumstances require a post4ccident test), a public rest room may I~. uMd according
to the following procedures: A collection site person of the same gender as the individual shall accompany the individual into the
public rest room which shall be made secure during the collection procedure. If possible, a toilet bluing agent shall be pieced
in the bowl.~ and any accessible toilet tank. The collection site person shall remain in the rest mom, but o,__~ the stall, until
the specunen is collected. If no bluing agent is available to deter specimen dilution, the collection site person shall instruct the
individual not to flush the toilet until the specimen is delivered to the collection site person. After the collection site person has
A-4
possession of the specimen, the individual will be instructed to flush the toilet and to pa~icil~te with the collection site person
in completing the chain of custody procedures.
(10) The collection site person shall instruct the employee to provide et least 45 mi of urine under the split sam~
method of collection or 30 mi of urine under the single sample method of collection.
(i) (A) Employers with employees subject to drug testing only under the drug testing rules of the Research
and Special Programs Admini~atlon and/or Corot Guard may use the 'split sample' method of collection or may collect · single
sample for those employees.
(B) Employers with employ~ mbject to drag mating under tbe drug testing rul~ of the Federal Highway
Admini~nttion, Federal ~ Administration, Federal Transit Administration, or Federal Aviation Admini~rntion shall
the "split sample' method of collection for those employees.
(ii) Empioyer~ using the split sample method of collection shall follow the procedures in this pe~tgraph (f)(10)(~,.
(A) The donor shah urinsm into · collection container or a specimen bottle capable of holding at least 60
mi.
(B) fi· collection container is used, the collection sim pem0n, in ~ presence of the donor, pours the urine
into two specimen bottles. Thi~y (30) mi shah be poured into one bottle, to be used sm the prima~ specimen. At lea~t 15 mi
sludl be poured into the other bottle, to be reed as the split specimen.
(C) If a single specimen bottle is u~l as · collection container, the collection site person shah pour 30
mi of urine from the _~,~ec_~imen bottle into a mcond specimen bottle (to be used as the primary specimen) and retain the remainder
(at least 15 mi) in the collection bottle (to be used aa the split specimen).
(D) Both bottles shall be sifipped in · single shipping container, together with copies 1,2, and the split
specimen copy of the chain of custody form, to the laboratory.
(E) If the test result of the primary speciman is positive, the employee may request that the MRO direct
that the split specimen be tested in · different Dl-H-lS~en~ed laboratory for presence of the drug(s) for which · positive result
was obtained in the test of the primary specimen. The MRO shall honor such a request if it is made within 72 hours of the
employee having been notified of · verified positive test reeult.
(F) When the MRO informs the laboratory in writing that the employee has requested · teat of the split
specimen, the laboratory shah forward, to a different DHHS-approved laboratory, the split specimen bettle, with seal intect, ·
copy of the MRO request, and the split specimen copy of the clmin of custody form with appropriate chain of custody entrie~
((3) The result of the test of the split specimen is transmitted by the second laboratory to the MRO.
00 Action required by DOT agency regulations as the result of a positive drug test (e.g., removal from
performing · safety-sensitive function) is not stayed pending the result of the test of the split specimen.
CD If the result of the tern of the split specimen fails to recostC-trm the presence of the drug(s) or drug
metabolim(s) found in the primary specimen, the MRO shall cancel the test, and report the cancellation and the reasons for it to
the DOT, the employer, and the employee.
(iii) Employers using the single sample collection method shaH follow the procedures in paragraph:
(A) The collector may choose to direct the employee to urinate either directly into · specimen bottle or
into · separate collection container.
. (B) If n seperate collection cuntamer is used, the collection site person shall pour at least 30'mi of the urine
from the collection container into the specimen bottle in the presence o(the employee.
(iv) In eithe~ collection methodology, upon receiving the specimen from the individual, the collection site person
shall determine if it has at least 30 milliliters of urine for the primasy or single specimen bottle and, where th~'split specimen
collection method is used, an edditional 15 mi of urine for the spht specimen bottle. If the individual is unable to provide such
& quantity of urine, the collection site person ~ instruct the individual to drink not more than 24 ounces of fluid~ and, ~ft. era
period of up to two bores, again attempt to provide · cOmplete sample using · fresh collection container. The original insufficient
~ecimen shall be disca~ed. [f the employee is still unable to provide an adequate specimen, the insufficient specimen sludl be
discarded, testing diseontmumi, and the employer so notifi~l. The MRO shall refer the individual for · medical evaluation to
develop pertinent information concerning whether the individunl's inability to provide a specimen is genuine or constitutes ·
refiasal to test. On preemployment mating, if the employer does not wish to ~ the individual, the MRO is not required to make
such a referreL) Upon completion of the examination, the MRO shah report his or her conclusions to the employer in writing.
(11) After tbe specimen has been provided and submitted to the collection site person, the individual shall be allowed
to wash his or her bunds.
(12) Immediately after the specimen is collected, the collection site person shall measu~ the temperature of the-
-r~eC--imen. The temperature measuring device used must accuremly reflect the temperature of the specimen nmi not contemint
the specimen. The time from urination to temperature measure is critical and in no ca~e shall exceed 4
(13) A specimen temperature outside the range of 32.5°-37.7 °C/90.5°-99.8 oF constitums · reason to believe that t
individual has almred or substinmd ~ specimen (see paragraph (e)('2)(i) of this section). In such cases, the individual supplying
A-5
the specimen my volunteer to have his OF her oral temperature taken to provide evidence to counter the reason to believe the
individual may have altered or substituted the specimen.
(14) ImmedisMiy afar the specimen is collected, the collection site person shall also inspect the specimen to detervnine
its coloF and look fOr any signs of conuminants. Any unusual findmp shall be noMd on the urine custody and con~rol form.
(15) All specimens suspected of being edulterated shah be forwarded to the laboratory for testing.
(16) Wbensver there is reason to believe that a perticubr individual has altered or substituted the specimen as described
in paragraph (e)(2)(i) or ('~') of tim section, a second specimen shall be obtained ns soon as possible under the direct observation
of a same gender collection site person.
(17) Both the individual being tested and the collection site person shall keep the specimen in view at all times prior
to its being sealed and labeled. As provided below, the specimen shah be sealed (by placement of a mmperproof seal over the
bottle cap and down the sides of the bettle) and labeled in the presence of the employee. If the specimen is transferred to a second
bottle, the collection site person shah request the individual to observe the transfer of the specimen and the placement of the
temperproof seal over the bottle cap and down the sides of the bottle.
(18) The collection site person and the individual being tested shall be present at the same time during procedures
outlined in paragraphs (f)(19)-(f)(22) of this section.
(19) The coHecton site person shah place securely on the bottle an identification label which contains the date, the
individual's specimen number, and any other identifying information provided or required by the employer. If sel~mte from the
label, the mmperproof seal shall also be applied.
(20) The individual shall mithl the identification label on the specimen bottle for the purpose of certi~ing that it is the
specimen collected from him or her.
(21) The collection site person shall enter on the drug testing custody smd control form all information identif3,ing the
specimen. The collection site person shall sign the drug testing custody and control form cortif~ing that the collection was
accomplished according to the appLicable Federal requiremonts.
(22) (i) The individual shah be asked to read and sign t statement on the drug testing custody and control form
certi~ing that the specimen identified as having been collected from him or heF is in fact the specimen he or she provided.
(ii) When specified by DOT agency regulation or requ~ed by the collection site (other than an employer site)
or by the laboratory, the employee may be required to sign n consent or release form authorizing the collection of the specimen,
analysis of the specimen for designated controlled substances, and release of the results to the employer. The employee may not
be required to waive liability with respect to negligence on the part of any person participating in the collection, handling or
analysis of the specimen or to indemnify any person for the negligence of others.
. (2.3) The collection site person shah coml~ete the chain of custody portion of the drug testing custody and control form
to indicate receipt of the specimen from the employee and shall cortif~ proper completion of the collection.
(24) The urine specimen and chain of custody form are now ready for shipment. If the specimen is not immediatoly
prepared for shipment, the collection site person shall ensure that it is appropriately safeguarded during temporary storage.
(25) (i) While any peri of the above chain of custody procedures is being performed, it is essential that the urine
specimen and custody documents be under the control of the involved collection site person. If the involved collection site person
leaves his or her work statiun momentarily, the collection site person shah take the specimen and drug testing custody and control
form w~th him or her or shall secure them. After the collection site persm2 returns to the work station, the custody process will
continue. If the collection sim person is leaving for an extended per~od of time, .he or she shall package the specimen for mailing
before leaving the site.
(ii) The collection site person shall not leave the collection site in the interval between pre~ntation of the
specimen by the employee and securement of the sample with an identifying label bearing the employee's specimen identification
number (shown on the urine custody and control form) and seal initialed by the employee. If it becomes necessary for the
collection site person to leave the site during this interval, the collection shah be nullified and (at the election of the employer)
a new collection b0gun.
(g) C~R~c~fl ~ To the maximum extent possible, collection site personnel shall keep the individual's specimen bottle
within sight both before and afar the individual has urinated. After the specimen is collected, it shall be properly sealed and
labeled.
(h) 7'MASF~'Mr~M M ~mMry. Collection site personnel shall arrange to ship the collected specimen to the drug testing
laboratory. The specimens shah be placed in shipping containers designed to minimiT_e the possibility of damage during shipment
(e.g., specimen boxes and/or padded mailers); and those containers shaft be securely sealed to eliminate the possibility of
undeMcted tampering. On the tape sealing the container, the collection site person shall sign and enter the date specimens were
sealed in the shipping containers for shipment. The collection site person shah ensure that the chain of custody documentation
is attached or enclosed in each container sealed for shipment to the drug testing laboratory.
(i) ~'~2ilf~;'e M ¢ooper~e. If the employee refuses to cooperate with the collection process, the collection site person shah
inform the employer representative and shah document the non-cooperation on the drug testing c~_fldy and control form.
A-6
U'.) ~ee requ/r/ng ma.d/ca/aue~on. If the sample is being collecazl Erom an employe~ in nemd of m~dical attention (e.g.,
as part of a post-accident test given in an emergency medictl facility), necessary medical attention shall not be delayed in ord
to collect the specimen.
(It) fJse ofc/~ain of custody forms. A chain of custody form (and a laboratory mterual chain of custody document, where
applicable) shall be used for nutinteining control and accotmtabiffty of each specimen from the point of collection to final
disposition of the specimen. The date and purpose shall be documented on the form each time a specimen is handled or
transferred and every individual in the chain shah be identified. Every effort shall be made to minimize the number of persons
handling specimens.
~10.~7 Laboratory personnel. .'
(1) The laboratory shall have a qualified individual to asemne professional, organizational, educational, and
edminl,;tretive responsibility for the laboratory's urine drug testing facility.
(2) This individual shall have documented scientific qualifications in analytical forensic toxicology. Minimum
qualifications are:
(i) Certification as a laboratory director by n State in forensic or clinical laboratory toxicology; or
(it') A Ph.D. in one of the natural sciences with an adequate undergraduate and graduate education in biology,
chemistry, and pharmacology or toxicology; or
(iff) Training and experience comp~le to n Ph.D. in one of the natural sciences, such as a medical or
scientific degree with additional training and laboratory/reesarch experience in biology, chemistry, and pharmacology or
toxicology; and
(iv) In addition to the requirements in paragraph (a)('2) (l), (ii), or (iff) of this section,, ntinlm~ qualifications
also require:
(A) Appropriam experience in ana]ytica] forensic toxicology including experience with the analysis of
biological material for drugs of abuse, and
(B) Appropriate training and/or experience in forensic applications of analytical toxicology,
publications, court testimony, research concerning analytical toxicology of drugs of abuse, or other factors which qualify the
individual as an expert witoes~ in forensic toxicology.
O) This individual shah be engaged in and responsible for the day-to-day management of the drug testing laborn_tot.
even where another individual has overall responsibility for an entire multi-specialty laboratory.
(4) This individual shall be responsible for ensuring that there are enough personnel with adequate training and
experience to supervise and conduct the work of the drug testing laboratory. He or she shah assure the continued competency
of laboratory personnel by documenting their in service training, reviewing their work performance, and verifying their skills.
(5) This individual sludl be responsible for the laboratory's having & procedure manual which ia complete, up-to=date,
available for personnel performing tests, and followed by those personnel. The procedure manual shah be reviewed, signed, and
d,t_~ by th~ responsible individual whenever procedures are first placed into use or changed or when a new individual assumes
responsibility for management of the drug testing laboratory. Copies of all procedures and dates on which they are in effect shall
be maintained. (Specific contents of the procedure manual are described in ~40.29(n)(1).)
(6) This individual shall be responsible for maintaining a quality assurance program to assure the proper performance
and reporting of all test results; for maintaining acceptable analytical performance for all controls and standa~is; for n~intaiuing
quality control testing; and for assuring and documenting the validity, reliability, accuracy, precision, an~l' performance
characteristics of each test and test system.
(7) This individual dudl be reqxmsible for taking all remedial actions necessary to mtintain satisfactory operation and
performance of the laboratory in reqxmse to quality control systems not being within performance specifications, errors in remit
repotting or in analysis of performance testing results. This individual shall ensure that sample results are not repoztad until all
corrective actions have been taken and he or she can assure that the tests results provided are accurate and reliable.
(b) Te~ ua/~[at/on. The laboratory's urine drug testing facility shah have a qualified individual(s) who reviews all pertinent
,t,,,_, and quality control results in order to attest to the validity of the laboratory's test reports. A laboratory may designate more
than one person to perform this function. This individual(s) may be any employee who is qualified to be responsible for day-to-
day management or operation of the drug testing laboratory.
(c) Day-to-day operations nnd superv/~on, of~zmz~yst~. The laboratory's urine drug testing facility shall have an individual
to be responsible for day-to-day operations smd to supervbe the technical analysts. This individual(s) shall have at le~t a
becheior's degree in the chemical or biological sciences or medical technology or equivalent. He or she shah have trnlning
experience in the theory and practice of the procedure~ used in the laboratory, resulting in his or her thorough understanding o
qtudity control practices and procedures; the review, interpretation, and reporting of t~t results; nmintenance of chain of cuatody.
A-7
and proper remedial actions to be taken in respon~ to mst sysmn, being out of control limits or detecting abernmt mst or quality
control results.
(d) Odm,~,rson~J. Other technicians or nontechnical steff shall have the necessary training and skills for the tasks assigned.
(e) Train/ag. Tbe!aborutory's urine drug testing program shall make available continuing education programs to meet the
needs of laboratory personnel.
(f) F~les. Laboratory personnel files shall include: resume of training and experience, certification or license if any;
references; job descriptions; records of performance evaluation and advancement; incident reports; and results of tests which
establish employee competency for the position he or she holds, such as ,, test for color blindness, if appropriate.
~40.29 Laboratory nnalysis procedures.
(a) $¢cari~ ..g c~ai~ o/c~r:o~.
(1) Drug t~ing i~omo~ ~ be ~u~ at .~i ~me.. Tbey ~ have ia plm=e ~ufficient ~ecurity m~uures to c.on~l
access to the premises and to e~re tl~ no ua~uthoriz~ pereon-ei iu~Lle specim~ or groin access m the labor-tory process
or to areas where records are stored. Access to these secured areas shah be limited to specifically authorized individuals whose
· utborization is documented. With the exception of personnel authorized to conduct inspections on behalf of Federal agencies
for which the laboratory is engaged in urine testing or on behalf of DHHS, ali anthorized visitors and maintenance and service
personnel shall be escorted at all times. Documentation of individuals accessing these areas, dates, and time of entry and purpo~
of entry must be nutintamed.
(2) Laboratories shall use chain of custody procedures to maintain control and accountability of specimens from mcoipt
through completion of testing, reporting of results during storage, and continuing until ~ disposition of specimens. The date
and purpose shall be documented on an appropriate chain of custody form each time · specimen is handled or transferred and
every individual in the chain shall be identified. Accordingly, authorized technicians shall be responsible for each urine spocimen
or aliquot in their possession and shah sign and complete chain of custody forms for those specimens or aliquot as they am
received.
Co) Receiving.
(1) .When n shipment of specimens is received, labor·tm7 personnel shall inspect ~ach package for evidence of possible
tampering and compare information on specimen bottles within each package to the information on the accompanying chain of
custody forms. Any direct evidence of tampering or discrepancies in the information on specimen bottles and the employer's cbe~n
of custody forms attached to the shipment shall be immediately reporte~] to the employer and shall be noted on the laboratory's
chain of custody form which shah accompany the specimens while they are in the laboratory's possession.
(2) In situations where the employer uses the split sample collection method, the laboratory shah log in the split
Slxcimen, with the split specimen boule seal remaining intact. The laboratory shall store this sample securely (see per~,r~b (c)
of this section). If the result of the test of the primary specimen is negative, the laboratory may discard the split specimen. If
the result of the test oftbe prima~ specimen is positive, the laboratory shall retain the split specimen in frozen storage for 60 days
from the date on which the laboratory acquires it (see Paragraph (h) of this section). Following the end of the 60-dny period, if
not informed by the IV[RO that the employee has requested a test of the split specimen, the laboratory may discard the split
specimen.
· (3) When directed in writing by the MRO to forward the split specimen to another DHHS-certified laboratory for
anaiysis, the second laboratory shall analyze the split specimen by C-C/MS to reconfirm the presence of the drug(s) or drug
metabolite(s) found in the primary specimen. Such C-C/MS confirmation shall be conducted without regard to the cutoff levels
of ~10.29(f). The split specimen shall be retainod in long-term storage for one year by the laboratory conducting'the analysis of
the split specimen (or longer if litigation concerning the test is pe~,ding).
(c) ~7~ort-term refr/gemted ~romge. Specimens that do not receive an initial test within 7 days o~' arrival at the laboratory shah
be placed in secure refrigeration units. Temperatures shall not exceed 6°C. Emergency power equipment shah be available in
case of prolonged power failure.
(d) ~cimen proce.~ng. Laboratory facilities for urine drug testing will normally process specimens by grouping thom into
batches. The number of specimens in each batch may vary si_ani~icantly depending on the size of the laboratory and its workload.
When conducting either ~ or confinnstory tests, every batch shah contain an appropriate number of standards for calibrating
the in~run~utation a~d · minimum of 10 percent controls. Both quality control and blind performance test samples shall appear
as ordinary samples to laboratory antlysts.
(e) l~/t/~ test.
(1) The initial test shall uae an immun_mmm_y which meets the requirements of the Food and Drug Ad~ for
commercial distribution. The following initial cutoff levels shaH be used when screening specimens to determine whether they
are negative for these five drugs or classes of drugs:
A-8
levels (rig/mil)
Marijuana metabolites 100
Cocaine metabolites 300
Opiate metabolites *300
Phency¢lidine 25
Amphetamines 1,000
~ ng/ml if immunoassay sl~eci§¢ for f~ee morphins.
(2) These cutoff levels are subject to chnnfe by the Dep~rtment of Health and Human Services as advances in
technology or other consideFations warrant identification of these ubstencas at other concentrutions.
(f) Confir;t~ro~ rf~r.
(1) AH specimens identified as positive on the ~ test shall be confiFmed using fas chromatofrsphy/nmas
spectrometry (OC/MS) techniques at the cutoff levels listed in this Perqmph for each dmf. All confmnations shaft be by
quantitative analysis. ConcentFations that exceed the linenr Fegion of the stand~d curve shall be documented in the laboratory
Fecord as "greater than highest standard curve value."
cutoff levels (nrdml)
Marijuana metabolite~ 15
Cocaine metabotite2 150
Opims:
Morphine 300
Codeine 300
Phencyclidine 25
Amphetamines:
Amphetamine 500
Methampbetamine 500
~ Delta-9-tetrahydrocannabmol-9-carboxylic acid.
*~ Benzoylecgonme.
(2) These cutoff levels are subject to change by the Department of Health and Human Services as advances in
technology or otheF considerations warrant identification of these substances at otheF concentrations.
(g) Reporting results.
(1) The laboratory shall r~port te~t r~suita to th~ employer's Medical Review Officer within an average of 5
working days a~r r~eipt of the specimen by the laboratory. Bafor~ any teat r~sult is r~ported (the r~sulta of initial t~ta,
¢oafirmatory te~ta, or quality control a,,.), it shall bo r~viewod and the teat certified as an accurate r~port by the re~nmaibio
individual. The r~port ahnll identify the druga/metebolitea teated for, whether positive or negative, the ap~iman number
a~ign~l by tho ompioy~t and th~ drug t~ng laboratory ~iman identification numl~r (aee~ion number).
(2) The laboratory shall r~port as negative all specimens that ar, n~gative on the initial t~t or n,gative on
confirmatory t~t. Only apecimana ¢ometrm~d positive shall b~ r~ported positive for specific drug.
O) Tho Medical Review Officer may roqueat from the laboratory and tho laboratory shall provide quantitation of
teat rosulta. The MRO ~ ~port whexher tho teat ia positive or negative, and may r~port the drug(a) for which tl~m was a
positive teat, but shall not di~:io~ the qmmtitation of t~t r~ulta to the employer. Provided, that the MRO may r~wai tl~
quantitation of a positive t~t r~suita to the employer, tbe employs, or the d~ision mai~r in a lawmit, grievance, or oti~r
proceeding initiated by or on behalf of the employ~ and arising from a verified positive drug mat.
(4) The laboratory may transmit r~sulta to the Medical Review Officer by rations ~loctroni¢ mmma. (for example,
taloprintera, facsimile, or ¢ompu~r) in a manner designed to ensur~ confidentiality of the information. Renmlt~ may not be
provided verbally by telephone. The laboratory and employer must ensur~ the ~urity of the dam transmiseion and limit
ace~ to any ,4.~, tmnsmi~ion, storage, and r~trieval sym~m.
(5) Tho laboratory ~ send only to the Medical Roview Officer the original or a certified tru~ copy of the drug
testing custody and control form (part 2), which, in tbe ~ of a r~port positive for drug u~, shall be signed (a~r the
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required certification block) by the individual responsible for day-to-day mm~emont of the dru~ ~tia~ laboratory or the
individual responsible for attesting to the validity of the t~t reports, and o-s~bod to which shall bo n copy of the t~t report.
(6) The laboratory sludl provide to the employer of~ch] r~ponsible for coordination of the drug mating progr'fun
monthly st~istical summary of urinalysis testing of the employer's employees and shall not include in the summary any
personal identifying information. Initial and confirmation d.t. shaft bo included from Mst results repormd within tl~ month.
Normally this summuo, shaH bo forwarded by registered or certified mail not more that 14 cnlendar days atfter the end of the
month covered by the summary. The summm'y shall contain the following infoflnafion:
(i) Initial Testing:
(A) Number of specimens received;
(B) Number of specimens reporMd out; and
(C) Number of specimens greened positive for:
Marijuana.membolites
Cocnine met~bolites
Opiate metebolites
Pbencyclidine
Amphetamine
(ii) Confirmatory Testing:
(A) Number of specimens received for confirmation;
(B) Number of specimens confirmed positive for: Mtrijuan~ metabolite
Cocaine metabolite '
Morphine, codeine
Pbencyclidine
Amphetftmine
Methmnphetemine
Monthly reports shaH not include dat~ from which it is reasonably likely that information shout individuals' tests can bo
readily inferred. If necessary, in order to prevent the diaclo~tre of such daM, the laboratory slmH not send · report until
are sufficiently qL~regated to make such an inference unlikely, in any month in which n report is withheM for this reason, the
l·borntory ~ so inform the employer in writing.
('/3 The laboratory shah make available copies of ah analytical results for employer drug ~esting proL~ams when
requested by DOT or any DOT n~ency with refulatory authority over the employer.
(8) Unless otherwise instructed by the employer in writing, ah records pertaining to n given urine specbnen shall be
retnined by the drug testing laboratory for a minimum of 2 years.
(h)/.~;~R-rerm ~rordge. Long-term frozen storqe (-20°C or less) ensures that positive urine specimens will bo nvaflable
for any necessary retest during udmini~rative or disciplinary proceedings. Drug testing laboratories shall retain and place in
properly secured long-term frozen storage for a mlnimom of I year ah ~imenm col~/tl"med positive, in their original labeled
specimen bottles. Within this l-year period, an employer (or other person designated in &- DOT a~ency regulation) may
request the inboratory to ret&in the specimen for an eddition&l period of tim.e, but if no such request is received the leboratory
may discard the specimen m~er the end of 1 year, except that the laboratory shah be required to mmuutin any specimens
known to be under legal challenge for an indefinite period.
(i) Rete~r~flg S~¢c~m~A~. Because some anaJytes deteriorate or are lost during freezing and/or storefe, qumi'titation for ·
retest is not subject to · specific cutoff requirement but must provide dots sufficient to confifln the presence of the drug or
met-Ix) lite.
(j) $~comMcr~ng. Drug testing laboratories shah not subcontract and shah perform all work with their own personnel
and equipment. The laboratory must be capable of performing te~g for the five classes of drufs (marijuamt, cocaine,
opiates, phencyclidine and ampbetmnines) using the mithl immonOesse,y and confirmatory C~C/MS methods specified in this
pftrt. This ~h does not prohibit subcontracting of laboratory analysis if specimens are sent directly from the collection
site to the subcontractor, the subcontractor is a laboratory certified by DLIJ'IS es r~luired in this part, the subcontractor
performs ah analysis and provides storage required under this part, and the subcontractor is responsible to the employer for
compliance with thio part and applic·ble DOT agency regulations es if it were the prime contrm:tor.
(1) l.nboratory facilities shaH comply with applicable provisions of any State licensing requirements.
(2) Laboratories certified in accordance with DI4HS Guidelines shall have the c,a~tbi]~, at the so. me laboratory
premises, of performing mithl and confirmatory tests for each drug or membolite for which service is offered.
0)/A~¢~O~L~. The Secretary, a DOT a~ency, any employer utiliT_ing the hboretory, DX"II"IS of any Of~11ti~-ation
performing laboratory certification, on behalf of DI-H'IS reserves the right to inspect the laboratory at any time. Employer
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contracts with laboratories for drug testing, a, well ns contrac, for collection site ,ervices. shall permit the employer .nd the
DOT a~ency of jurisdiction (directly or through an qent) to conduct unannounced inspection".
(m) Docz~2~m~z~on. The drug testing laboratories
,,!1 a~ects of the testing process. This 2 year period may be extended upon writ2n notification by a DOT ~encY or by any
employer for which laboratory services are being provided. The required documentetion ,hall include personnel fiins on .11
mdivid,,,,t- authorized to have acce. to specimen.; chain of cn"tody document,; qual/ty auurance/quaHty control records;
procedure manuals; all test ~-,- (including calibration curves and any calculations used in determining test results); reporu;
performance records on performance testing; performance on certification inspections; and hard copies of computer-generated
dat~. The laboratory shall mamt~n documents for any specimen know to be under iegnl chaHenfe for on indefinite period.
(1) Procedf4re ~ Each laboratory shall have a procedure manuel which includes the principles of each test
preparation of reagents, standards and controls, calibration procedures, derivation of results, linearity of methoda, sensitivity
of methods, cutoff values, mechanisms for reporting results, controls criteria for unacceptable specimens and results, remedial
actions to be taken when the test systems are outside of acceptable limits, reagents Illd expiration dates, .nd references.
Copies of all procedures and dates on which they are in effect shall be maintained ns pest of the manual.
(2) Smndard. v ,2fid comrob. Laboratory sumdm'de shall be prepared with pure drug standards which are properly
labeled as m content and concentration. The standards shall be labeled with the following d,,_t~_: when received; when
prepared or opened; when placed in service; and expiration date.
(3) IAm'f4me;~ and
(i) Volumetric pipettes and meamtring devices shah be certified for accuracy or be checked by gruvimetric,
colorimetric, or other verification procedure. Automatic pipettes and dilutors shall be checked for accuracy and
reproducibility before being placed in service and checked periodically thereafter.
(ii) There shall be written proceduros for instrument set-up and normal operation, a schedule for checking
critical operating cha,-acteristics for all instruments, tolerance limits for acceptable function check- and instructions for major
trouble shooting and repair. Records shah be available on preventive maintenance.
(4) Remfdi~ actions. There shah be written procedures for the actions to be taken when systems ar~ out of
acceptable limits or errors &re detected. There shill be documentation that these procedures are followed and that aH
necessary corrective actions are taken; There shah also be in place systems to verify aH stages of testing .nd reporting and
documentation that these procedures are followed.
(5) Perso;mel 4zM#ah~ to w. srify d; proceedings. A laboratory shah have qualified personnel available to testify m
an admlni<rative or disciplinary proceeding against an employee when that proceeding is bamM on positive urinalysis results
repot, ad by the laboratory.
040.;31 Quality assurance and quality control.
(a) C,e~era/. Drug testing laboratories shall have a quality assurance program which encompasses aH aspects of the
testing process including but not limited to specimen acquisition, chain of custody security and reporting of results, initial and
confirmatory testing and validation of analytical procedures. Quality assurance procedures shah be designed, implemented
.nd reviewed to monitor the conduct of each step of the process of testing for drugs.
(b) Z. aho~o~ quaii~y control r~quiremefltsfor in/t/a/re, frs. Each analytical run of specimens to be greened shah
include:
(1) Urine specimens certified to contain no drug; "
(2) Urine specimen" fortified with known stendmds; and
(3) Positive controls with the drug or membolite at or near the cutoff level.
In addition, with each batch of samples a sufficient number of standards shall be included to ensure and document the
iinea~'ity of the assay method over time m the concentration, area of the cutoff. Afar acceptable values a~ obtained for the
known standards, those values will be used to calculate samples d,,,. Implementation of procedures to ensure the carryover
does not contaminate the testing of an individual's specimen shall be documented. A mlnlmllm of l0 percent of aH test
samples shaH be quality control specimen". Laboratory quality control samples, preptred from spiked urine samples of
determined concentration shall be included in the run and should appear ns normal samples to iaborutory analysts. One
percent of each run, with a mlnlm~lin of~t least one nmple, shah be the laboratory's own quality control samples.
(c)/.d~ordtor~ qga/~ control req~rer~ntsfor con~rmation tears. Each analytical run of specimen, to be confirmed shall
include:
(1) Urine specimens certified to'contain no drugs;
(2) Urine specimens fortified with known standards; .nd
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(3) Positive controls with the drug or metabolite at or near the cutoff level. The linearity and precision of the
method shall be periodically documented. Implementation of procedures to ensure that carryover does not contaminate the
testing of an individual's specimen shah also be documented.
(d) Employer blind performance te.~t procedure~.
(1) ~uch employer by DOT agency drug t~tin~ ~gnlationa shall u~ blind t~ing quality control pm~odu~-~ as
providad ia ~ l~aragra~h.
(2) ~ach employer shah submit ~ bliad per,mince ~st ape~imens for ~ach 100 employ~ ~eimena it
submits, up to · manimum of 100 blind performance t~t ~imens submitted per qua~r. A DOT agency may inc~a~ this
per qua~r maximum number of ~unplea ff doing ~ is nocea~ary to ensure ad~luate quality control of employers or
con~rtium~ w~h very ~ numbers of empioyoea.
O) For employe~ with 2000 or mo~ covered employs, al~mxim~iy 80 pe~eut of the blind performance
~unple~ ~aH be blank {i.e. containing no drug or odae~ aa appmvod by · DOT agency) and the ~maining atunplea ~
b~ poaitive for on~ or mo~ druga per ~mple ia · distribution such that all ~i~ dm~ to be ~ at~ includod ia
approxim~ly ~lunl ft~lu~nci~ of challenge. The positive aampl~ ~ be ~pikod ~aly ~h ~ drugs for which the
~mployer is testing. ~ l~ttagraph ~ not be con~m~ to prohibit ~piking of other (l~n~y interfering0 compounda,
technically approprint.=.e, in order to verif~ the specificity of · particular assuy.
(4) Employers with fewer than 2000 covered employees may submit blind perfornumce test specimens as provided
in paragraph (d)(3) of this section. Such employers may also submit only bknk samples or may submit two separately labeled
portions of · specimen form the name non-covered employee.
(5) Consoniums shah be responsible for the submisaion of bUnd aamplee on behalf of their members. The blind
sampling rate shall apply to the total number of samples submitted by the consortium.
(6) The DOT ·gency concerned shah investigate, or sha~ refer to DX-[H~ for investigation, any unsatisfactory
performance testing result and, based on this investii,,ation, the laboratory shall take action to correct the cause of the
unsatisfactory performance test result. A record shatl be made of the investigstive findings and the corrective action taken by
the laboratory, and that record shah be dated and si~ned by the individual responsible for the day-to-day management and
operation of the drug testing laboratory. Then the DOT a~ency shah send the document to the employer ns · report of the
unsatisfactory performance testing incident. The DOT agency shall ensure notification of the findings to DI-IHS.
(7) Should · false positive error occur on · blind performance test specimen and the error is determined to be an
administrative error (clerical, sample mixup, etc.), the employer shall promptly notify the DOT agency concerned. The DOT
agency and the employer sha~ require the laboratory to take corrective action to minimnml,e the occurrence of the particular
error in the future, and, if there is · reason to believe the error could have been systemic, the DOT ·gency may also require
review and reanalysis of previously run specimens.
(8) Should a false positive error occur on · blind performance test ~pecimen and the error is determmod to be ·
technical or methodological error, the employer shall instruct the laboratory to submit nil quality control ,4ne, from the batch
of specimens which included the false positive specimen to the DOT a~ency concerned, In addition, the laborutory shall retest
all specimens analyzed positive for that drug or metabolite from the time of final resolution of the error back to the time of
the last satisfactory performance test cycle. This retesting shaH be d~cumented by a statement signed by the individual
responsible for day-to-day management of the laboratory's urine drug teeing. The DOT agency conceruod may require an
on=site review of the laboratory which may be conducted unannounced during-any hOUrs of operation of the laboratory.
Based on information provided by the DOT agency, DIO-IS has the option of revoking or suspending the laboratory's
cert~cntion or recommending that no further action be taken if the case is one of lens serious error in which cc~rective action
has already been taken, thus reasonably a~uring that the error will not occur again.
~40.33 Reportine and review of results.
(1) An e~ential part of the drug testing program is the final review of confirmed positive results from the
laboratory. A positive teat result does not automatically identif~ an employee/applicant ns having u~od drugs in violatio~ of ·
DOT agency regulation. An individual with · detailed knowledge of ponsible alternate medical exptnnations is e~ential to the
review of results. This review shah be performed by the Medical Review Officer (MRO) prior to the transmi~inn of the
results to employer adminietrative ofl~cinis. The MRO review shall include review of the chain of custody to ensure that it is
complete and sufficient on its face.
(2) The duties of the MRO with respect to negative results are purely admlni~tmtive.
(1) The MRO shah be · liCenSed physician with knowledge of substance abuse disorders and may be an employee
of a transportation employer or · private physician retained for this purpose.
(2) The I~RO shaH not be an employee of the hboretory conducting the drug Mst unless the hhormory establishes ·
clear separation of functions to prevent any appearance of a conftict of interest, including assuring that the LVIRO has no
responsibility for, and is not supervised by or the supervisor of, any persons who have responsibility for the drug testing or
quality control operations of the laboratory.
(3) The role of the MRO is to review and interpret confirmed positive test results obtained through the employer's
testing program. In carrying out this responsibility, the MRO shah examine alternate medical explanations for any pceitive
test result. This action my include conducting n medical interview and review of the individual's medical history, or review
of any other relevant biomedical factors. The MRO shall review all medic, al records made available by the tested individual
when a confirmed positive test could have resulted from legally prescribed medication. The IVtRO shall not, however,
consider the results or urine samples that are not obtained or processed in accordance with this pert. -'
(c) Positive rest
(1) Prior to making a final decision to verify · positive teat result for an individual, the MRO shall give the
individual an oppommity to discuss the test result with him OF her.
(2) The MRO shall contact the individual directly, on · confidential basis, to determine whether the employee
wishes to discuss the test result. A staff person under tho MRO's supervision may make the initial contact, and · medically
licensed or certified staff person may gather information from the employee. Except as provided in paragraph (c)(5) of this
section, the MRO shah talk directly with the employee before verifying · teat es positive.
(3) If, al~er making aH reasonable efforU and documenting thom, the MRO is unable to reach the individual
directly, the MRO shaft contact ft designated management official who shall direct the individual to contact the MRO as soon
as possible. If it becomes necessary to reuch the individual through the designated mmmgoment official, the designated
management official shall employ procedures that ensure, to the maximum extent pructicuble, the requirement that the
employee contact the IV[Re is held in confidence.
(4) If, after making aH reasonable efforts, the designated management official is unable to contact the employee,
the employer may place the employee on temporary medically unqualified stanm or medical leave.
(5) The MRO may verify a test as positive without having communicated directly with the employee about the test
in three circumstances:
(i) The employee expressly declines the oppommity to discuss the Mst;
(ii) The designated employer representative has sm:cesefuHy made and documented a contact with the
employee and instructed the employee to contect the IVIRO (see pragraph~ (c)(3) and (4) of tim section), and more than five
days have passed since the date the employee was successfully contacted by the designated employer representative; or
(iii) Other circumstances provided for in DOT agency drug testing regulations.
(6) If a test is verified positive under the circumstances specified in paragraph (c)(5)('fi) of tim section, the
employee may present to the MRO information documenting that serious illness, injury, or other circumstances unavoidably
prevented the employee from timely contacting the MRO. The MRO, on the basis of such information, may reopen the
verification, allowing the employee to present information concerning · legitimate explanation for the confirmed positive test.
If the MRO concludes that there is · legitimate explanation, the MRO declares the test to be negative.
(7) Following verification of ft positive test result, the IMRO shall, ns provided in the employer's policy, refer the
case to the employer's employee assistance or rehabilitation program, if applicable, to the management official empowered
- ' recommend or take administrative action (or the official's designated ·gent), or both.
(d) Veri/icatioflfor opiates; ret4ewforprescri/~riofl medication. Before the MRO verifies t confirmed posit'i've result for
opiates, he or she shall determine that there is clinical evidence- in addition to the urine test- of unauthorized use of any
opium, opiate, or opium derivative (e.g., morphine/codeine). (This requirement does not apply if the employer's GC/MS
confirmation testing for opiates confirms the presence of 6-monoacetylmorphine.)
(e) In a situation in which the employer has used the single sample method of Collection, the MRO shall notify each
employee who has a confirmed positive test that the employee has 72 hours in which to request a reanalysis of the originM
specimen, if the test is verified positive. If requested to do so by the employee within 72 hours of the employee's having been
informed of fi verified positive test, the Medical Review Officer shaH direct, in writing, a reanalysis of the original sample.
The MRO may also direct, in writing, such a reanalysis if the IMRO queations the accuracy or validity of any test result. Only
the MRO may authorize such · reanalysis, and such a reanalysis may take place only at laboratories certified by DI4HS. If
the reanalysis fails to reconfirm the presence of the drug or.drug metabolite, the MRO shah cancel the test and report the
cancellation and the reasons for it to the DOT, the employer and the employee.
(f) In situations in which the employer uses the split sample method of collection, the MRO shall notify each employee
who has · confirmed positive test that the employee has 72 hours in wifich to request · test of the split specimen, if the test
verified as positive. If the employee requests an analysis of the split specimen within 72 hours of having been informed of ·
verified positive test, the MRO shall direct, in writing, the laboratory to provide the split specimen to another DHHS-certified
A-13
laboratory for analysis. If the analysis of the split specimen fails to reconfim the pre~ence of the drug(s) or drug
membolite(s) found m the primary specimen, or if the split specimen is unavailable, imdequme for testing or untemble, the
MRO shall cancel the t~t and report canceUetion and the reasoM for it to the Del', the employer, and the employee.
(g) If an employee has not contacted the I~RO within 72 hours, as provided m peragrephs (e) and (f) of tim section, the
employee my pr~ent to the I~4RO information documenting that serions illness, injury, inability to conU~t the MRO, i~k of
acnud, notice of the verified positive test or other circumstances unavoidably prevented the employee from timely coautcting
the M'RO. If the MRO concludes that there is a legitimate explanation for the employee's failure to contact the IVIRO w~hin
72 hours, the MRO shall direct that the remmlysis of the prima~ specimen or analysis of the split specimen, as applicable, be
performed.
(h) When the employer uses the split sample method of collection, the employee is not authorized t.o request a reanalysis
of the primary specimen as provided in paragraph (e) of this section.
(i) Disclosure of information. Except as provided in this paragraph, the MRO shall not disclose to any third party .medical
information provided by the individual to the l~RO as a part of the testing verification proce~.
(1) The Iv[Re my disclose such information to the employer, a DOT agency or other Feder~ safety agency, or a
physician responsible for determlnin~ the medical qualification of the employee under an applicable DOT agency regulahon,
as applicable, only if-
(i) An applicable DOT regulation permits or re~quir~ such disclosure;
(ii) In the l~RO's reasonable or medical judgment, the information could result in the employee being
determined to be medically unqualified under an applicable DOT agency nde; or
(iii) In the MRO's reasonable medical judgment, in n situation in wifich there ia not DOT agency rule
esmbllshing physical qmdification standards applicable to the employee, the information indicates that continued performance
by the employee of his or her safety-sensitive function could pose a si_eeit~cant mfoty risk.
(2) Before obtaining medical information from the employee aa pan of the verification proce~, the I~RO shall
inform the employee that information may be disclosed to third panie~ as provided in tlzis paragraph and the identity of any
parties to whom information may be disclosed.
~10.35 Protection of employee records.
Employer contracts with laboratories shall require that the laboratory maintain employee test records in confidence, as
provided in DOT agency regulations. The contracts shall provide that the laboratory shall disclose information related to a
positive drug test of an individual, the employer, or the decision maker in a lawsuit, grievance, or other proceeding initiated
by or on behalf of the individual and arising from a certified positive drug test.
~40.37 Individual access t~ test and laboratory certifw, ation results.
Any employee who is the subject of a drug test conducted under this part shall, upon written request, have access to any
records relaxing to his or her drug test and any records relating to the results of any relevant certification, review, or
revocation-of-certification proceedings. '
§40..39 Use of Dl~U~q--certified laboratories.
Employers subject to this part shall use only laboratories certified under the D['~-I$ 'Mandatory Guidelines for l~edeml
Workplace Drug Testing Programs,' 53 FR 11970, April II, 1958, and subsequent mnendments thereto.
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t40.~1 ~ne bronth alcohol ~.
(n) The bremh alcohol technician (BAT) sludl be trnined to proficiency in the operution of the F~.BT he or she is usinf no
in the alcohol testier procedures of th~ part.
(I) Pruficiency sh~ be demonstrated by successful comple~ion of a course of instruction which, at · mlnlmu~,
provides trainm~ in the principles of' EBT methodology, operetion, and calibFaXion checks; the fundamentals otr breath mmlysis
for alcohol content; and the procedures required in thin part for olxtining ft breath sample, and interpreting and recording
EBT results.
(2) Only courses of instruction for operation of I~RTs that are equivalent to the l)epalxmeut of Transportation -
model course, as determined by the National l-[ighway Tr~ Safety Admlni~tration (~SA), my be used to train BATs tr
proficiency. On request, IXTX-ITSA will review a BAT ~ course for equivalency.
(3) The course of instruction shall provide documentation that the BAT has demonstrated competence in the
operation of the specific I:-BT(s) be/she will use.
(4) Any BAT who will perform an external calibration check of mn I~I:IT shall be trained to proficiency in
conducting the check on the lxtrticuhr model of ~..BT, to include pr~ experience and demonst~ competence in
preparing the breath alcohol simulator or alcohol standard, and in maintenance and calibration of the EBT.
(5) The BAT shall receive additional trminins, mt needed, to eBnuro proficiency, concerning new or additional
devices or changes in technology that he or she ~ uae.
(6) The employer or its agent shall establish documentation of the tr~inlng luld proficiency test of each BAT it uses
to test employees, and maintain the documentation as provided in 040.83.
(b) A BAT - qualified supervisor of an employee my conduct the alcohol test for that employee only if another BAT is
unavailable to perform the test in · timely n~umer. A supervisor shall not serve as · BAT for the employee in any
circumstance prohibited by · DOT operating ~dmlnlqr·tioll regulution.
(c) Law enforcement officers who have been certified by state or local goverumonts to conduct breath alcohol testing are
deemed to be qualified as BATs. In order for a test conducted by such an officer to be accepted under Department of
Transportation alcohol testing requirements, the officer must have been certified by · state or local government to use the
EBT or non-evidential alcohol greening device that vas used for the teat.
040.S3 Devices to be used for breath alcohol tests.
(ft) l:or screening test, employers shall use only I~BTs. When the employer uses for · screening test an EBT that does not
meet the requirements of par~hs (b) (1) through (3) of this section, the employer shall use · log book in conjunction with
the EBT (see § 40.59(c)).
(b) l~or confir~on tests, employers shall use ~r. BTs that meet the following requirements:
(1) EBTs shall have the capability of providing, independently or by direct ~ to ft separate printer, a prmted
result in triplicate (or three consecutive identical copies) of each breath test and of the operations specified in paragrmphs (b)
(9) and (3) of this section.
(2) EBTs shall be capable of assigltmg · uuique and sequential number to each completed test, with the number
capable of being read by the BAT and the employee before each test and being printed out on each copy of the result.
(3) EBTs shall be capable of printing out, on each copy of the result, the manufacturer's mune for the device, the
device's serial number, and the time of the test.
(4) EBTs shall be able to distinguish alcohol from acetone at the 0.02 alcohol concentration level. "
(5) EBTs shall be capable of the following operations:
(i) Testing an air blank prior to each collection of breath; and
(ii) Performing an external calibration check.
§ 40.SS Quality assurance plato for EBTs.
(·) In order to be used in either screening or confirn~tion alcohol testing subject to this part, an EBT shall have · quality
assurance plan (QAP) developed by the manufacturer.
(1) The plan shaft designate the method or methods to be used to perform external calibretion checks of the device.
using only calibration devices on the NI4TSA *(~onforminlg Products List of (~alibr~tillg ~.Jnits for Breath Alcohol Tests.*
(2) The plan shall specify the minimum interv~h for performing external calibration checks of the device.
Intervals shaft be specified for different frequencies of uae, environmental conditions (e.g, temperentre, attitude,
humldity),and contexts of operation (e.g., stationary or mobile use).
(3) The plan slutll specify the tolerances on an external calibration check within which the ~.BT is regarded to be ir
proper calibration.
(4) The plan shall spec'.tf~, mspection, mamtemmce, and calibration requirements and intervals for the device.
A-15'
(5) For a plan to be regarded as valid, the manufacturer shall have submitmd the plan to NI-ITSA for review and
bev· received NI-ITSA approval of the plan.
(b) The employer shall comply with the Nl-lTSA-approved quality assurance plan for each EBT it uses for alcohol
screening or confirmation testing subject to this part.
(1) The employer shall ensure that external calibration checks of each I~BT are performed as provided in the QAP.
(2) The employer shall rake an EBT out of service if any external calibration check resu~ in a reading outside the
tolerances for the EBT set forth in the QAP. The F=BT shidl not again be used for alcohol testing under this part until it bas
be~n. serviced and bas bad an external calibration check resulting in a reading within the tolerances for the EBT.
(~) The employer shall ensure that inspection, maintenance, and calibration of each EBT are performed by the
manufacturer or a maintenance representative certified by the device's manufacnu-er of· state health agency or other
appropriate state agency. The employer she.Il also ensure that each BAT or other individual ~vho performs an external
calibration check of an EBT used for alcohol testing subject to this part has ~monstra~ proficiency in conducting such ·
check of the model of EBT in question.
(4) The employer shall maintain records of the exteroal calibration checks of EBTs as provided in
(~) .When the employer is not using the EBT at an alcohol te~ng site, the employer shall ~tore the F. BT in a secure
§40..~? Locations gor breath alcohol testing.
(a) Each employer shall conduct alcohol testing in · location that alY~rds visual and aural privacy to the individual being
tested, sufficient to prevent unauthorized persons from seeing or hearing test results. AU necessary equipment, personnel,
and materials for breath testing shall bo provided at the location where testing is conductod~
(b) An employer may uso · mobile collection facility (e.g., · van equipped for alcohol testing) that meets the
requirements of pe. ragraph (·) of this section.
(c) No unauthorized persons shall be permitted access to the testing location when tho I~BT remains unsecured or, in
order to prevent such persons from seeing or bearing a temmg result, at any time when testing is being conducted.
(d) In unusual circumstances (e.g., when it is essential to conduct · test outdoors at the ~ene of an accident), a test may
be conducted at a location that does not fully meet the requirements of' pexagreph (·) of this section. In such · case, the
employer or BAT shall provide visual and aural privacy to tho employee to tho greatest extent practicable.
(e) The BAT shall supervise only one employee's uso of the EBT at · time. The BAT shall not leave the alcohol testing
location while the testing procedure for a give· employee (see §§ 40.61 through 40.65) is in progress.
§40.$9 The breath alcohol testing term.
(a) Each employer shall use the bre~h alcohol testing form prescribed under this part. The form is found in appendix A
to this subpert. Employers may not modify or revise this form, except that · form directly generated by an F. BT may omit
the space for affixing a separate printed result to the form.
(b) The form shall provide triplicate (or three consecutive identical) copies. Copy I (white) shall be retsmed by the BAT.
Copy 2 (green) shall be provided to the employee. Copy 3 (blue) shall be transmitted to the employer. Except for · form
generated by an EBT, the form shall be 8 1/2 by 11 inches in size.
$40.61 Preparation for breath alcohol testln~,~
(a) When tho employee enters the alcohol testing location, the ]]AT will require him or her to provide positive
identification (e.g., through use of a photo I.D. card or identification by an employer representative). On request by the
employee, the BAT shall provide positive identification to the employee.
(b) The BAT shall explain the testing procedure to the employee.
~10.63 Procedures for screeni~ tests.
(a) The BAT shall complete Step I on the Breath Alcohol Testing Form. The employee shall then complete Step 2 on the
form, signing the certification. Refusal by the employee to sign this certification shall be regarded as a re~,,~_! to take the
(b) An individually-sealed mouthpiece shall be opened in view of the employee and BAT and _,,"~¢hed to the F, BT in
accordance with the manufectorer's instructions.
(c) The BAT shall instruct the employee to blow forcefully into the mouthpiece for at least 6 seconds or until the I~BT
indicates that an adequate amount of breath has been obtained.
(d). (1) If the EBT does not meet the requirements of ~10.53 (b)(1) through O), the BAT shall ensure, before ·
screening test is administered to e-,ch employee, that he or she and the empksyee read the sequential test numar displayed on
A-16
the EBT. The BAT shall record the displayed result, test number, testing device, serial number of the testin~ device, and
time m Step # of the form.
(2) If the EBT provides n printed result, but does not print the results directly onto the form, the BAT shall show
the employee the result displayed on the EBT. The BAT shall then affix the test result printout to the breath alcohol test form
in the designated space, using · method that will provide clear evidence of removal (e.g., tamper-evident tape).
(3) If the EBT prints tbe test results directly onto the form, the BAT shah show the employee the result displayed
on the EBT.
(e) (1) tn any case in which the result ot~the screening test is a breath alcohol concentration of less than 0.02, the BAT
shah date the form and sign the certification in Step 3 of the form. The employee shall sign the certification and fill in the
date in Step 4 of the form.
(2) If the employee does not sign the certification in Step 4 of the form or does not initial the log book entry for a
test, it shah not be considered · refusal to be tested. In this event, the BAT shall note the employee's failure to sign or imtial
m the 'Remarks" 'section of the form.
(3) If the employee does not sign the certification in Step 4 of the form for · test, it shaft not be considered ·
refusal to be tested, tn this event, the BAT shall note the employee's failure to sifn in the 'Remarks" section of the form.
(4) If · test result printed by the EBT (see paragraph (d)(2) or (d)(3) of this section) does not match the displayed
result, the BAT shah note the disparity in the remarks section. Both the employee and the BAT shah initial or sign the
notation, tn accordance with § 40.79, the test is invalid and the employer and employee shah be so advised.
(t') If the result of the screonmg test is an alcohol concentration of 0.02 or ~eater, a coufirumtion test shah be performed
as provided in 040.65.
(~) If the confirmation test will be conducted by n difYerant BAT, the BAT who conducts the screening t~t shall complete
and sign the form and log book entry. The BAT will provide the employee with Copy 2 of the form.
(h) If the confirmation test will be conducted at a different site from the screening test, tho employer or its qent shall
ensure that-
(1) The employee is advised against takin~ any of the actions mentioned in the first sentence of ~40.65 (b) of this
Part; ·
(2) Tbe employee is advised that he or she must not drive, perform safety=sensitive duties, or operate heavy
equipment, as noted in Block 4 of the alcohol testing form; and
(3) The employee is under observation of · BAT, S'l'r, or other employer personnel while in transit from the
screening test site to the confirmation test site.
§40.65 Procedures for conf'mnati0n tests.
(·) If a BAT other than the one who conducted the screening test is conducting the confirmation test, the new BAT shall
follow the procedures of ~40.61.
(b) The BAT shall instruct the employee not to eat, drink, put any object or substance in his or her mouth, and to the
extent possible, not belch during a waiting period before the confirmation test. This t/me period begins with the completion
of the screening test, and shah not be less than 15 mln~ites. The confirmation test shall be conducted within 30 mlnnt~8 of the
completion or'the screemng test. The BAT shah explain to the employee, the reason for this requ/rement (i.e., to prevent any
accumulation of mouth alcohol leading to an artificially high readinF,) and the fact that it is for the employee's benefit. The
BAT shah also explain that the test will be conductod at the end of the waiting period, even if the employee has disregarded
the instruction. If the BAT becomes aware that the employee has not complied with this instruction, the BAT ~ so note in
the "Remarks' section of the form. If the BAT conducts the comirmation test more than 30 rain,LiteS al~r the result of the
screening test has been obtained, the BAT shall note m the "Remarks' section of the form the time that elapsed between the
screening and confirmation tests and the reason why the confirmation test could not be conducted within 30 minutes of the
(c) (1) Ifa BAT other than the one who conducted the screening test is conducting the confirmation test, the new BAT
shall initiate n new Breath Alcohol Testing form.. The BAT shall complete Stop I on the form. The employee shah then
complete Step 2 on the form, S~_i~ulng the certification. Refusal by the employee to sign this certification shall be regnrded as
· refusal to take the test. The BAT shah note in the "Remarks' section of the form that · different BAT conducted the
(2) tn aH cases, the procedures of 040.63 (n), (b), and (c) shah be followed. A new mouthpiece shall be used for
the confirmation test.
(d) Before the con--on test is admlnlsttered for each employee, the BAT shall ensure that the EBT re,inters 0.00 on
an sir blank. If the reading is ~reater than 0.00, the BAT shall conduct one more air blank. If the reading is ~eater than
0.00, testing shall not proceed using that instrument. However, testing may proceed on another instrument.
A-17
(e) Any EBT taken out of ~ervice because of failure to perform -- =Jr blank ~ccur~tely ~ not be u~d for teeing until ·
check of external calibration is conducted end the EBT is found to be within tolerunce limits.
(f) In the event th~ the ~creonmg and confirmation test results m,e not identical, the confirn~tiou test result is deemed to
be the ~nal result upon which any action under operating Idmini~retion ruins silll~ be bl~.
(g) (1) If the EBT provides n printed result, but does not print the results directly onto the form, the BAT shall show
the employee .the result displayed on the EBT. The BAT shall then ~ the test result printout to the breath alcohol test form
in the designated sFace, using · method that v~l provide clear evidence of removal (e.g., tamper-evident tape).
(2) If the EBT prints the test results directly onto the form. the BAT shah show the employee the result di~layed
on the EBT.
(h) (1) Following the completion of the test, the BAT shall date the form and sign the certification in Step 3 of the
form. T~e employee shnll sign the certi~cation and ~ in the date in Step 4 of the form.
(2) If the employee does not sign the certi~cation in Step 4 of the form or does not initial the log book entry for ·
test, it sl~H not be considered · refusal to be tested. In this event, the BAT shall note the employee's failure to sign or initial
in the "Remarks" section of the form.
(3) If · test result printed by the EBT (see paral~'~h (~)(1) or (g)(2) of this section) does not match the displayed
result, the BAT shall note the disparity in the remark~ section. Both the employee and the BAT shall initial or sign the
notation. In accordance with ~40.79, the test is invalid and the employer and employee slmH be so advised.
(4) The BAT shah conduct an ~ir blank. If the rondin~ is ~reater than 0.00, the test is invalid.
(i) The BAT shall transmit aH results to the employer in n cont~dontial manner.
(1) Each employer shah designate one or more employer repeeasntatives for the purpose of receiving and I,-ndling
alcohol testing results in a confidential manner. Ali communications by BATs to the employer concerning the alcohol testing
results of employees shaH be to a designated employer repree~ntetive.
(2) Such transmission may be in writing, in person or by telephone or electronic means, but the BAT shah ensm~
immediate transmission to the employer of results that require the employer to prevent the employee from performin~ n
safety-sensitive function.
(3) If the initial transmission is not in writing (e.~., by telephone), the employer shall establish n mecl~nism to
verify the identity el~ the BAT providing the information.
(4) If the initial transmi~ion is not in writing, the BAT shall follow the initial transmission by providing to the
employer the employer's copy of the breath alcohol testing form. The employer shall store the information so ns to ensure
thnt confidentiality is maintained as required by {~10.81.
§ 40.6? Refusnls to test and uncompleted tests.
(a) Refusal by an employee to complete and sign the breath alcohol testing form (Step 2), to provide breath, to provide an
adequate amount of breath, or otherwise to cooperate with the testing process in · way ~ prevents the completion of the
test, sha~l be noted by the BAT in the remarks section of the form. The testing process shaH be termineted and the BAT shall
immediately notify the employer.
(b) If · screening or conftrmation test cannot be completed, or if an event occurs that would invalidate the test, the BAT
shaH, if practicable, begin · new'screening or cert,'marion test as applicable, using · new breath alcohol testing form with ·
new sequential test number (in the case of · screening test conducted on an EB~F that meets the requirements et~ ~10.53 (b) or
in the case of a cottErmation teat)
§ 40.69 Inability to p~ovide an ndequnte ,mount of b,~ath.
(a) TI~ section sets forth procedures to be followed in any case in which an employee is unable, or alleges that he or she
is unable, to provide an amount of breath sufficient to permit · valid breath test because of · medical condition.
Co) The BAT shall ·gain instroct the employee to attempt to provide- an adequate amount of brea~. If the employee
ref~es to make the attempt, the BAT shall immediately inform the employer.
(c) If the employee attempts and fails to provide un adequate amount of breath, the BAT shall so note in the "Remarks"
section of the breath alcohol testing form and immediately inform the employer.
(d) If the employee attempt~ and fnils to provide an adequate amount of breath, the employer shall proceed as follows:
(1) [Reserved]
(2) The employer shall direct the employee to obtain, as soon as pr-ctical ~fter the attempted provision of breath,
an evaluation from · licensed physician who is acceptable to the employer concerning the employee's medical nbility to
provide an adequate amount of breath.
(i) If the physician determines, in his or her reasonable medic-I judgment, that n medical condition ires, or
with a high degree of probability, could imve~ precluded the employee from providing un adeq,_,_-_,_~ amount of breath, the
A-18
employee's failure to provide an adequ~e mount of breath shall no~ be deemed a refuel to ~ke a test. The physician shall
provide to the employer a written su~ement of the basis for his or her conclusion.
(ii) If the licensed physicmn, in bis or her reawnable medical judgment, is unable to make the determin~ion
set forth in paragraph (d)(2)(i) of this section the employee's failure to provide an udequ~e ~nount of breath shall be
regmxled as a refusal to take · teat. The licensexi physician shall provide a written atatement of the b~is for hie or her
conclnsion to tho employer.
§§ 40.71 - 40.77 [Reserved]
§ 40.79 Inval/d tests. '-
(a) A breath nlcohol test shah be invnlid under the following circumstances:
(1) The next external calibration check of an EBT producN · result that differs by more than the tolerance stated in
the QAP from the known value of the test stanctm'd. In this event, every teat result of 0.02 or above obtained on the device
since the last valid external calibration check shah be invalid;
(2) The BAT does not observe the minimum l$-mln~ite waiting poriod prior to tbe confirmation teat, as provided in
(3) The BAT does not perform an air blank of the ~ before a conftrmation test, or an air blank does not result in
a reading of 0.00 prior to or al~r the admini~retion of the test, as provided in § 40.65; (4) The BAT does not sign the form as required by §§ 40.63 and 40.65;
(5) The BAT has failed to nm on the remaflcs s~tion of tl~ form that th~ employee has failed or refused to sign
the form following the recording or printing on or ,m~_~lmmnt to the form of the mst reealt; (6) An EBT fails to print a confumahon test result; or
CO On · confirmation mst and, where applicable, on · screening test, the sequentinl teat number or alcohol
concentration displayed on the EBT is not the same as the sequential mat number or alcohol concentration on the printed
result.
(b) [Reservedi
§40.81 Availnbili~ and disclosure of alcohol testing information about individual employees.
(a) Employers shah maintain records in · secure manner, so that disclosure of information to unauthorized persons does
not o~cur.
(b) Except as required by law or expressly authorized or required in this section, no employer shall release covered
employee information that is contained in the records required to be maintained by this pm't or by DOT agency alcohol misuse
rules.
(c) An employee subject to testing is entitled, upon written request, to Obtain e. opies of any records pertaining to the
employee's use of alcohol, including any records pertaining to his or her alcohol tests. The employer shall promptly provide
the records requested by the employee. Access to an employee's records shah not be contingent upon payment for records
other than those specifically requested.
(d) Each employer shall permit access to all facilities utilized in complying with the requirements of this part and DOT
agency alcohol misuse rules to the Secretary of Transpom~tion. any DOT agency with regulatory authority over the employer,
or a state agency with regulatory authority over the employer (as authorized by DOT agency regulations).
(e) When requested by the Secretary of Transportation, any DOT agency with regulatory authority over th~'employer, or
· state agency with regulatory anthority over the employer (as authorized by DOT agency regulations), each employer shall
make available copies of all results for employer alcohol testing conducted under the requirements of this part and any other
information pertaining to the employer's alcohol misuse prevention program. The information shall include name-specific
alcohol test results, records and repons.
(f) When requested by the National Transportation Safety Board al pa~ of an accident investigation, an employer shah
disclose information related to the employer's administration of any post accident alcohol tests administered following the
accident under investigation.
(g) An employer shah make records available to · subsequent employer upon receipt of a written request from · covered
employee. Disclosure by the subsequent employer is permitted only as expressly authorized by the terms of the employee's
written request.
('n) An employer may disclose information required to be maintained under tim part pertaining to a covered employee to
that employee or to the decisionmaker in a lawsuit, grievance, or other p~ing ~ by or on bedmif of the individual,
and arising from the results of an alcohol test administered under the requiromonts of this part, or from the employer's
determination that the employee engaged in conduct prohibited by · DOT agency alcohol misuse regulation (including, but
A-19
not limited to, n worker's compensation, unemployment compensation, or other proceeding relating to a benefit sought by the
employee).
(i) An employer shnll release information regm'ding a covered employee's records as directed by the specific, written
consent of the employee alJthori~_ing release of the information to an identified person. Release of such information is
permitted only in accordance with the terms of the employee's consent.
§40.1~3 Mnintemmce and disclosure of records concerning_ EBTs and BATs.
(e) Each employer or its ,,gent shah maintain the following records for two yeazs:
(1) Records of the inspection and maintenance of each F..BT used in employee testing;
(2) Documentation of the employer's compliance with the (}AP for each F. BT it uses for alcohol testing under this
pm-t;
(~]) Recofd~ of the tfnining and proficiency testing of each BAT used in employee testing; -.
(4) The io~ books required by § 40.59 (c).
(b) Each employer or its agent shall maintain for five year~ records pertaining to the cnlibration of each EBT used in
nlcohol testing under this pan, including records of the results of externaJ calibration checks.
(¢) Records required to be maintained by this section shall be disclosed on the same tmsis as provided in § 40.81.
A-20 i
· ~.91 ~o~n for m of no~vi~ ~oi ~ ~.
Non~viden~ M~hol ~g ~m, ~omM mhg ~mg devices hci~M by
Admini~on ~ i~ CO~O~ing p~UCU ~ fOF n~viden~ ~mg devices, my
~mg Mm ~ by o~g ~~~' ~cohol M~g ~om. Non~vident~ E~mg devic~ my n~
~ ~ for co~on Mcohol m~, w~ch m~ ~ co~ ming ~Ts u pmvid~ ~ Sub~ C of ~ P~.
~.93 ~e ~r~ ~ ~~.
(a) ~yone ~g ~e ~u~menu of ~ P~ m ~ a BAT my ~t m a ~mg
~e mdivid~ h~ demo~ proficiency m ~e o~ of ~e non~vi~n~ g~mg device be or she ~ ming.
~) ~y o~er ~divid~ may ~t ~ ~ S~ ~ be or ~e ~c~y complm a
p~u~ ~u~ by ~ P~ ~r cond~g ~cohol ~mg ~. ~y ~ ~ent ofT~ion m~el
coup, or a co~ of ~tion ~in~ by ~e ~em of T~~'s ~ce of ~g E~emeut ~d
P~ Comp~ce m ~ ~uivMent m it, my ~ ~ ~r ~ ~.
(c) Wi~ ~t m ~y non~vMen~ ~mg ~v~ ~volvmg c~, ~, or ~or ~gs ~ ~ mdic~
on ~ ~vice ~ ~ of ~lor, S~s sb~, ~ o~er ~ ~ ~ m pmfic~m, ~ ~le m d~m costly ~ cb~gea,
cont~ or ~mgs.
(d) ~e S~ s~ ~eive ~ditio~ ~inlng, ~ n~, ~ e~ p~fici~y, C~g new or ~ditio~ devices or
c~ges m ~olo~ ~ ho or she ~ ~.
(e) ~e employer or ia ~eut ~ d~ent ~e ~ md pmfic~ncy of ~h S~ ~ ~ m ~ employes ~d
~ ~e d~men~on ~ pmvidM ~ ~.83.
(~ ~e pmvhi~ of ~.51~) ~d (c); ~.57; ~.59; ~.61; ~.63 (e~l~), (~, ~, ~d ~); ~.69; md ~.81;
~d o~er p~v~io~, ~ ~p~ie, of ~ P~ ~ply m 5~s ~ ~H ~ m BATs.
~.~ Qu~ ~~ ~ for m~vi~ ~ ~
(a) ~ o~er m ~ ~ ~r Mcobol g~g wm ~b~t m ~ ~, a u~v~ g~mg devoe
~pmvM q~ mu~ce p~ (Q~) dovolo~ ~ ~ ~~r ~d ~mvM by
Admini~mion
(1) ~e p~ ~ desi~ ~e me~ or me~ ~ ~ ~ m ~m q~ con~i chec~; ~e ~m~
~ w~ch ~e n~vident~ g~mg device ~ ~ ~ ~d ~, ~ weH ~ o~er env~en~ condifiom (e.g.,
Mti~e, hu~d~) ~ my ~t ~e ~o~ce of ~e device; ~, whew ~iovm, ~ ~e~ ~e of ~e devil.
(2) ~e Q~ ~ pm~bit ~e ~ of my device ~ d~ not ~ ~ ~M q~ c~! cb~ or
p~ iu exp~on
~) ~e m~u~m~n' ~mctiom on or mcl~ ~ ~e ~e for ~h ~va m~g device ~ ~i~e d~fi~ on
~e p~r me of ~e ~vice, ~e time ~e mt~ w~cb ~e device m~ ~ ~ ~d
m~e.
(c) ~e employer ~d iu agenU ~ comply ~ ~e Q~ ~d ~u~r's ~cfiom for ~b non~vident~
~emg device it u~s for Mcobol g~mg m~ aubj~t m ~ P~.
~.~ ~fiom for ~iden~ ~ohol ~~ ~.
(a) ~iom for non~videnfiM Mcohol ~mg wm s~ m~t ~e ~e ~meuu ~t fo~ for b~ Mcohoi
te~g m ~.57 of ~ Pm.
~) ~e s~ s~ su~ oMy one empioy~'s ~ of a non~viden~ ~mg ~vice
l~ve ~e Mcobol w~g i~on w~e ~e ~mg w~ p~Mu~ for a ~ven employ~ ~ m p~.
~.~ T~ fem.
S~s c~d~t~g ~ m~g a n~viden~ ~mg device ~ ~ ~e M~hol ~g
A~nd~ B of ~ P~ for ~e g~mg ~.
~.~0~ ~ ~ p~.
(a) ~e ~ for p~on for w~mg ~ ~ ~e ~e ~ pmvidM for b~ Mcobol ~g ~ ~.61 of~ Pm.
~) Tbe S~ ~ comp~ S~p 1 on ~e fern ~u~ by ~.~. ~e emp~y~
fern, si~i~S ~e certain. Re~ by'~ employ~ m si~ ~ ~ion ~ ~ ~ u a ~ m ~e ~e '
(c) ~ ~e employeF b mhg · non~v/d~ b~ ~g ~vice, ~e ~ s~ foUow ~ ~e ~ om~M ~r
A-21
(d) If the employer is using a saliva testing device, the STT shall take the following steps: (1) The STT shall explain the testing procedure to the employee.
(2) The S'I']' shall check the expiration date of the saliva testing device, show the date to the employee, and shall
not use a device at any time subsequent to the expiration date.
(3) The STT shah open an individually sealed package cent·ming the device in the presence of the employee.
(4) The STT shall offer the employee the opportunity to uae the swab. If the employee chooses to use the swab,
the STT shah instroct the employee to insert the absorbent end of the swab into the employee's mouth, moving it actively
throughout the mouth for a sufficient time to ensure that it is completely saturated, as provided in the manufacturer's
instructions for the device.
(5) If the employee chooses not to use the swab, or in nil cases in which n new test is necessary because the device
did not activate (see paragraph (d)(8) of this section), the STT shall insert the absorbent end:of the swab into the employee's
mouth, moving it actively throughout the mouth for a sufficient time to ensure that it is completely saturated, as provided in
the manufacturer's instructions for the device. The STT shah wear · sur~cal grade ~Jove while doing so.
(6) The STT shah place the device on a flat surface or otherwise in a pmitiou in which the swab can be firmly
placed into the opening provided in the device for this purpose. The S'I'F slmH insert the swab into this opening and nmi·rain
firm pressure on the device until the device indicates that is' activated.
(7) If the procedures of paragraph (d)(3)-(d)(5) of this section are not followed successfully (e.g. the swab breaks,
the STT drops the swab on the floor or another surface, the swab is removed or falls from the device before the device is
activated), the STT shah discard the device and swab and co~duct · new test using · new device. The new device shall, be
one that has been under the control of the employer or STT prior to the test. The STT sludl note in the remarks section of the
form the reason for the new test. In ~ case, the S'I'I' slmll offer the 5mployee the choice of using the swab himself or
herself or having the STT use the swab. If the procedures of ~h (d)(3)-(d)(5) of this section are not followed
successfully on the new test, the collection shaH be terminated and an explanation provided in the remarks section of the
form. A new test shah then be conducted, using an EBT for both the screening and confirmation test.
(8) If the procedures of paragraph (d)(3)-(d)(5) of this section are followed successfully, but the device is not
activated, the STT shah discard the device and swab and conduct · new test, in the same manner as provided in paragraph
(d)(7) el~ this section. In this case, the STT shall place the swab into the employee's mouth to collect saliva for the new teat.
(9) The STT shah read the result displayed on the device two minute~ mr i/~l~g the. swlb into the device. The
STT shall show the device and its reading to the employee and enter the result on the form.
(10) Devices, swabs, gloves and other materials used in saliva testing shall not be reused~ and shah be disposed of~
in a sanitary manner following their use, consistent with applicable requirements.
(e) In the case of any screening test performed under this section, the SI'F, after determining the alcohol concentration
result, shah follow the applicable provisions of ~40.63 (e)(1)-(2), (f), (g), and (It). The S~I' shah also enter, in the
"Remarks* section of the form, a notation that the screening test was performed using a non-evidential breath testing device
or a saliva device, as applicable. Following completion of the screening test, the STT shah date the form and sign the
certification in Step 3 of the form.
§40.103 Refusals to test and uncompleted tests.
(a) Refusal by an employee to complete and sign the alcohol testing fo~m required by ~t0.99 (Step 2), to provide.a breath
or saliva sample, to provide an adequate amount of breath, or otherwise to cooperate in a way that prevents the completion of
the testing process, shall be noted by the S'IT in the remarks section of the form. This constitutes a refusal to ~est. The
testing process shall be terminated and the STT shah immediately notify, the employer.
· (b) If the screening test cannot be completed, for reasons other than a refusal by the employee, or if an event occurs that
would invalidate the test, the STT shall, if practicable, immediately begin a new screening test, using a new testing form and,
in the case of · test using a sa/iv· screening device, a new device.
~40.10~ Innbllity to provide an adequate mount of breath or saliva.
(a) If an employee is unable to provide sufficient breath to complete a test on a non-evidential breath testing device, the
procedures of ~t0.69 apply.
(b) If un employee is unable to provide sufficient saliva to complete a test on a saliva screening device (e.g., the
employee does not provide sufficient saliva to activate the device), the STT, as provided in [40.101 of this Part, shall conduct
a new test using a new device. · If'the employee refuses to complete the new test, the STT shall terminate testing and
immediately inform the employer. This constitutes a refusal to test.
(c.) If the new test is completed, but.there is an insufficient amount of saliva to activate the device, ST'[' shall immediately
inform the employer, which shah immediately cause un alcohol test to be Itdmlnintered to the employee using an EBT.
A-22
§40.107 Invalid t~ts.
An alcohol mst using a non-evidential scr~ning device shall be invalid under the following circum~tancas;
(a) With respect to a test conducted on a aaliva device-
(l) The result is read before two minlM~$ oi' a~er 15 mlnHg~ from the time the swab is inser,~l into the device;
(2) The device does not uctivate;
(3) The device is used for a test aP, er'the expiration date printed on its puckagn; or
(4) The STT fails to note in the remarks section of the form that the screening test was conducted using a saliva
device;
(b) With respect to a test conducted on any non-evidential alcohol testing device, the STT has failed to note on the
remarks section of the form that the employee has failed or refoaed to sign the form following the recording on the form of
the test result.
§40.109 Avallabi~ty and disclomre of aleohal testing information about individual employees.
The provisions of ~40.81 apply to records of non-evidential alcohol screening tests.
~40.111 Maintmmnee and disclosure of records concerning non-evidential testing devices and STTs.
Records concerning STTs and non-evidential testing devioes shah be maintained and disclosed following the same
requirements applicable to BATs and EBTs under ~40. gl of this Part. [FR Doc. 95-9552 Filed 4-19-95;$:45am]
A-23
382.101 Purpose.
352.103 Applicability.
382.105 Testing procedures.
382.107 Definitions.
382.109 Preemption of State nnd local laws.
382.111 Other requirements imposed by employers.
382.113 Requirement for notice.
382.115 Starting date for testing progrnme.
Subpart B - Prohibitions ...........................................................
382.201 Alcohol concentration.
382.204 Alcohol possession.
3g2.205 On-duty use.
382.207 Pre-duty use.
382.209 Use following an accident.
382.211 Refusal to submit to a required alcohol or controlled substances test.
382.213 Controlled substances use.
382.215 Controlled substances testing,
Sublmrt C - Tests Required .........................................................
382.301 Pre-employment testing.
382.303 Pnst-accident testing.
382.305 Random testing.
382.30'/ Remonable suspicion testing.
382.309 Return-to-duty testing.
382.311 Follow-up testing.
Sublmrt D - Pmndlin~ of Test Results, Record Retention, smd Confidentiality .......................
382.401 Retention of records.
382.403 Reporting of results in a mamtgement information system.
382.405 Access to facilities and records.
382.407 Medical review officer notifications to the employer. ..
382.409 Medical review officer record retention for controlled substances.
382.411 Employer notifications.
382.413 Release of alcohol and controlled substances test information by previous employers.
Subpart E - Consequences for Drivers ~ in Substance Use-Related Conduct ...................
352.501 Removal from safety-sensitive function.
382.503 Required evalmuion and testing.
382.505 Other alcohol-related conduct.
382.50'/ Penalties.
Sublmrt F - Alcohol Misuse and Controlled Substamees Use Information, Tr~inin~ nnd Referral ..........
382,601 Motor cstrier obligation to promulgate a policy on the misuse of alcohol and use of controlled substances.
382.603 Trninlng for supervisors.
382.605 Referral, evaluation, and treatment.
,~.h.nnrt A -
§382.101 Purpose.
The purpose of tim part is to establish programs designed to help prevent accidents and injuries resulting from the misuse o~
alcohol or use of controlled subsUmces by drivers of commercial motor vehicles.
§382.103 Applicab'dity.
(n) This lxtrt applies to every person who operates n comanercial motor vehicle in interstate or intrastate commerce, and is
subject to the commercial driver's license requirements of part 383 of this subehapteF.
Co) An employer who employs himself/herself as n driver must comply with both the requirements in this parx that apply
to employers and the requirements in this part that apply to drivers. An employer who employs only himself/herself st
driver shall implement an alcohol and controlled substances Mst program
covered employees in the random testing pool.
(c) This pert shall not apply to employers and their drivers: '*
(1) Required to comply with the alcohol and/or controlled substances testing requirements of peru 653 and 654 of
this title; or
(2) C. vranted n full WalVeF from the requirements of the commercini driver's license program; or
(3) C~Fanted an optional State WalVeF from the requiremente of lu~uX 383 of this subchapter; or
(4) Of foreign domiciled operations, with respect to any driver wheee place of reporting foF duty (home termmal)
for commercial motoF vehicle trunspormtinn services is located ounide the territory of the United Stuns.
§382.10S Testing Procedures.
Each employer shall ensure that all alcohol or controlled substtmces testing conducted under tl~ part complies with the
procedures set forth in part 40 of this title. The provisions of pax.40 of this title that address alcohol or conuollod subsumces
testing are made applicable to employers by this part.
0382.109 Preemption of' State and local laws.
(n) Except as provided in paragraph b) of this section, this part preempts any $*_*,__*_~ or local law, rule, regulation, or order
to the extent that:
(1) Compliance with both the State OF local requirement and this part is not possible; or
(2) Compliance with the State or local requirement is au obstacle to the accomplishment and execution of ney
requirement in this part.
CO) This part shall not be construed to preempt provisions of etme criminal law that impose mmctions for reckless conduct
leading to acnml loss of life, injury..or demean to properly, whether the provisions apply specifically to truspormtion
employees, employers, or the general public.
0382.111 Other requirements imposed by employers.
l:*xcept as expressly provided in this part nothing in this part shall be construed to affect the authority of employers, or the
rights of driven, with respect to the use or possession of alcohol, or the use of controlled substances, including authoFity end
rights with respect to testing end rehabilitation.
0382.113 Requirement for notice. -'
Before performing tm alcohol OF COntFOlled substances test undeF thin part, e~,~h employer shall notify a driver iht the
alcohol or controlled substances test is required by this po. Ft. No employer shall falsely represent that n test is ndministered
under this part.
§382.115 Starfi~ date for ,_,~di%~ pFoarm~.
(n)/.drge emp~yer~. Each employer with fifty or more drivers on March 17, 1994, shall implement the requirements of
this p~rt be~n,l,g on January 1, 1995.
CO) ema~ em~/oycr~. ~ch employer with fewer that fifty drivers on March 17, 1994, shall implement the requirements
of this pail be~inning on Janlmry 1, 1996.
(c) All employers shall have alcohol and controlled subsmucas programs that confoFm to this part by the date in
paregraph n) or b) of this section, whichever is applicable, or by the date an employeF begins commercial motor vehicle
OpeFatinns, whichever is later.
A-25
§~.JO! AJcohoi co~on.
No d~ver s~ ~ for d~ or ~mm on d~ ~g ~e ~ffo~e of ~-~i~ve ~ti~ w~e ~vmg
M~hol concen~on of 0.~ or ~r. No ~mployer ~g ~ ~owlM~ ~ a dhver ~ ~ Mcohol con~emmion of
0.~ or ~r ~ ~t ~e dhver w ~ffo~ or con~ w ~om ~e~m~ve ~c~om.
i~.~ ~oi ~n.
No driver ~ ~ on du~ or o~ a comme~ m~r re.cie w~e ~e ~ver ~s ~cohol, ~e~ ~e ~cohol
~e~ nd t~~ ~ ~ of a ~pment. No employer ~v~ ~ ~owl~se ~ a ~ver ~s ~~
8cobol may ~t ~e d~ver ~ d~ve or conthue w drive a comme~ m~r re.cie.
dryer b ~mg ~coboi w~e ~do~in~ ~~ive ~oM ~ ~ ~e d~ver M ~o~ or contm~ ~ ~do~
~e~-~sitive ~tio~.
No ddver ~ ~o~ ~e~tive ~c~o~ ~ ~ur horn ~r umE ~cohol. No employer hvmg ~
~owl~ge ~ a ddver ~ ~ ~cohoi ~hln ~ur ho~ ~ ~ a'~ver ~ ~m or ~ ~ ~o~
~itive ~ctioM.
~.~9 Un foflo~ n ~i~
No dryer ~u~ W ~e a ~ ~cident ~co~l ~ ~r ~3~.3~ of ~ ~ ~ m ~cohol for ei~t hou~
fo~o~g ~e ~cident, or ~tfl he/~e ~de~s a ~ci~nt ~hol ~, ~hever ~m ~.
~11 b~ M m~t ~ a ~u~ &ohoi or co~ m~ ~
No d~ver ~ ~ M sub~t to a ~cident ~cohol or c~ ~~ ~ ~ u~r ~382.303,
~dom ~cohoi or contmH~ su~ces M~ ~u~ ~der ~382.30~, a ~ie ~ici~ ~cohoi or con~ ~ces
te~ requi~d under ~382.307, or a follow-up ~cohol or c~fl~ ~b~ces ~ ~u~ ~r ~382.311. No employer
sh~ ~t a ddver who ~s W ~b~t W ~h M~ ~ ~o~ or con~ ~ ~o~ ~eW-M~itivo~ctio~.
~582.21~ Co~obd ~M m.
(a) No driver s~ ~ ~r d~ or ~ on d~ ~ ~e ~do~e of ~~ifive ~cfio~ ~en
driver u~s ~y cont~ ~ce, exce~ when ~e m b pu~t M ~e ~fi~ of t physic~ ~o ~ ~v~
driver ~ the ~b~ce d~s not ~ve~ly ~t ~e d~ver*s ~ w ~iy o~ a comme~ m~r ve~c]e.
~) No employer hv~g ~ howl~fe ~ a driver ~ ~ a c~tmfld m~e ~ ~t ~e driver ~
or cont~ue to ~o~ a ~e~itive ~ction.
.lc) ~ employer, may ~qu~ a d~ver ~ ~o~ ~e employer of ~y ~e~mic drag ~.
[3~.215 Con.oiled ~~ ~.
No driver s~ ~ff for d~, ~ on d~ or ~gom a ~-~mifive ~ction, ~ ~e driver ~m ~kive for
controlled sub~ces. No employer ~v~g ~ ~owl~ge ~ a driver ~ ~ ~ifive for c~tmfl~ ~ces
~t ~e d~ver to ~o~ or contm~ ~ ~ffo~ ~e~mRive ~cfiom.
A-26
§382.301 Pre=employment testing.
(a) Prior to the first time · driver performs safety-sensitive functions for an employer, the driver shah undergo testing for
alcohol and controlled substances. No employer shah allow a driver to perform safety-sensitive functions unless the driver
has been Idmlniftered an alcohol test with · result indicating an alcohol concentration less than 0.04, and has received I
controlled substances test result from the medical review officer indicating a verified negative test result. If · pre-
employment alcohol test result under this section indicates an alcohol content of 0.02 or greater but less than 0.04, the
provisions of §352.505 shall apply.
Co) E~.ception for pre-employment alcohol testing. An employer is not required to edmini~r an alcohol test required by
' paragraph a) of this section if:
(1) The driver has undergone an alcohol test required by this section or the alcohol misuse rule of anotber DOT
agency under part 40 of this title within the previous six months, with · result indicating an alcohol concentration less that
0.04; and
(2) The employer ensures that no prior employer of the driver whom the employer has knowledge has records of ·
violation of this part or the alcohol misuse rule of another DOT agency within the previous six months.
(c) Excep#onforpre-emplayment controlled subsrance, v retting. An employer is not requited to administer · controlled
substances test required by paragraph ·) of this section ff.'
(1) The driver has participated in · drug testing program that meets the requiromonts of this part within the
previous 30 days; and
(2) While participating in that program either
(i) Was tef_~_ for controlled substances within the pas~ 6 months (from the date of application with the
employer) or
(ii) Participated in · random controlled substances testing program 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
· violation of this pert of the controlled subeumces use rule of another DOT agency within the previous six months.
(d) (1) an employer who exercises either pamgruph b) or c) of this section shah contact the alcohol and/or controlled
substances testing program(s) in which the driver participates or participated and shall obtain from the testing program(s) thr
following information:
(i) Name(s) and address(es) of the program(s).
(ii) Verification that the driver participates or participated in the program(s).
(iii) Verification that the program(s) conform to part 40 of ~ title.
(iv) Verification that the driver is qualified under the rules of this part, including that the driver has not
refused to be tested for alcohol or controlled substances.
(v) The date the driver was last tested for alcohol or controlled substances.
(vi) The results of any 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, · driver more than once · year must assure itself once every six
months that the driver participates in an alcohol and controlled substances testing program(s) that meets the requirements of'
(e) Notwithstanding any other provisions of this subpart, aH provisions and requirements in this section pe~Lining to
preemployment testing for alcohol are suspended as of May 1, 1995.
§382.303 Post-accident testing.
(·) As soon aa practicable following an accident involving a commercial motor vehicle, each employer shah test for
alcohol and controlled substances each surviving driver:
(1) Who was performing safety-sensitive functions with respect to the vehicle, if the accident involved the ions of
human life; or
(2) Who receives · citation under State or local law for · moving traffic violation arising from the accident.
(b) (1) ,4/cohol te, rt~. If a test required by this section is not administered within two hours following the accident, the
employer shaH prepare and maintain on file ·.record stating the reasons a the test was not promptly administered. Ifa test
required by this section is not adm'iniMered within eight hours following the accident, the employer shall cease attempts to
edminlfter an alcohol test and shah prepare and maintain the same record. Records shah be submitted to the FHWA upon
request of the Associate Adminittrutor. '
(2) For the years stated in this paragraph, employers who submit MIS reports shah submit to the FHWA each
record of· test required by this section that is not completed within 8 hours. The employer's records of tests that are not
A-27
completed within $ hOur. .1~1 be .ubmittad to the FH~A by M.rch 15, 1996; Mm'ch 1~, 1~?; ~ ~h 1~. 199~: for
(i) T~ of ~ (~ble ~icio~cident);
(~) T~e~f event (hci~mf ~, ~e, nd l~ion);
~) R~(s) Mi could n~ ~ compi~ ~ 8 hour; nd
(iv) ~ bi~ ~cohoi ~ ~uM hve ~n ~mp~ M~ ei~t hou~, ~e ~e, ~d~, ~d Mleph~e
Seven~ St~et, S.W., W~n, ~
~cidunt, ~e employer ~ c~ ~m~ m ~r a c~fl~ ~~ M~, ~d p~ ~d ~ on ~e a
~im Admini~r.
(c) A d~ver who b ~b~t ~ ~cident M~f ~ m~ ~y av~b for ~h
m~ic~ ~ntion for hju~ ~ople foHo~g ~ ~ci~nt or M p~b~ t d~ver ~m hvhE
(d) ~ employer s~ pmvide d~ve~ ~ n~e~ ~c~t ~~, p~ nd ~oM, ~or
(e) ~e ms~u of a b~ or bi~ ~ for ~e m ~ ~co~l or s ~ M for ~e
conduc~ by F~e~, S~ or l~ o~c~ hv~g mde~n~nt ~o~ for ~e ~,
~sul~ of ~e te~ ~ o~ by ~e employer.
§382.30~ Random testing.
(a) (1) Except ns provided in parqrapb fo) through (d) of this section, the minimum annual percentage rate for
random alcohol testing shaH be 25 percent of the number of driver, each selection period.
(2) Except as provided m paragraphs (e) through {g) of this section, the minimuln ~nnllal ~)ercentago fate for
random controlled substances testing shall be 50 percent of the number of driver, each selection period.
Co) The FHWA Admlnlftrator's decision to increase or decrease the minimum annual percentage rate for alcohol testing is
based on the reported violation rate for the entire industry. AH infornmtion used for this determination is drawn from the
alcohol management information system reports required by §382.403 of this pan. In order to ensure reliability of the
the FH~VA Administrator considers the quality and completeness of the reported da,~, may obtain additional information or
reports from employers, and may make appropriate modifications in calculating the industry violation ra~. Each year, the
FI-lAVA Administrator will publish m the Federal Register the minimum nnnunl percentage rate for random alcohol testing of
drivers. The new minimum nnntjal percentage rate for random alcohol testing will be applicable starting January I of the
calendar year following publication.
(c) (1) When the minmum nnntMd percentage rate for random alcohol testing is 25 percent or more, the Fl-tWA
Administrator may lower this ret~ to 10 percent of all drivers if the lrI-X%VA Adminiqrator determines that the dt~ta received
under the reporting requirements of §382.403 for two consecutive calendar years indicate that the violation rate is less than
0.5 percent.
(2) When the minimum annual percentage rate for random alcohol testing is 50 percent, the FHWA Administrator
may lower this rate to 25 percent of afl drivers if the FHWA Adminiftrator determines that the dots received under the
reporting requirements of §382.403 for two consecutive calendar years indicate that the violation ra~ is less than 1.0 percent
but equal to or greamr than 0.5 percent.
(d) (1) When the minimum nnntlal percentage rate for random alcohol testing is 10 percent, and the data received
under the reporting requirements of §382.403 for that calencttr year indica~ that the violation rate is equal to or greater than
0.5 Percent, but less than 1.0 percent, the FI-lAVA Admini.qtFator will increase the minimum nnnunl percentage rate for random
alcohol testing to 25 percent for aH drivers.
(2) When the minimum annual percentage rate for random alcohol testing is 25 percent or less, and the data
received under the reporting requirements of §382.403'for that calendm- year indicate that the violation rate is equal to or
greater than 1.0 Percent, the FHWA Admini,,trator will increase the mlnimllfll ImmLal percentage rate for random alcohol
testing to 50 Percent for aH drivers. '.
A-25
(e) The FHWA Admini-~rator's decision to increase or decrease the minimum annual percentage rate for controlled
substances testing is based on the reported positive rate for the entire industry. AH information used for this determination
drawn from the controlled substances management information system reports required by §382.403 of this part. In order to
ensure reliability of the date, the FHWA Administrator considers the quality and completeness of the reported d,,rl', may
obtain additional information or reports from employers, and may make appropriate modifications in calculating the industry
positive rate. Each year, the FHWA Administrator will publish in the Federal Regkter the minimum almlkal percentage rate
for random controlled substances testing of drivers. The new minimMm Kmlttnl percentage rate for random controlled
substances testing will be applicable starting January I of the calendar year following publication.
(f) When the minimum nnnuai percentage rate for random controlled substances testing is 50 percent, the FI-IW~t
Administrator may lower this rate to 25 percent of all drivers if the FI-IWA Administrator determines that the dntn received
under the reporting requirements of §382.403 for two consecutive calendar years indicate that the positive rate is less than ! .,.
percent. However, after the calendar year 1994 of random testing for interstate motor carriers under part 391, subpart H and
the initial calendar year of testing by large employers under this section, the FI-IWA Administrator may lower the rate for
calendar year 1997, if the combined positive testing rate is less tha~ 1.0 percent, and if it would be in the interest of safety.
(X) When the minimum nnmml percentage rate for random controlled substanes testing is 25 percent, and the date
received under the reporting requirements of §382.403 for any ealondar year indicate that the reported positive rate is equal
to or greater than 1.0 percent, the FHWA Adminlm. rator will increase the minlm~llm nnnuKJ percentage rate for random
controlled substances testing to 50 percent of all drivers.
(h) The selection of drivers for random alcohol and controlled substances te~Jn~ shall be made by a scientifically valid
method, such as · random number table or a computerbnsod random number generator that is matched with drivers' Social
Security numbers, payroll identiffma~un humbert, or other comparable identifyin~ numbers. Under the selection process
used, each driver shah have an equal chance of being tested each time selections a~e made.
(i) The employer shall randomly select a sufficient number of drivers for testing during each calendar year to equal an
annual rate not less than the minimum annual percentage rate for random alcohol and controlled substances testin~ determined
by the ~A Admini~t. rator. If the employer conducts random test~n~ for alcohol and/or controlled substances through ·
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 subject to random alcohol und/or controlled substances testing at the
same minimum almtuti percentage rate under this pan or any DOT alcohol or controlled substances random testing rule.
(j) Each employer shah ensure that random alcohol and controlled substances tests conducted under this part are
unannounced and that the dates for adminiqtering random alcohol and controlled substances tests are spr,--,,_-d reasonably
throughout the calendar year.
(lc) Each employer shall require that each driver who is notified of selection for random alcohol and/or controlled
substances testing proceeds to the test site immediately; provided, however, that if the driver is performing · surety-sensitive
function at the time of notification, the employer shall instead ensure that the driver ceases to perform the safety-sensitive
function and proceeds to the testing site ns soon as possible.
(1) A driver shall only be tested for alcohol while the driver is performing safety-sensitive functions, just before the driver
is to perfrom safety-sensitive functions, or jnst after the driver has ceased performing such functions.
(m) If a given driver is subject to random alcohol or controHod substances testing under the random alcohol'.or controlled
substances testing rules of more than one DOT agency for the same employer, the driver shah be subject to random alcohol
and/or controlled substances testing at the annual percentage rate established for the calendar year by the DOT agency
regulating more than 50 percent of the driver's function.
(n) If an employer is required to conduct random alcohol or controlled substances testing under the alcohol or controlled
substances testing rules of more than one DOT a~ency, the employer may-
(l) Establish separate pools for random selection, with each pool containing the DoT-covered employees who are
subject to testing at the same required minimum annual percentage rate; or
(2) Randomly select such employees for testing ~t the highest minimum e3mual percentage rate established for the
calendar year by any DOT agency to which the employer is subject.
A-29
§382.307 Reasonable suspicion testing.
(a) An employer sball require a driver to submit m an alcohol t~t when the employer has reasonable suspicion to believe
that the driver has violated the prohibitions of subpart B of this part concerning alcohol, except for §382.204. The
employer's determination that rensotmble suspicion exists to require the driver to undergo an alcohol test must be hued on
specific, contemporaneous, articulable observations concerning the appearance, behavior, speech or body odors of the driver.
Co) An employer shall require a driver to submit to n controUed substances test when the employer has rensonable
suspicion to beUeve iht the driver has violated the prohibitions of subp~rt B of thb p~rt concerning controUed substnces.
The employer*s determination that reasonable suspicion exists to require the driver to undergo a controUed substances test
must be based on specific, contemporaneous, articulable observations concerning the appearance, behavior, speech or body
odors of the driver. The observations may include indications of the chronic and withdrawal effects of controlled substances.
(c) The required obeervmions for alcohol and/or conrroUed substances reasonable suspicion testing sludl be made by ·
supervisor or company official who is trained in accordance with 0382.603 of tim part. The person who makes the
determination that reasonable suspicion exists m conduct an alcohol test dudl not conduct the alcohol test of the driver.
(d) Alcohol testing is authorized by this section only if the observatiom required by paragraph (a) of tim section are made
during, just preceding or just after the period of the work day that the driver is required to be in complhnce with this parr. A
driver may be directed by the employer to only undergo fei·enable suspicion testing while the driver is perfoFmlng mfety-
sensitive functions, just before the driver is to perform sefety-sensitive functions, or just after the driver has ceased
performing such functions.
(e) (1) If an alcohol test reqnired by this section is not udmmistered within two hours foUowing the determination
under pm'agraph u) of this section, the employer shall prepare nd nmnudn on file · record stating the tens§ns the alcohol test
was not promptly administered. If an alcohol test required by this section is not administered w/tiff· eight hours foUowmg the
determination under pm'agraph ·) of this section the employer shall cease attempts to udmlnlqeF an alcohol test and shaU state
in the record the reasons for not administering the test.
(2) For the years rated in this paragraph, employers who submit MIS reporm sludl submit to the FI-IWA each
record of u test required by this section that is not completed withl, 8 hem. The employer's records of tests that could not
be completed within 8 hours shall be submitted to the FI-IWA by March 1:5, 1996; March 1:5, 199'/; and March 1:5, 1998; for
calendar years 1995, 1996, and 1997, respectively. Employers shall N~pend these records to their MIS subtotal§ns. Euch
record shall include the foUowing reformation:
6) Type of test (reasonable suspicion/post4cciden0;
(ii) Triggering event (including date, time, and location);
(iii) Reason(s) test could not be complemd within 8 hours; and
(iv) If blood alcohol testing could have been completed within eight hours, the nome, address, and telephone
number of the testing site where blood testing could have occurred.
(3) Records of tests that could not be completed in 8 hours shaU be submitted to the FI-IWA at the foUowing
· ddress: Arm: Alcohol Testing Program, Office of Motor Carrier Standards (I-ICS-I), Federal Highway Admini~:ration, 400
Seventh Street, SW., Washington, DC 20590.
(4) Notwithstanding the absence of · reasonable suspicion alcohol test under fids section, no driver shall report for
duty or remain on duty requiting' the perfoFtnance of safety-sensitive funciions while the driver is under the influence of or
impaired by alcohol, as shown by the behavioral, speech, and performance indicators Of alcohol misuse, nor shMI an
employer permit the driver to perform or continue to perform safety-sensitive functions untU:
(i) An alcohol Mst is admini-q~ered and the driver's alcohol concentration measures less thn 0.~2: or
(ii) Twenty four hours have elapsed foUowing the determination under paragraph a) of this section that there
is reasonable suspicion to beUeve that the driver has viohted the prohibitions in tim part concerning the use of alcohol.
(:5) Except ns provided in paragraph (e) (2) of this section, no employer shall take any action under this part against
a driver IMsed solely on the driver's her·vier and appearance, with respect to alcohol use, in the absence of an alcohol test.
This does not prohibit an employer with independent authority of this pm't from taking any action otherwise consistent with
the law.
(f) A written record shall be made of the observations leading to u controUed substance rensonable suspicion test, and
siped by the supervisor or company official who made the observations, within 24 hours of the observed behavior or before
the results of the controUed substances test are released, whichever is em'lieF.
A-30
§~.~09 Return-to-duty testing.
(a) ~zx:h employer .hall emro ~ ~fo~
~ ~hoi 2~ ~ a ~lt ~ic~ ~ ~cohol co~n~on of Io~ ~ 0.0~.
~) ~h omployer ~ ~ ~ ~ · d~v~r ~ ~ ~ ~ ~o ~o~o of a ~e~-~itive
~cfion ~or on~ ~ condor pm~bi~ by
~dergo a ~mm~ contmU~ ~ces ~ M~ a ~t ~i~ a ve~ ne~ive ~ ~r con~ sub~
0~.311 Fo~w~p ~.
~ ~cohoi ~ ~Or ~ Of cont~ ~es, ~h empi~er ~ em ~ ~ ~ver ~ subj~t w ~o~c~
~o~ow-up ~cohoi ~or contm~ ~b~c~ ~mg m d~
~e dhveF m W ~o~ ~e~mi~ve ~om, orjm ~r b ~ver ~ ~ ~o~ ~~ve ~c~.
A-31
.~llhn=rt ~ - I:IANT~IJN~. (11;' TI;'~;;T
(a) ~ Re~r~. ~h employer
p~venfion pm~ ~ pmvidM ~ ~ ~tion. ~e mco~ ~ ~ m~M ~ a ~ i~on ~ contmUM ~ce~.
~) P~ of~te~on. ~h employer sb~ ~ ~e ~o~ m ~ce ~ ~e foUo~g ~h~e:
(1) Fivey~. ~e fo~o~ ~o~ ~ ~ ~~ for a minimum of five y~:
(i) R~ of driver ~cohol ~ ~ ~ ~i~ mdi~g ~ ~co~l concantmion of 0.02 or ~r.
(fi) R~o~ of driver ve~M ~itive co~ ~b~coa ~ m~.
(~) ~umen~on of ~ m ~ ~ ~cohol ~or c~ ~b~cea ~.
(iv) C~b~on d~umen~on
(v) ~vor ov~mion ~d ~fe~ a~ ~ ~M for a minim~ of five y~, ~d
(vi) A copy of~h ~ ~en~ y~ m~ ~ m ~ comp~ pu~t m ~382.~3.
(2) T~ year~. R~o~ ~ ~ ~o ~cohoi ~ c~B~ ~cea coB~ p~ (except c~bmion:of
evident~ b~ ~g dovi~e) ~d ~g ~ ~ ~~ for a mlnlm~ of ~O y~.
O) ~e y~r. R~o~ of n~v~ ~d c~
title) ~d ~cohol m~ ~l~ ~ a concentmion of !~ ~ 0.~ ~ ~ ~M ~r a minlm~ of ~e y~.
(c) Types ofre~. ~e fo~owmg ~c ~o~ ~ ~ ~~.
(1) R~o~ ~!~ m ~e co~ti~ p~o~:
(fl) ~umon~ ~g m ~ ~dom ~on p~;
(~) ~b~ d~en~n ~r ev~ b~ ~g ~v~;
(iv) ~umon~ion of b~ ~cohol ~c~ ~inin~;
(v) ~umen~ gene~ ~ c~ ~ ~io~ m M~r ~b ~icion ~cohoi or
contm~ tab--cea
(vi) ~menu gono~
(vfi) ~umonu vo~g e~nco of
b~ or m provide a u~o ~en for ~; ~d
(v~) Co~~ ~ ~an~ y~ ~~ ~ ~ ~ ~382.~3.
(2) R~o~ m~ m a d~ver'e ~ ~l~:
(i) ~e employer's copy of ~e ~cohoi ~ fo~, mcl~g ~e ~ of ~e m~;
(~) ~e employor'a copy of ~e contmBM ~c~ ~ c~ of c~y ~d con~l fo~;
382.~7(a); (~) ~umen~ ~nt by ~ m~ic~ ~vi~w o~c~r m ~ employer, mci~ ~ ~u~ by ~tion
(iv) ~umen~ ~
~u~ by t~ ~; ~d
(v) ~umen~ p~n~ by
~mini~d ~der t~ ~.
.. (3) R~o~ ~i~ m ~er vioi~io~ of
(4) R~o~ ~ m evasion;
(i) R~o~ ~g to a d~ion by a ~b~ ~ pmfo~ c~ce~g a d~ver's n~ for
~si~ce; ~d
(fi) R~o~ conco~g a driven comp~c~ ~ ~ommon~io~ of ~ mb~co ab~ pmfo~i~.
(5) R~o~ ~ m ~ion
(i) M~ on ~cohol ~ ~d contmB~ tab--cc ~ a~no~ mcl~m~ a copy of ~e ompioyor'~
~cy on ~cohol ~ ~d contmB~ sub~co
(fi) ~mon~ of comp~ce ~ ~o ~mon~ of ~382.~1, mcl~mg ~ d~ver'a ai~M ~ei~ of
eduction m~;
(~) ~men~ of
a do~ion conco~g ~ n~ for ~cohol ~or con~
(iv) Ce~on ~ ~y ~g cond~ ~r ~ ~ comp~ ~ ~ ~mon~ for ~h ~ining
(6) R~o~ ~ m drag
(i) A~emon~ ~ colorlon site f~h~, ~~, m~i~ ~viow o~, ~d co~;
(fi) Nmos ~d ~itio~ of o~c~ ~d
C~) M~y ~~ ~c~ m~ of u~ym ~u~ by ~.29 ~(6); ~d
(iv) ~e employer's drag ~m~ ~cy ~d
A-32
(d) Location of records. All recorth required by ~ lmrt shall be nminmined as required by §390.31 of ~ subchapt~r
and simll be made available for inspection at the employer's principal place of business within two business days tfter a
request has been made by an authorized representative of the Federal I-Iighwny Admlni~rntion.
§382.403 Reporting of results in a manqement information system.
(f0 An employer shall prepare and maintain · summary of the results of its alcohol and controlled substances testing
programs performed under this part during the previous calendar year, when requested by the Secretary of Transportation,
any DOT agency, or any State or local officials with regulatory authority over the employer or any of its drivers.
Co) If an employer is notified, during the month of January, of · request by the Federal Highway Admini~ration to report.
the employer's annual calendar year summary information, the employer shall prepare and submit the report to the Federal
l-Iighway Admlnlftration by March 15 of that year. The employer shall ensure that the annual summary report is accurate ant=
received by March 15 at the location that the Federal Highway Administration specifies in its request. The report shall be in
the form and manner prescribed by the Federal ]-Iighwny Administration in its request. When the report is submitted to the
Federal Highway ·dmini~rafion by ~ of electronic tr~tltsmblion, tiao information requested 8hall be typed, except for the
signature of the certifying official. Each employer shah ensure the accuracy and timeliness of each report submitted by the
employer or · consortium.
(¢) Each annual calendar year summary that contains information on a verified positive controlled substances test result,
an alcohol greening test result of 0.02 or greater, or any other violation oftbe alcohol misuse provisions of subpart B of this
part shall include the following informational elements: (1) Number of drivers subject to part 382;
(2) Number of drivers subject to testing under the alcohol misuse or controlled substances use rules of more 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 · MRO by type of test;
(6) Number of persons denied a position as · driver following · pre-employment verified positive controlled
substances test and/or · pre-employment alcohol test that indicates an alcohol concentration of 0.04 or greater;
CO Number of drivers with tests verified positive by a medical review officer for multiple controlled substances;
(8) Number of drivers who refused to submit to an alcohol or controlled substances test required under this subpafl:
(9) (i) Number of supervisors who have received required alcohol training during the reporting period; and
(ii) Number of supervisors who have received required controlled substances tFnlning dur~g the reporting
period;
(10) (0 Number of screening alcohol tests by type of test; .and
(ii) Number of confirmation alcohol tests, by type of test;
(11) Number of confirmation alcohol tests indicating an alcohol concentration of 0.02 or greater but less than 0.04,
by type of test;
(12) Number of confirmation alcohol tests indicating an alcohol concentration of 0.04 or greater, by type of test;
(13) Number of drivers who were returned to duty (having complied with the recommendations of a substance
abuse professional as described in §§ 382.503 and 382.605), in this reporting period, who previously: (i) l-lad a verified positive controlled substance test result, or
(ii) Engaged in prohibited alcohol misuse under the provisions of this part;
(14) Number of drivers who were administered alcohol and drug tests at the same time, with both · verified
positive drug test result and an alcohol test result indicating an alcohol concentration of 0.04 or greater; and
(15) Number of drivers who were found to have violated any non-testing prohibitions of subpart B of this part, and
any a~tion talton in response to the violation.
(d) Each employer's nnn~aal calendar year summary that contains only negative controlled substance test ruub, alcohol
screening test results of leas than 0.02, and does not contain any other violations of subpart B of this paxt, may prepeA and
submit, as reqnired by lmragraph (b) of this section, either a standard report form containing all the information elements
specified in pet·graph o of this section, or an 'EZ" report form. The "EZ' report shall include the following information
elements:
(1) Number of drivers subject to ~ 382;
(2) Number of drivers subject to testing under the alcohol misuse or controlled substance use rules of more 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);
A-33
(4) Number of negatives verified by.a medical review officer by type of test; :
(5) Number of drivers who refused to submit to an alcohol or controlled substances test required under tim subpart:
(6) (i) Number of supervisors who have received required alcohol trninlng during the reporting period; and
(ii) Number of supervisors who have received required controlled substances training during the reporting
('/) Number of screen alcohol tests by type of test; and
(8) Number of drivers who were returned to duty.0mving complied with the recommendations of a substance abuse
professional a.s described in §§382.503 and 382.605), in this reporting period, who previously: (i) l-lad n verified positive controlled substanco teat result, or
(ii) Engaged in prohibited alcohol misuse under the provisions of this part.
(e) Each employer that is subject to more than one DOT agency alcohol or controlled substances rule shah identify each
driver covered by the regulations of morn than one DOT agency. The identification will be by the total number of covered
functions-. Prior to conducting any alcohol or controlled substances t~t on a driver subject to the rules of more than one DOT
agency, the employer shah determine which DOT agency rule or t~les authorizes or requires the t~t. The test result
information shah be directed to the appropriate DOT aguncy or agencies.
(f) A consortium may prepare annual calendar year mmmmriee and reports on behalf of individual employers for purposes
of compliance with this section. However, each employer shall sign and submit such a report and shah remain responsible for
enduring the accuracy and timeliness of each report pre, tared on its behalf by a consortium.
§382.40~ Access to facilities and records.
(a) Except as required by law or expressly authorized or r~luired in this section, no emPloyer shah release driver
information that is contained in records required to be maintained under §382.401.
(b) A driver is entitled, upon written request, to obtain copies of any records pertaining to the driver's use of alcohol or
controlled substances, including any records pertaining to his or her alcohol or controlled substances tests. The employer
shah promptly provide the records requested by the driver. Access to a driver's records shall not be contingont upon payment
for records other than those specifically requested.
(c) Each employer shah permit access to ah facilities ~ in complying with the requiromeats of this Mtrt to the
Secretary of Transportation, any DOT agency, or any State or local officials with regulatory authority over the employer or
any of its drivers.
(d) Each employer sbah make available copies of ah results for employer alcohol and/or control]ed substances testing
conducted under this part and any other information pertaining to the employer's alcohol misuse and/or controlled substances
use prevention program, when requested by the Secretary of Tranaportntion, any DOT agency, or any State or local officials
with regulatory authority over the employer or any of its drivers.
(e) When requested by the National Transportation Safety Board as part of an accident investigation, employers shall
disclose information related to the employer's administration of a post-accident alcohol and/or controlled substance test
administered following the accident under investigation.
(f) Records shah be made available to a subsequent employer upon receipt of a written request from a driver. Disclosure
by the subsequent employer is permitted only a~ expressly authorized by the..terms of the driver's request.
(g) An employer.may disclose information required to be maintained under this part pertaining to n driver, the decision
maker in a lawsuit, grievance, or other proceeding initiated by or on behalf of the individual, and arising fi'om the results of
an alcohol and/or controlled substance test administered under this part, or from the employer's determination ~ the driver
engaged in conduct prohibited by subpart B of this pm't (including, but not limited to, a worker's compensation,
unemployment compensation, or other proceeding relating to a benefit sought by the driver.)
(h) An employer shall release information regarding a driver's records u directed by the specific, written consent of the
driver authorizing release of the information to an identified person. Release of such information by the person receiving ti~
information is permitted only in accordance with the terms of the employee's consent.
§~,.407 Medical review officer notifications to the employer.
(a) The medical review officer may report to the employer using any communications device, but in all in~ances n
signed, written notification mue be forwe~ed within three busine~ days of completion of the medical review officer's
review, pursuant to pen 40 of this title. A medical review officer shall report to an employer clearly:
(1) That the controlled substances test being reported was in accordsuce with part 40 of this title and this part;
(2) The mune of the individual for whom the t~t results ~re being reported;
(3) The type of test indicated on the custody and control form (i.e. Fandom, post-accident,
(4) The date and location of the test collection:
(5) The identities of the persons or entities performing the collection, analysis of the specimens and serving u the
medics] review officer for the specific test;
(6) The verified results of at controlled substances Mst, either positive or negative, and if positive, the identity of
controlled substance(s) for which the test was verified positive.
CO) A medical review officer shaH report to the employer that the medical review officer has made nil rensotmble efforts
to contract the driver as provided in ~[0.33o of this title. The employer shall, as soon as practicable, request that the driver
contact the medical review officer prior to dispatching the driver or within 24 hours, whichever is earlier.
§382.40~ Medical review olTa:er record retention for controlled suhstonces.
(a) A medical review officer slmll maintain aH dated records and notifications, identified by individual, for fi minlm~lm
five years for verified positive controlled substances test results.
(b) A medical review officer shah maintain all dated records and notifications, identified by individual, for st minimum Of
one year for negative and concealed controlled substances test results.
(c) No person may obtain the individual controlled substances test results retained by ft medical review officer, and no
medical review officer shah release the individual controlled substances test results of any driver to any person, without first
obtaining a specific, written m]thorization from the tested driver. Nothing in this ~h shah prohibit a medical review
officer from releasing to the employer or to officials of the Secretary of Trunsportutlon, an DOT qency, or any State or local
officials with regulatory nuthority over the controlled substances testing progrmn under this i~rt, the information delineated in
§382.407 of this subl~rt.
§38~.411 Employer notif'F, ations.
(at) An employer shah notify ,, driver of the results of ft pre-employment controlled substance test conductsd under this
p~t, if the driver requests such results within 60 calendar days being notified of the disposition of the employment
application. An employer shah notify at driver of~ the results of random, reasonable suspicion and post accident tests for
controlled substances conducted under this pftrt if the test results a~ verified positive. The employer shaH also inform the
driver which controlled substance or substances were verified as positive.
CO) The designated manafement offichl shall make rmuon~ble efforts to contact and request each driver who submitted a
specimen under the employer's program, regardless of the driver's employment status, to contact and discuss the results of the
controlled substances test with a medical review officer who ha~ been unatble to contact the driver.
(¢) The designated management official shall immediately notify the .medical review officer that the driver ires been
notified to contact the medical review officer within 24 hours.
§38~.413 Release of alcohol and controlled substances test information by previous employers. "
(,,) An employer may obtain, pursuant to at driver's written consent, any of the information concerning the driver which is
mamtmned under this pnrt by the driver's previous employers.
Co) An employer shah obtain pursuant to a driver's consent, information on the driver's alcohol tests with n eoncentrution
result of 0.04 or freater, lx~itive controlled substances test results, and refusals to be tested, within the precedin~ two years,
which are maintained by the driver's previous employers U~der §382.401 Co) (1) (i) through (iii).
(¢) The information in paragraph Co) of this section must be obtmned and reviewed by the employer no later than 14
calendm' days a~er the first time at driver performs nfety-seusitive functions for an employer, if it is not feasible to obtnin the
information prior to the driver performing safety-sensitive functions. An employer may not permit at driver to perform safety-
sensitive functions a~er 14 days without obtaining the information.
(d) If the driver stops perfOl'mlng nfety-sonsitive functious for the employer before expiration of the 14 day period or
before the employer has obtained the information in pamL~ph (b) of this section, the employer must still obtain the
information.
(e) The prospective employer must provide to each of the driver's employers within the two preceding years the driver'.-
specific, written atuthorization for reJeaoe of the information in pm'agraph (b).
. A-35
(f) The release of any information under this part may take the form of personal interviews, telephone interviews, letter1,
or any other method of obtaining information that enzurea confidentiality. Each employer must meJntaln · written,
confidential record with respect to each past employer contax:ted.
(Z) An employer may not u~o a driver to perform safety-sensitive functione if the employer obtains information on the
driver'a alcohol test with · concentration of 0.04 or ~reater, verified lX~itive controlled substances test result, or refusal to be
tested, by the driver, without obtaining information on a subsequent sub.anco abuse professional evaluation and/or
determination under §382.401 · (4) and compliance with §382.~09.
A-36
~1 ~ovd ~ ~~e ~n.
(a) Exce~ ~ pmvid~ ~ ~ F of ~ ~. no dryer s~ ~ffo~ ~e~ve ~om, ~ci~hg driving a
comme~ m~r re.cie. ~ ~e driver ~ eng~ m condor pm~bi~ by ~ B of ~ ~ or n Mcoho] or
contmHM ~bmc~ ~le of n~er ~T qency.
~) No employer ~ ~t ~y d~ver ~ ~om ~mfive ~cfiom. mci~hg d~vhg a comme~ momr
ve~cle, ff ~e omployor ~ ~in~ ~ ~e d~ver ~ vio~ ~ ~.
(c) For p~s of ~ nb~. co~e~ m~or ve~ m~ a ~mme~ m~r ve~cle h comme~e ~ de~ m
~382.1~. nd a co~e~ m~r re.cie ~ hM~ comme~
~3 ~u~d ~on nd ~.
No d~ver who ~ engq~ ~ cond~t pm~bi~ by m~ B of ~ ~ s~ ~om ~-~mi~ve ~ctiom,
mcl~hg dfivh~ a comme~ m~or re.cie, u~ ~e driver ~ m~ ~e ~men~ of ~382.605. No employer s~
~t n d~ver who ~ engag~ m conduct pm~bi~ ~ ~ B of~ ~ M ~m ~e~ve ~ctiom,
~oi~m~ dfiv~g a comme~ m~or re.cie. ~en ~e driver ~ m~ ~e ~me~ of ~382.605.
~.~ ~er ~o~r~d condu~.
(a) No d~ver M~ ~der ~e p~vbio~ of sub~ C of ~ ~ ~o b ~d M rye n ~ohol ~ncen~ion of 0.02
or ~r but le~ ~ 0.~ s~ ~om or cm~
d~vmf a comme~ m~r re.cie, nor s~ n employer ~ ~ ~ver ~ ~m or ~M M ~m ~e~-
M~tive ~cti~, ~tfl ~ ~ of~e driver's ne~ ~y ~h~ d~ ~, b~
~mini~ion of ~e ~.
~) Except ~ pmvid~ m ~h (a) of ~ ~tion, no em~oyer ~ ~ ~y ~on ~r ~ ~ q~ a d~ver
b~ ~lely ~ tm ~sul~ ~o~g ~ ~cohoi concen~ leu
au~o~ mde~ndent of ~ ~ ~m ~g my ~tion ~e~ com~ ~ hw.
~7 Pe~.
~y employer or d~ver who violins ~e ~u~men~ of ~ ~ ~ ~ mbj~t ~ ~e ~ pmvbio~ of 49 U.S.C.
~1~).
A-37
~.~1 hpl~ ob~n ~ promu~ n p~ on ~e m~ of k~ol nd m of co~ed
(a) Gene~ ~menn. kh employer ~ p~vide ~o~ ~ ~ e~i~ ~e ~u~men~ of ~ ~
nd ~e employer's ~i~ ud p~s M~ ~t m m~g ~e~ ~u~menn.
(1) ~e employer s~ e~ ~ a copy of ~ ~ b d~b~ m ~h d~ver p~or m ~e ~ of ~cohol
~d c0nt~H~ ~ces M~mg ~der ~ ~ ~d ~ ~h driver sub~uen~y ~ or ~e~d m~ a ~s~ion ~u~g
d~vmg a co~e~ m~or ve~cle.
(2) ~h employer ~ pMvide ~n no~ce M ~p~n~ives of empioy~ or~o~ of ~e av~b~ of
~ ~o~ion.
~) Requ~ conMnt. The m~s m ~ ~e arkie m d~ve~ ~ mcl~e de~ d~i~n of ~ I~ ~e
foHo~g: :
(4) S~c ~o~on conce~z d~ver co~ ~ b pm~b~ by ~ ~;
(5) ~ c~umces ~der w~ch a d~ver ~ ~ ~ for ~o~i ~or con~U~ ~bmces ~der ~ ~;
to ~e co~t d~ver;
(8) ~ exp~ion of w~ co~ a m~ m mb~ m ~ ~eohol or ~H~ m~c~ ~ ~ ~e
~en~t co~uences;
(9) ~e co~uenc~ for d~ven fo~d m ~ve vio~ ~ B of ~ ~, ~c~g ~e ~u~me~ ~ ~
(10) ~e co~uences for d~ve~ fo~ m ~ve ~ ~cohol concen~on of 0.~ or ~r but lm ~ 0.~;
(11) ~o~ion conce~g ~e eff~n of ~cohol ~d co~U~ m~ces m ~ ~ ~divid~'s h~, wo~,
~d ~n~ life; si~ ~d sympm~ of ~ ~cohol or a con~H~ ~ces problem (~e d~ver's or a c~wo~er's); ~d
av~able me~ of m2~emg when ~ ~co~! or a contm~ ~ces p~blem ~ ~, mci~mg co~i~,
refe~ to ~y employ~ ~ce pm~ ~ or ~fe~ ~ ~ement.
~tb ~ct m ~e m or ~uion of Mcohol or c~tmH~ m~c~, ~cl~g oy co~nces ~r a d~ver fo~ m
have a ~ ~cohol or con~U~ ~bmces level, ~ m ~ on ~e employer's ~o~ mde~ndent of ~ ~.
~y such ~ditio~ ~licies or co~nc~ m~ ~ cl~ly ~d obvio~iy ~ ~ ~mg ~ on ~de~ndent
nu~o~W.
. (d) Cen~cm of ~ei~. ~h employer s~ e~u~ ~ ~b d~ver ~ ~q~ m si~ n mment cen~Z ~ he or
she h~ ~eiv~ a c~y of ~e~ m~ de~ ~ ~ ~tion. ~h employer ~ m~ ~e o~ of ~e si~
ce~c~e ~d may provide a c~y of ~ ce~e m ~e d~ver.
(a) ~h employer ~ ~ ~ ~ desi~ m d~ine wbe~er ~ble s~icion e~ m ~u~ ~
d~ver to ~dergo te~ ~r ~382.30~ ~eive ~ i~ 60 min~[ of t~A ~ Mcohol ~ od ~eive ~ i~ ~
~di~o~ 60 ~ms of ~ on ~ntmH~ m~ces m. ~e t~g ~ Cover ~e physicS, ~vio~, ~h, ~
~o~ce ~di~n of pm~ble ~cobol ~ ~d m of c~H~
(a) ~h d~ver who ~ en~ m c~duct pm~bi~ ~ s~ B of ~ ~ s~ ~ ~v~ by ~o employer of ~
~u~es arable m ~e d~ver m ev~g ~d'~lv~g pmble~ ~~ ~ ~e ~ of Mcohol od m of
contmH~ ~bmces, mcl~g ~e ~es, ~d~ms, ~d 21ephone num~n of submce ~ pm~uio~ ~d
co~g ~d t~ent
~) ~h d~ver who en~ges ~ conduct pm~bi~ by ~b~ B of ~ ~ ~ ~ ev~ by a ~ce a~
pmfeuio~ who ~ de2~e wh~ ~ce, E ~y, ~e mploy~ n~ m ~lvmg pmb~ ~ ~ ~cohol
~ ~d contmH~ ~ces ~.
A-38
(c) (1) Before a driver returns to duty requiting the performance ofn safety-sensitive function a~er engaging in
conduct prohibited by subpazt B of this part, the driver shah undergo a return to duty alcohol test with · result indicating an
alcohol concentration of less than 0.02 if the conduct involved alcohol, or · controUed substances test with n verified negative
result if the conduct involved · controUed substance.
(2) In addition, each driver identified as needing assistance in resolving problems associated with alcohol misuse or
controlled substances use,
(i) Shah be evaluated by a substance abuae professional to determine th~ the driver has properly followed
any rehabilitation program prescribed under paragraph Co) of tim section, and
(ii) Shah be subject to unannounced follow-up alcohol and controlled substances tests edmlni~tefed by the
employer following the driver's return to duty. The number and fZ~ClUenc~, of such follow-up testing shah be as directed by
the substance abuse professional, and consist of at least six tests in the first 12 months following the driver's return to duty.
The employer may direct the driver to undergo return-to-duty and follow-ua testing for both alcohol and controlled
substances, ff the substance abuse professional determines that return-to-duty and follow-ua testing for both alcohol and
controlled substances is necessary for that pezticolar driver. Any such testing shall be performed in accordance with the
requirements of 49 CFR part 40. Follow-up testing shah not exceed 60 months from the date of the driver's return to duty.
The substance abuse professional may terminate the requirement for follow-ua tenting at any time after the first six tests have
been edminLqtered, if the substance abuse professional determines that such testing is no longer necessary
(d) Evaluation and rehabilitation may be provided by the employer, by n substance abuse professional under contract with
the employer, or by a substance abuse professional not affiliated with the employer. The choice of substance abuse
professional and esai~nment of co~s shall be made in accotdenee with employer/driver agzeements and employer policies.
(e) The employer shah ensure that a substance abuse professional who determines that a driver requites assistance in
resolving problems with alcohol misuse or controlled substances use does not refer the driver to the substance abuse
professional's private practice or to a person or organization from which the substance abuse professional receives
remuneration or in which the substance abuse professional has · financial interest. This ~h does not prohibit a
substance abuse professional from referring · driver for assistance provided through- (l) A public agency, such as · State, county, or municipality;
(2) The employer or n person under contruct to provide treatment for alcohol or controlled substance problems on
behalf of the employer;
(3) The sole source of therapeutically appropriate treatment under the driver's health msurnnce pro,mm; or
(4) The sole source of therapeutically appropriate treatment reasonably accessible to the driver.
(f) The requirements of this section with respect to referral, evaluation and rehabilitation do not apply to applicants who
refuse to submit to a pre-employment alcohol or controlled substances test or who have n pre-employment alcohol test with a
result indicating an alcohol concentration of 0.04 or greater or · controlled substsuces test with n verified positive test result.
dotapp-~.doc
8/95
A-39
APPENDIX 'B'
DOT Urine Testing for Drugs of Abuse
Split Specimen Collection Procedures
VIRGINIA MASON OCCUPATIONAL MEDICINE
DOT Urine Testing for Drugs of Abuse
Split Specimen Collection Precedures
All drug screens for this contract will be collected following the 'stringent. procedures of the
Department of Transportation and the Substance Abuse and Mental Health Administration (SAMHSA)
for federally mandated testing.
These instructions are intended for use by persons already familiar with the existing detailed urine drug
screen single specimen collection procedures for Department of Transpormfio~ The following
instructions define how split specimens may be collected using a Split Specimen Cup Pack. The split
specimen requirement was implemented on August 15, 1994.
,4. Operat/n_a ~l#mini~tration~ Effected:
Employers with employees subject to drug testing in the follow/n~ operating administrators
SHALL use split specimen collection: Federal Highway Administration, Federal Railroad
AdminisWafion, Federal Transit Administration, and Federal Aviation Administration.
Employers with employees subject to drug testing in the following operating administrations MAY
use split specimen collection: Research and Special Program Administration and United States
Coast Guard.
~. lTesianatinn of Ca/lectio# $ite~,
The collection site person will use the area or areas defined as 'thc designated collection site.' The
collection will provide an enclosure for private urination, a toilet'for completion of uri,Atlon, a
source of water'for hand washing, and a clean surface for the collection site person to utilize for
writing:
1. Collect urine specimen from only one person at a time.
2. Document and maintain the chain of custody at all times.
3. Double check the accurate labeling and sealing of the specimens.
4. Have the donor watch the process of completing paperwork and sealing the specimens:
5. Do NOT list the donor's name on the laboratory copy of the chain of custody.
B-1
D. £ha/n ~f £usted. v:
Chain of custody shall be properly executed by authorized collection site personnel upon receipt of
specimens at the clinics. Handling and transportation of the urine specimens to the laboratory shall
always be accomplished through proper chain of custody procedures. Once at The laboratory a
strict use of chain of custody is followed. The purpose of these procedures is to maintain control of
specimens/aliquots until testing is completed. All .specimens received at The laboratory and
aliquots derived therefrom are handled with an internal chain of custody from the time of receipt
through the final disposition. In addition, all appropriate spaces on external chain of .custody
documents are _fi_lled in as required by DOT.
1. Internal chain of custody. Each transfer of custody must be documented on the chain of custody
form in the appropriate space. At each step the person releasing and receiving the
sample/aliquot must sign (or stamp and sign) the form, record the date, purpose of l~an~fer,
and where appropriate, record the condition of the security seal(s). At this point, the person
receiving the specimen/aliquot is responsible or it must be locked in a secure area or
con~i,~er. At no time may the specimen/aliquot be left unattended in a non-secure are~
The individual specimen requisition chain of custody form is used to document external chsi~
of custody and for documentation of specimen receipt, accessioning, and storage prior to
testing. The handling of individual specimens for any other purpose must be documented on
a special Handling Chain of Custody Document. Batch chain of custody forms document
ahquoting of specimens for screening, confirmation testing, and disposition of specimens
and/or aliquots. The batch chain of custody is signed and dated by all persons releasinE and
handling or assuming custody of any specimen, aliquot or extracts derived fi'om the aliquots
listed on the form.
All chain of custody forms are part of the forensic record and are stored with the specimen
requisitions in either short or long term storage as appropriate. These forms are pan of the
forensic record and must be available for access in the event that subsequent testing or
handling is needed, or in the even that a legal package is.requested.
2. Chain of custody for sand.out s.oecimens. An MRO (on instructi°n fi'om the specimen donor.) may
request that a split specimen be sent to another SAMI-ISA certified laboratory for
reconfirmation. In this case, thc split specimen wiU bc sent under chain of custody. A
Special Handling Chain of Custody will be used to document the specimen recovery from
storage and the packaging for shipment.
E. Accex~ //m/ted to Authorized Per$onne/~.
No unauthorized personnel shall be permitted in any pan of the designated collection site where
urine specimens are collected or stored. Only the collection site person may handle specimens
prior to their being secured in the mailing container. In order to promote the security of specimens
and to avoid distraction of the collection site person and ensure against any confusion in the
identification of specimens, a collection site person shall conduct only one collection procedure at
any given time. For this purpose, a collection procedure is completed when a urine bottle has been
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sealed and initialed, the urine custody and control form has been executed and the employee has
departed the site.
The collection site person will be responsible for using procedures for collecting urine specimens
which allow the donor privacy unless there is reason to believe that a particular donor may have
altered or substituted the specimen to be provided, as further described in this paragraph.
For purposes of this plan, the following circumstances are the exclusive grounds c~nstitutlng a
reason to believe that the donor may alter or substitute the S .l:~imen:
1. To deter the dilution of specimens at the collection site, toilet bluing agents shall be placed in
the toilet tanks wherever possible, so the reservoir of water in the toilet bowl always remains
blue. Where practical, there shall be no other source of water (e.g. no shower or sink) in the
same enclosure where urination occurs. If there is another source of water in the enclosure, it
shall be effectively secured or monitored to ensure it is not used (undetected) as source for
diluting the specimen.
2. When a donor arrives at the collection site, the collection site person will ensure that the
donor is positively identified as the employee selected for testing (e.g. through presentation of
photo identification or identification by the employee's supervisor). If the donor's identify
cannot be established, the collection site person shall not proceed with the collection.
3. If the donor falls to arrive at the assigned time, the collection site person shall note the
discrepancy and alert the designated employer contact.
1. Collection site person asks the donor to remove any unnecessary outer garments such as a
coat or jacket that might conceal items or substances that could be used to tamper with or
adulterate the donor's urine specimen. The collection site person shall ensure that all personal
· - belongings such as a purse or briefcase remain with the outer garments. The donor.may
retain their wallets.
2. Instruct Donor to wash and dry their hands prior to urination.
3. After washing hands, the donor shall remain in the presence of the collection site person and
shall not have access to any water fountain, faucet, soap dispenser, cleaning agents or any
other materials which could be used to adulterate the specimen.
4. Have donor choose a split specimen collection cup pack.
5. Collection site person completes a custody and control form for each donor. Write the
donor's Social Security or ID number in the grid at tope right comer. Verify and complete
information requested in Step 1 (up to temperature) of the custody and control form. Write
date and donor Social security or ID number on the bottle label AND on split label.
6. Collection site person opens the cup pack selected by the donor and applies a bottle label
found on the custody and control form to the first bottle (primao' specimen) and the split
sample label to the second bottle (split specimen). Give the donor the collection cup and
show hi/her the. approximate level for 45 mL volume to be coilectecL Have the donor collect
at least 45 mi, urine.
7. Donor may pwvide their specimen in the privacy of a stall or otherwise partitioned areas that
allow for individual privacy.
Collection site person shall note any unusual behavior or appearance on thc Custody and
control form.
9. Collection site person pours 30 mi. urine into the primary specimen bottle and at i~ast 15
mL urine into the split specimen bottle. Tighten lids securely.
If less than 45 mi, urine is collected, the collection site person will in.smict the donor to
drink not more than 24 oz of fluids and, after a period of not more than two hours again
attempt to produce a complete sample using a new'fresh cup pack. The original
insufficient specimen will be discarded. If the donor is still unable to provide an adequate
specimen, discard the immfficient sample, discontinue the test and notify the employer of
the donor's inability to provide 45 mL of urine for testing within the allowed time period.
10. Collection site person measures temperature of the specimen from temperature strip on
primary specimen and complete the last line of Step 1 on form.
11. Have donor verify accurate labeling of specimens. Donor to initial and date bottle security · seals and place over caps and down two sides of both bottles. Do not obscure the labels.
12. Have donor complete and sign Step 3 on Copy 3 of custody and control form. Collection site
person completes and si~ms Step 4 on Copy 1 of custody and control form.
13. Collection site person places each sealed bottle in a seX.specimen shipping
bag and fold/lap to seal. '-
14. Collection site person removes shipping bag seal from custody and control form and seal
junction of front pouch of specimen shipping bag. Sign and date seal.
15. Collection site person complete Step 2, custody record, on cumody and control form.
16. Collection site person separates copies of custody and contwl form and place copies 1, 2, and
7 in back pouch of specimen shipping bag. Mail Copy 3 to the MRO, give donor Copy 4,
keep Copy 5 and mail Copy 6 to employer contact person.
17. Collection site person secures specimens until shipped to the laboratory via daily courier.
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H. S. nn~ini ~ircum~tance~:
procedure: a collection site person of the same gender as the donor accompanies the donor
into the public restwom which has been made secure during the collection procedure. If
possible, a toilet bluing agent sba!! be place in the bowl and any accessible toilet tank. The
collection site person remains in the restroom, but outside the stall until the .specimen is
collected. If no bluing agent is available to deter specimen dilution, thc collection 'site person
shall instruct the donor not to flush the toilet until the specimen is delivered to the collection
site person.
After the collection site person has possession of the specimen, the donor shall be instructed
to flush the wilet and to participate with the collection site person in completing the chain of
custody procedures.
2. T~m.~*-rsture ~ut~ide ran_~. If the tem~ of the specimen is outside the range of 90.5
degr'"'~-~s to 99.8 degrees Fahrenheit (32.5 degrees to 37.7 degrees Celsius), that is reasons w
believe that the donor may have altered or substituted the specimen, and another specimen
shall be collected under direct observation of a same gender collection site person and both
specimens shall be forwarded to the laboratory for testing. The donor may volunteer to have
their oral temperature taken to provide evidence to counter the reason to believe the donor
may have altered or substituted the specimen caused by the specimen's temperature falling
outside the prescribed temperature range.
3. Atl[]lt~rst~d -~_~cim~n-,. Whenever there is reason to believe that a particular donor has altered or
substituted the specimen a second specimen can be obtained as soon as possible under direct
observation of the same gender collection site person. All specimens suspected of being
adulterated shall be forwarded to the laboratory for testing.
4. fmnlawr nofificsti[]n. The donor's employer shall review and concur in advance with any
decision by a collection site person to obtain a specimen under the direct observation .of a
same gender collection site person based upon the circumstances listed above.
!. 8e_iecte# Snedmens:
Samples will bi rejected if:
~' Specimen bottles lack thc unique requisition number.
Specimen label does not exactly match the unique requisition number of the custody and
control form.
Bottles have no security seals, security seals are bwken, there is evidence to tampering, or
security seals are incorrectly placed on the bottles.
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The chain of custody is blank.
The specimens arrived at the laboratory without the chain of custody form.
The primary specimen contains less than 30 mL urine.
Breath Alcohol Testin$
Check patiem's picture I.D.
Explain test procedure
Complete Step 1 of DOT BAT Form
Patient completes and si..tms Step 2 of DOT BAT Form - If patient refuses to sign the form, it
is considered a refusal to take the test. Note the refusal in the 'Remarks' section..
Verify seque~i~! test number on the EBT with the patient and doctunent in Step 3
Insert ticket when EBT message states to do so
Enter required information into EBT
Open sealed mouthpiece in vicw..of thc patient and attach to EBT
Collect breath sample by lining-ting the patient to talin a deep breath and blow'steadily into
the mouthpiece of at least 6 seconds or until adequale sample bas been obtained
Show patient the result displayed on the EBT
Date and Sign the certification in Step 3
Sign Evidence Ticket
Have patiem read, sign and dat~ the certification in Step 4 - If patient has already given a
breath s~mple but does not w~m to sign it is NOT considered a refusal; but you must note
that the patient refused to sign in the 'Remarks' section.
Attach EBT Ticket copies to the designamd space on appropriate copies of DOT BAT Form.
Distribute copies as follows:
Copy 1 - Employer (Co~dcnfial-Phone Call, FAX, MaR or In Person as noted in
protocol)
Copy 2 - Employee
Cop~ 3 - Forward to MRO Office (G1-BH). If done with a SAMHSA drug screen
attach to MRO copy of chain of Ctlstody.
~ (.02 or greater): confirmation Test as follows:
Observe 15 minute waiting period and explain restrictions to .activities during this time l~riod
If patient has not complied with instructions during the waiting period, note in 'Remarks'
section .-
Continue with testing procedure
Usc 'a new mouthpiece which has been Ol~-ned in view of the patient
Collect breath ssmpl¢ and show patient the result displayed on the EBT
Have patient read, sign and date the certification in Step 4 - If patient has already given a
breath sample but does not want to sign it is NOT considered a refusal; bnt you must note
that the patient refiLsed to sign in the 'Remarks' section.
Attach EBT Ticket copies to the designated space on appropriate copies of DOT BAT Form.
Distribute copies as follows:
Copy 1 - Employer (Confidential-Phone Call, FAX, Mail or In Person as noted in
protocol)
'Cop~ 2 - l:-mployee
Copy 3 - Forward to MRO Office (G1-BH). If done with a SAMHSA drag green
attach to MRO copy of chain of custody
Ensure IMMEDIATE transmission of results to employer to allow employer to prevent the
employee from performing safety-sensitive function.
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i
PROOF
I'"") M,*li~m
~uill.
DRUGS OF ABUSE LABORATORY PROCEDURES T,'I
J~ll).JJ()~.(i I JJl)
EMIT METHOD INFORMATION
The name EMIT stands for Enzyme-Multiplied Immunoassay Technique. This
technique is used for the microanalysis of drugs in biological fluids. Urine is mixed
with two reagents. Reagent #1 contains antibodies specific to the particular drug,
the coenzyme NAD (nicotinamide adenine dinucleotide) and the substrate G6P
(glucose 6 phosphate). Reagent #2 contains a drug derivative labeled with the
enzyme G-6PHD (glucose 6 phosphate dehydrogenase). Reagent #1 is added to
the sample and the antibody binds to any drug molecule in the donor sample it
recognizes. Reagent ~ is added next and the enzyme labeled drug combines with
any remaining antibody; the binding decreases the enzyme label activity. The
enzyme that remains unbound (therefore still active) relates directly to the
concentration of drug in the sample. The active enzyme converts NAD to NADH,
resulting in an absorbency change that is measured spectrophotometrically.
GAS CHROMATOGRAPHY-MASS SPECTROMETRY (GC/MS)
GC/MS is an analytical technique which allows one to separate substances based
on their differential migration rate through a gas chromatographic column and then,
virtually unequivocally, identify them based on their mass spectrum and the
migration time. The technique has been generally accepted as a reference method
for legal applications. GC/MS does have limitations related to sensitivity, the range
of masses measurable and the requirements for sample volatility and thermal
stability. ;
In general, however, for drug analysis, GC/MS is the most specific method
available.
The GC/MS in use in the Laboratory 'of Pathology is a Hewlett-Packard model, 5970
B, which uses electron bombardment to produce a 'finger pdnt" mass spectrum of
each analyte as it elutes from the capillary column in the gas chromatography. An
on-board computer correlated the mass spectrum with a stored library of
compounds and produces a report of the probable substances in the sample.
GC/MS is used as a confirmation of positive EMIT screens in our laboratory.
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APPENDIX 'C'
The Effects of Drug and Alcohol Use
APPENDIX C
EFFECTS OF DRUG AND ALCOHOL USE
This introductory section summarizes the data from the individual fact sheets that follow for use as a
quick reference on the signs and symptoms of drug and alcohol abuse and the effects of abuse on the
workplace and on the employee's personal life.
Substance AbUse Issues
· Drug and alcohol abuse
· Use and misuse of prescription and over-the-counter medication
· Drug traffic~g and dealing
· Emotional distress and illness
· Physical illness and chronic health conditions
· Lifestyle issues (lack of sleep, poor diet, lack of exercise, etc.)
Recognition of drug or alcohol abuse requires being alert for any performance that is unsafe or
unproductive. The ability to recognize the obvious signs and symptoms of use (e.g., obvious
intoxication or impairment) is not sufficient to deal with the more subtle manifestations of substance
abuse. Unfortunately, the problem is usually out of control by the time overt signs and symptoms
appear.
Most drug and alcohol related employee problems should not be surprises. A deterioration in work
performance and attitude will usually precede a drug or alcohol related crisis.
Signs and Symptoms of Abuse
The first indicators of drug use within the workforce may not point directly to specific employees or to
substance abuse. Drug .use generally results in performance 'indicators which are similar to those
attributable to job stress, overwork, fatigue, or emotional problems. To make recognition even more
difficult, drug and alcohol-abusing employees develop survival skills for avoiding detection. '-Therefore,
you should be aware of the following general indicators of substance abuse:
Absenteeism. Tardiness or excessive use of sick time may be seen. Drug and alcohol affected
employees are absent an average of two to three'times more than non-affected employees.
Staff Turnover. Chemically dependent people have disorganized lives. Many quit rather than face
detection. Others transfer or are fired for poor and unsafe performance.
Lower productivity. Studies have shown drug and alcohol affected employees perform at about two-
thirds of their actual work potential.
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Equipment breakdown. Substance-abusing employees lose interest in maintenance of equipment and
may use broken equipment as a means to avoid work.
Poor work quality. Examples of shoddy work, rework, and material wastage may be evident. Mental
and physical agility and concentration deteriorate with substance abuse.
Poor morale. Chronic drug abuse creates wide mood swings, anxiety, depression, and anger. Other
employees often see drug abusers as poor team workers and safety hazards.
Increased accidents and near m'~sses. Impaired employees are 3.6 times more likely to cause an
accident. Even small quantities of drugs in the system, as well as the hangover effect, can cause a
deterioration of alertness, clear rnindedness, and reaction speed.
Theft of equipment nnd material. Drugs are expensive. Cocaine costs up to $135 a gram. One
ounce of high potency marijuana costs $85 to $125. At the same time that drug abusers need money,
their loyalty and dedication to their employers is weakened as their value systems and judgment are
affected by the drug.
Drug Effects
Drug and alcohol abuse affect a person physically and mentally. These effects occur not only during
intoxication (from one to 24 hours at, er intake), but also show up in residual hangover, fatigue
rebounds, and mental impairment. Other physical and mental effects may include: ·
· Slow reactions
· Poor coordination
· Fatigue
· Delayed decision making
· Erratic judgment quality
· Confusion
· Learning difficulty
· Poor memory
· Loss of concentration
· Depression or anxiety
· Difficulty in sorting out priority tasks from non-essential activity
· Neurotic or psychotic behavior
· Refusal to accept authority.
Behavioral Sil~ns
When general performance or behavior problems are noted in an employee, the following may indicate
the involvement of drug or alcohol use;
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A sudden change, usually for the worse (change in attitude, work performance or behavior)
· A "lackadaisical" or "I don't care" attitude (often an indication of marijuana use)
· Deteriorating or erratic performance
· Hangover symptoms
· Drug culture jargon
· Secretive behavior
· Wanting to be alone, avoiding "straight" workers
· Forgetfulness, indecision, and erratic judgement
· Impulsive and temperamental behavior
· Changes in personal appearance and hygiene
· Jitters, hand tremors, hyperexcitability
· Carelessness
· Sleeping on the job
Note that each symptom, by itse~ may point to problems other than drug abuse. But, when a pattern
begins to develoP, the supervisor or manager needs to be alert and act quickly. When fueled by drug or
alcohol abuse, these behaviors can lead to greater absenteeism~ higher operafin8 costs, serious
production problems, and a definite increase in accidents and health care costs.
Specific Evidence of Use
Signs and symptoms pointing directly to serious substance abuse include the following:
· Paraphernalia. Needles, balloons, aluminum foil wrappers, cocaine sniffing toOls, marijuana
smoking pipes and holders, drug containers obviously not used for legitimate purposes.
Presence of drugs. Plastic sandwich bags of marijuana, small containers of tablets or capsules,
or vials or envelopes of powder. Empty beer, wine, and liquor bottles.
Physical Symptoms .
Observable physical signs and symptoms usually are not apparent until the employee's abuse of drugs or
alcohol has reached a level that is compulsive. The employee then is less able to disguise the physical
indicators of use. With greater use, there is often carelessness caused by a clouded mental state.
Specific physical signs and symptoms include:
· Blood spots on shin-sleeves (indicating intravenous needle use)
· Bloodshot or watery eyes (usually caused by marijuana use)
· Changes in speech
· Hand tremors
· Intoxicated behavior
· Odor of alcohol on breath
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· Odor of marijuana smoke
· On-the-job, out-in-the-open drug use
· Poor coordination
· Racing hearL irregular rhythms (Cocaine and amphetamines olden cause the heart to react
unpredictably.)
· Runny nose or sores around nostrils (c~.ssed by chror~¢ snorting of cocaine)
· Sleeping on the job
· Slow reactions
· Slurred speech
· Unsteady gait
· Very large or smaU pupils (Narcotics and depressants will cause the pupils to constrict. Cocaine
and amphetanfines will cause the pupils to dilate.)
· Wearing sunglasses indoors.
Common Sites for Use
· Lunchroom and lounge areas
· Parking lots and cars
· Remote areas of the worksite
· Equipment or storage rooms
· Restrooms
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Marijuana Fact Sheet
Marijuana is one of the most misunderstood and underestimated drugs of abuse. People use marijuana
for the mildly tranquilizing and mood and perception altering effects it produces. Marijuana does not
depress central nervous system reactions. Its action is almost exclusively on the brain, altering the
proper interpretation of incoming messages.
Description
· Usually sold in plastic sandwich bags, leaf marijuana will range in color bom green to fight tan.
The leaves are usually dry and broken into small pieces. The seeds are oval with one slightly
pointed end. Less prevalent, hashish is a compressed sometimes tarlike substance ranging in
color from pale yellow to black. It is usually sold in small chunks wrapped in aluminum foil.
· Marijuana has a distinctly pungent aroma resembling a combination of sweet alfalfa and incense.
· Cigarette papers, roach clip holders, and small pipes made of bone, brass or glass are commonly
found. Smoking "bong" (large bore pipes for inhaling large volumes of smoke) can easily be
made from soft drink cans and toilet paper rolls.
Signs and Symptoms of Use
· Reddened eyes (often masked by eye drops)
· Slowed speed
· Distinctive odor on clothing
· Lackadaisical "I don't care" attitude
· Chronic fatigue and lack of motivation
· Irritating cough, chronic sore throat
Health Effects
General :
· When marijuana is smoked, it is irritating to the lungs. Chronic smoking causes emphysema-like
conditions.
· One cigarette (joint) of marijuana contains cancer causing substance equivalent to one-half to
one pack of cigarettes.
· One joint causes the heart to race and be overworked. People with undiagnosed heart
conditions are at risk.
· Marijuana is commonly contaminated with fungus Aspergillus, which can cause serious
respiratory tract and sinus infections.
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· Marijuana smoking lowers the body's immune system response making users more susceptible t~
infection. The U.S. government is actively researching a possible connection between marijum.
smoking and the activations of AIDS in positive human immunodeficiency virus (H]~) carriers.
· Chronic smoking causes changes in brain cells and brain waves. In essence, the brain is less
healthy and does not work as efficiently or effectively. Does long-term brain damage occur?
More research is required, but the probable answer is yes.
Pregnancy Problems and Birth Defects
· The active chemical, tetrahydrocannabinol (THC), and 60 other related chemicals in marijuana,
concentrate in the ovaries and testes.
· Chronic smoking of marijuana in males causes a decrease in the sex hormone, testosterone, and
an increase in estrogen, the female sex hormone. The result is a decrease in sperm count, which
can lead to temporary sterility. Occasionally, the onset of female sex characteristics including
breast development occurs in heavy users.
· Chronic smoking of marijuana in females causes a decrease in fertility and an increase in
testosterone.
· Pregnant women who are chronic marijuana smokers have a higher than normal incidence of
stillborn births, early termination of pregnancy, and higher infant mortality rate during the fu~t
few days of life.
· In test animals, THC causes birth defects, including malformations of the brain, spinal cord,
forelimbs, liver, and water on the brain and spine.
· Offspring of test animals who were exposed to marijuana have fewer chromosomes than norm~
causing gross birth defects or death of the fetus. Pediatricians and surgeons are concluding that
the use of marijuana by either or both parents, especially during pregnancy, leads to specific birth
defects of the infant's feet and hands.
· One of the most common effects of prenatal cannabinoid exposure is underweight newborn
babies.
· Fetal exposure may decrease visual functioning and cause other ophthalmic problems.
Mental Function
Regular use can cause the following effects:
· Delayed decision making
· Din~nished concentration
· Impaired short-term memory, interfering with learning
· Impaired signal detection (ability to detect a brief flash of light), a risk for users who are
operating machinery
· Impaired tracking (the ability to follow moving objects with the eye) and visual distance
measurements
· Erratic cognitive function
· Distortions in time estimation
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· Long term negative effects on mental function known as "acute brain syndrome" which is
characterized by disorders in memory, cognitive function, sleep patterns, and physical condition.
Acute/Overdose Effects
· Aggressive urges
· Anxie~
· Confusion
· Fearfulness
· Hallucinations
· Heavy sedation
· b-mnobility
· Mental dependency
· Panic
· Paranoid reaction
· Unpleasant distortions in body image
Workplace Issues
· The active chemical, THC, stores in body fat and slowly releases over time. Marijuana smoking
has a long-term effect on performance.
· A 500 to 800 percent increase in THC potency in the past several years makes smoking three to
five joints a week today equivalent to 15 to 40 joints a week in 1978.
· Combining alcohol or other depressant drugs and marijuana can produce a multiplied effect,
increasing the impairing effects of both the depressant and marijuana.
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COCAINE FACT SHEET
Cocaine is used medically as a local anesthetic. It is abused as a powerful physical and mental stimulant.
The entire central nervous system is energized. Muscles are more tense, the heart beats faster and
stronger, and the body burns more energY. The brain experiences an exhilaration caused by a large
release of neurohormone associated with mood elevation.
Description
® The source of cocaine is the coca bush, grown almost exclusively in the mountainous regions of
northern South America.
· Cocaine Hydrochloride - "snorting coke" is a white to creamy granular or lumpy powder that is
chopped into a fine powder before use. It is snorted into the nose, rubbed on the gums, or
injected in veins. The effect is felt within minutes and lasts 40 to 50 minutes per "line" (about (50
to 90 milligrams). Common paraphernalia includes a single edged razor blade and a small mirror
or piece of smooth metal, a half straw or metal tube, and a small screw cap vial or folded paper
packet containing the cocaine.
· Cocaine Base - "rock, crack, or free base" is a small crystalline rock about the size of a small
pebble. It boils at a low temperature, is not soluble in water, and up to 90 percent pure. It is
heated in a glass pipe and the vapor is inhaled. The effect is felt within seven seconds. Common
paraphernalia includes a "crack pipe" ( a small glass smoking device for vaporizing the crack
crystal) and a lighter, alcohol lamp, or small butane torch for heating.
Signs and Symptoms of Use
· Financial problems
· Frequent and extended absences from meetings or work assignment
· Increase physical activity and fatigue
· Isolation and withdrawal from friends and normal activities
· Secretive behaviors, frequent non-business visitors, delivered packages, phone calls
· Unusual defensiveness, anxiety, agitation --
· Wide mood swings
· Runny or irritated nose
· Difficulty in concentration
· Dilated pupils and visual impairment
· Restlessness
· Formication (sensation of bugs crawling on skin)
· High blood pressure, heart palpitations, and irregular rhythm
· Hallucinations
· Hyperexcitability and overreaction to stimulus
· Insomnia
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· Paranoia and hallucinations
· Profuse sweating
Talkativeness
Health Effects
· Research suggests that regular cocaine use may upset the chemical balance or,he brain. As a
result, it may speed up the aging process by causing irreparable damage to critical nerve cells.
The onset of nervous system illness such as Parkinson's disease could also occur.
· Cocaine use causes the heart to beat faster and harder and rapidly increase blood pressure. In
addition, cocaine causes spasms of blood vessels in the brain and heart. Both effects lead to
ruptured vessels causing strokes and heart attacks.
· Strong psychological dependency can occur with one "hit" of crack. Usually, mental
dependency occurs within days (crack) or within several months (snorting coke). Cocaine
causes the strongest mental dependency of any known drug.
· Treatment success rates are lower than for other chemical dependencies.
· Cocaine is extremely dangerous when taken with depressant drugs. Death due to overdose is
rapid. The fatal effects of an overdose are not usually reversible by medical intervention. The
number of cocaine overdose deaths has tripled in the last four years.
· Cocaine overdose was the second most common drug emergency in 1986-up from 1 lth place in
1980
Workplace Issues
· Extreme mood and energy swings create instability. Sudden noises can cause a violent reaction.
· Lapses in attention and ignoring warning signals greatly increase the potential for accidents.
· The high cost of cocaine frequently leads to workplace theft and/or dealing.
· A developing paranoia and withdrawal create unpredictable and sometimes violent behavior.
· Work performance is characterized by forgetfulness,.absenteeism, tardiness, and missed
assignments.
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AMP~T~ FACT
Amphetamines are central nervous system stimulants that speed up the mind and body. The physical
sense of energy at lower doses and the mental exhilaration at higher doses are the reasons for their
abuse. Although widely prescribed at one time for weight reduction and mood elevation, the legal use
of amphetamines is now limited to a very narrow range of medical conditions. Most amphetamines that
are abused are illegally manufactured in foreign countries and smuggled in the U.S. or clandestinely
manufactured in crude laboratories.
Description
· Amphetamine ("speed") is sold in counterfeit capsules or as white, flat, double scored "mini
bennies." It is usually taken by mouth.
· Methamphetamine ("meth, .... crank," or "crystal") is nearly identical in action to amphetamine.
It is often sold as a creamy white and granular powder or in lumps and is packaged in aluminum
foil wraps or sealable plastic bags. Methamphetamine may be taken orally, injected, or snorted
into the nose.
Signs and Symptoms of Use
· Hyperexcitability, restlessness
· Dilated pupils
· Increased heart rate and blood pressure
· Hear~ palpitations and irregular beats
· Profuse sweating
· Rapid respiration
· Confusion
· Panic
· Talkativeness
· Inability to concentrate
Health Effects
· Regular use produces strong psychological dependence and increasing wlerance.
· High doses may cause toxic psychosis resembling schizophrenia.
· Intoxication may induce a heart attack or stroke due to spiking of blood pressure.
· Chronic use may cause heart and brain damage due to severe constriction of capillary blood
vessels.
· The euphoric stimulation increases impulsive and risk taking behaviors, including bizarre and
violent acts.
· Withdrawal from the drug may result in sever physical and mental depression.
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Workplace Issues
Since amphetamines alleviate the sensation of fatigue, they may be used to increase alertness
because of unusual overtime demands or failure to get rest.
· Low dose amphetamine use will cause a short term improvement in mental and physical
functioning. With greater use or increasing fatigue the effect reverses and has an impairing
effect. Hangover effect is characterized by physical fatigue and depression, which make
operation of equipment or vehicles dangerous.
C-Il
OPIATES (NARCOTICS) FACT SltEET
Opiates (also called narcotics) are drugs that alleviate pain, depress body functions and reactions, and
when taken in large doses, cause a strong euphoric feeling.
Description
· Natural and natural derivatives - opium, morphine, codeine, and heroin
· Synthetics - meperidine (Demerol), oxymorphone (Numorphan), and oxycodc~ne (Percodan)
· May be taken in pill form, smoked, or injected depending upon the type of narcotic used.
Signs and Symptoms of Use
· Mood changes
· Impaired mental functioning and alertness
· Constricted pupils
· Depression and apathy
· Impaired coordination
· Physical fatigue and drowsiness
· Nausea, vomiting, and constipation.
Fle~lth Effects
· . IV needle users have a high risk for contrac~g hepatitis and AIDS due to the sha~g of needles
· Narcotics increase pain tolerance. As a result, people could more severely injure themselves or
fail to seek medical attention a.~er an accident due to the lack of pain sensitivity.
· Narcotics' effects are multiplied when used in combination with other depressant drugs and
alcohol, causing increased risk for an overdose.
Social Issues -'
· There are over 500,000 heroin addicts in the U.S., most of whom are IV needle users.
· An even greater number of medicinal narcotic dependent persons obtain their narcotics through
prescriptions.
· Because of tolerance, there is an ever increasing need for more narcotic to produce the same
effect.
· Strong mental and physical dependency occurs.
· The combination of tolerance and dependency creates an increasing financial burden for the user.
Costs for heroin can reach hundreds of dollars a day.
C-12
Workplace Issues
· Unwanted side effects such as nausea, vomiting, eliv-~i~ess, mental clouding, and drowsiness
place the legitimate user and abuser at higher risk for an accident.
· Narcotics have a legitimate medical use in alleviateling pain. Workplace use may cause
impairment of physical and mental functions.
C-13
PHENCYCLIDINE (PCP) FACT SHEET
Phencyclidine (PCP) was originally developed as an anesthetic, but the adverse side effects preVented its
use except as a large animal tranqu~er. Phencyclidine acts as both a depressant and a hallucinogen,
and sometimes as a stimulant. It is abused primarily for its variety of mood altering effects. Low doses
produce sedation and euphoric mood changes. The mood can change rapidly from sedation to
excitation and agitation. Larger doses may produce a coma-like condition with muscle rigidity and a
blank stare with the eyelids half closed. Sudden noises or physical shocks ma~ cause a "freak out" in
which the person has abnormal strength, extremely violent behavior, and an inability to speak or
comprehend communication.
Description
· PCP is sold as a creamy, granular powder and often packaged in one inch square aluminum foil
or folder paper "packets."
· It may be mixed with marijuana or tobacco and smoked. It is sometimes combined with
procaine, a local anesthetic, and sold as imitation cocaine.
Siens and Symptoms of Use
· Impaired coordination
· Severe confusion
· Extreme mood shi~s.
· Muscle rigidity
· Nystagmus (jerky eye movements)
· Dilated pupils
· Profuse sweating
· Rapid heartbeat
· Dizziness
Health Effects
· The potential for accidents and overdose emergencies is high due to the extreme mental effects
combined with the anesthetic effect on the body.
· PCP is potentiated by other depressant drugs, including alcohol, increasing the likelihood of an
overdose reaction.
· Misdiagnosing the hallucinations as LSD induced, and then treating with Thorazine, can cause a
fatal reaction.
· Use can cause irreversible memory loss, personality changes, and thought disorders.
C-14
Workplace Issues ~
· PCP abuse is less common today than in recent years. It is also not generally used in a
workplace setting because of the severe disorientation that occurs.
· There are four phases to PCP abuse. The first phase is acute toxicity. It can Iast up to three
days and can include combativeness, catatonia,' convulsions, and coma. Distortions of size,
shape, and distance perception are common. The second phase, which does not always follow
the first, is toxic psychosis. Users may experience visual and auditory delusions, paranoia, and
agitation. The third phase is a drug induced schizophrenia that may last a month or longer. The
fourth phase is PCP induced depression. Suicidal tendencies and mental dysfunction can last for
months.
C-15
DEPRESSANT DRUGS FACT
NOTE: Depressants are not one of the t'we drugs the County may test for under the DOT rules.
However, under other County policy and/or practice, the County may take action against an
employee who tests positive for the use of depressant drugs and/or where reasonable suspicion
exists that the employee is using depressant drugs,
There are many drugs that slow down the mind and body and can seriously impair an individual's ability
to do safe work. Most depressant drugs have a legitimate medical use, but, when taken in large doses,
can produce a drunken-like stupor.
Description
· Sedatives - barbiturates such as Amytal, Tuinal, Seconal, Nembutal, Phenobarbital; non-
barbiturate sedatives such as Dalmane, Doriden, Noludar, Placidyl, Methaqualone ("quaaludes'
or "ludes')
· Minor Tranquilizers - Librium, Valium, Equanil, Serax, 'Sinequan
Siens and Systems of Use
· Sedation, drowsiness, sleep
· Mental confusion
· Inattention
· Slurred speech
· Staggering, loss of balance
· Lowered blood pressure
· Depressed respiration'
Health Effects
· Strong mental and physical dependency develops.
· Tolerance and potentiation is seen with all other depressant drags (including alcohol), greatly
increasing the dose/intoxication response and causing accidental overdose deaths. --
· Withdrawal may cause extreme excitation and panic and usually requires medical supervision.
Workplace Issues
Minor Tranquilizers
· Decreased vision and hearing acuity
· Decreased vigilance, concentration, and sustained attention
· In low doses, reaction time is unaffected
· Impaired short-term memory and learning difficulty
C-16
S~dativ~
· Impaired visual tracking ability
· Decreased vigilance
· Slowed reaction time
· Impaired hand-eye coordination and manual dexterity
· Impaired cognitive abilities including long term memory and arithmetic calculations
· Impaired communication ability
dotapp~.doc
8/95
C-17
APPENDIX 'D'
FORMS
Association of Washington Cities
Drug and Alcohol Testing Consortium
Employees Subject to Random Testing
Agency Name:
· Please list each covered employee by social security #, last name, first name and middle initial.
· Check if the employee is covered under Federal Highway Administration (FHWA), Federal Transit Administration
(FTA) or both.
· Please indicate with a "y" for yes if the covered employee is also a supervisor.
ffJse Additional sheets if necessary)
So,iai Securlly # Last Name First Name MI FI-FvYA FTA Supervisor
After completing this form, return to: Association of Washington Cities
1076 Franklin Street SE
Olympia, WA 98501
FAX: (360) 753-4896
I certify that the above information is correct and completely reflects our current list of employees
subject to drug testing.
Date:
First Contact: Title: Code Word:
[DC95:randmtst. rrm]
Association of Washington CRies
Drug and Alcohol Testing Consortium
Confidential Monthly Random Pool Update
Agency Name:
First Contact:
Mailing Address:
· You must add any new employees hired since the last report period. Place an 'A' in the Add/Delete box after any
additions.
· Check if the employee is covered under Federal Highway Administration (FHWA), Federal Transit Administration
(FTA) or both.
· Please indicate with a "y" for yes if the covered employee is also a supervisor.
· Employees no longer employed by your agency MUST be removed from the list. Place a "D" in the Add/Delete
box.
Use Additional sheets if necessary)
Sodal Security # Last Name First Name MI Add Delete FHWA FFA Supervisor
After completing this form, return to: Lisa Williams
Virginia Mason MRO Office
FAX: (206)223-2381
PO Box 900, MS: G1-BH
Seattle WA 98111
! certify that the above information is correct and completely reflects our current list of employees
subject to drug testing.
Date:
First Contact: Title: Code Word:
I~DC95 :upda~-~ ,frm]
Association of Washington CRies
Drug and Alcohol Testing Consortium
Record Retention Requirements
Members shall maintain all records related to drug and alcohol testing for ~ach driver in a secure
location with controlled access. Keep all documents sent by the laboratory or the collection site.
The following records shall be maintained for a minimum of five years:
a. Records of alcohol test rc~lts indi~ an alcohol concentration of .02 or
greater.
b. Records of verifu~d positive drug test results.
c. Documentation of refusal to take required alcohol and/or drug tests.
d. Evaluations and r~ferrals.
e. Copy of annual report.
Records related to alcohol and drug collection process and training shall be maintained for a
minirrlum of t~..o years.
Records of negative and c~ncelled drug test results and alcohol test rezults with a concentration
of less than 0.02 shall be maintained for a minimum of o~e year.
No records containing driver information required by this policy will be released except as
provided as follows:
a. Upon written request of the employee.
b. Upon written authorization of the employee, records will be disclosed to a
subsequent employer subject to use az specified by the employee.
c. Upon specific, written authorization by the employee, records will be released to
an identified person, for use only as specified by the employee.
d. Records may be disclosed to a decisionmakcr in a lawsuit, grievance, or other
proceeding initiated by or on behalf of the employee, including, but not limited
to, a worker's compensation, unemployment compensation or other proceeding
relating to a benefit sought by the driver.
SUPERVISOR TRAINING LOG
Agency:
Calendar Year:
The following is a list of all employees desig~a~ to demmine whether reasonable suspicion
exists to require a driver to undergo testing for drags and/or alcohol who have received at least
60 mi~lutes each of trainin! on alcohol misuse and drug use. The trainin~ covered the physical,
behavioral, speech, and performance indicators of probable alcohol mi.~lse ~ drtlg ~lse.
Drug/Alcohol Testing
Request Form
Employer should complete this form for each employee to be tested. Employee takes a copy of
form to local collection site. Employer keeps copy for files.
Name of Employee to be Tested Soc. Sec. Number
Agency
( )
Agency's Confidential Contact Person PhOne Number
Local Site Where Sample Will Be Collected Address
Employee Type (check one)
[~3 DOT covered employee [~] Non - DOT covered employee
fFTA/FHWA covered employee) ....
Test Required (check one)
[] Drug & Alcohol [] Drug only [] Alcohol only
Reason for Test (check one)
[~3 Pre-employment ['"l Post Accident [--] Follow-Up Testing
[] Random [] Reasonable Cause [] Return to Duty
[~] Other (specify)
For After Hours Requests Call: DrugProof 1-800-898-0180
elndicate that you ar~ with the AWC Consortium
®Provide your agency name and location
®DrugProof will instruct you where to take employee for testing or will arrange for mobile service.
Drug and Alcohol Testing
Consent Form
Date:
~mp!oyee Name:
Name of Supervisor
Requesting Ex~m'~
Name of Supervisor
Accompanying ~mployee:
Medical Consent: I consent to the co~ection of breath/urine samples by an authorized
breath alcohol technician and/or laboraWry staff to determine the presence of alcohol
andlor drugs, if any.
Authorization to Release InfOrmation: I authorize said laboratory to release any and all
medical information obtained during this testing procedu~ to
Name of Agmcy
I understand that my alteration of this consent form; refusal to consent or cooperate fully
with the collection of breath/ur/ne samples; my tamper/ag with any such samples; or my
refusal to authorize release info _rmation constitutes insubordination, violates thc drag and
alcohol testing policy and maybe grounds for termination.
I also understand that a positive result on these tests is grounds for discipl/nary action.
Employee Signature: Date:
Supervisor Signature: Date:
Supervisor Printed Name:
· SAlVlPT~
Employee Notification of Scheduled Drug Test
Fmployee Name: Covered, Employee
Employee ID: SSg
Test Date:
Work Location:
Occupation:
Collection Site:
Your name has been selected, for urinalysis drag testin~ by a computerized pwgram of
random selection. Your selection does not imply that this agency has a specific cause to
suspect you of using illegal drags. Nonetheless, the DOT regulations and this agency's
Drug and Alcohol Testing Program, require that the random testing urine specimen must
be collected.
You may provide the 60 ml (2 oz) urine specim~ in the privacy of a stall. If you are
unable to provide a specimen of sufficient quantity, you will be given a waiting period and
encouraged to drink water. If you are not able to provide the specimen within the waiting
period, you will be deemed to have refused to provide the specimen.
If you refuse to provide the specimen, adulterate the .sample, substitute the urine of'
another person, or fail the drag test, you will be subject to consequences as specified in
the drug and alcohol testing policy.
Please bring your driver's license or other photo-identification with you for identification
at the collection facility. A copy of this NOTICE must also be presented at the collection
facility. This copy will be retained in your confidential drug testin~ fries, together with
the Medical Review Officer's final determination of the drug test results.
Please sign the bottom of this notice to acknowledge its receipt.
Employee Signature: Date/Time:
IDCgS:m~moc fnnI
Authorization to Conduct
Reference Check
Commercial Vehicle Drivers
I hereby reques~ and authorize the , acting by and through ils
Name of Agency
designated represenarive, to contact all previous employers and supervisors for whom I
have performed safety-sensitive functions as a commercial vehicle driver, in order w
access any and all informa/wn regarding my commercial drivin~o records.
I expressly authorize the to request information from the
Name of Agency
previous two years regarding the following:
· alcohol tests with results .04 or grea~r
· positive ~-st results for conn'olled substances
· documentation of any refusals to be ~es~--d
I understand that the may provide a copy of this form to
Name of Agency
presem and previous employers and others that I have identified as appropriate references
to indicate that this information is being obtained at my request.
$ignamre
Prinmi Name Da~e
Consent to Disclose Information
for Reference Checks
Commerce! Vehicle Drivers
I hereby request and auflaori~ the , ac~inE by and through its
Name of Age~'y
designated represenative, to provide information concerning my commercial driving
records and compliance with Department of Tramportation rules and regulations applicable
to commercial license holders, to anyone conducting a reference check for potential
employment.
I expressly authorize the to provide information from the
Nam~ of Age~y
previous two years, in writing, concerning the following:
· alcohol test results of ~04 or greater
· positive test results for controlled substances
· documentation from the last two years of any refusals to be tested
I hereby acknowledge that the above information is being disclosed at my express request
and that I will make no claim whatsover against the agency, its agents, or employees
arising out of disclosure of such information regarding my commercial driving records.
I understand that the may provide future reference seekers :
Name of Agency
with a copy of this form, to indicate that this information is being provided at my request.
Signature
Printed Name Date
Impaired Behavior Incident Report Form
Use tiffs checid/st to descr/be the observed behavior that causes you to believe the employee's job performance is
ira.haired..Pl'ovide additiohal information in each comment secfioll as llecessary. You do not need w write in
complete sentences. Attach this form to the Testing Consent form. This checklist is to be kept confidential and
should be placed ia the employee's chug and alcohol testing file.
Name of employee:
Location of employee while/mpa/red:
Time impairment first observed: am/pm How long did you obse~¢:
Names of other witnesses:
Did anyone complain to you about the employee's impaired behavior: If so, who:
Ch.~-kl!~ of Possible Behaviors
· Physical w=n.erisms changed or unusual (mggering, gesutres, posture)
· Alcohol on breath
· Excessive fatigue
· Out-of-control displays of emotion
· Unusual fear
· Memory problems (difficulty recallin~ iusmacfions, dala, procedures)
· Engaged in verbal or physical abusiveness
· Excessive sweafiug or hand/foot tremor
· Responsible for serious safety or security violation
· Caused or involved in serious accident or near miss
· Demanding, rigid, inflexible behavior(s)
· Clearly refused to do assigned work (when mixed with other behaviors)
· .Made significant exror(s)
· Behavior which disrupted woridlow
· Interfered with or ignored established procedur~
· Complaints by co-workers or subordinates
Descr/be Incident:
Comments or Statements by Employee Indicating Possible Impairment:
Employee's Explanation for Impairment:
Supervisor's or Witness' Signature
Time' am/pm, Date
I I I I
Vehicular Incident Reporting Procedure
Supervisor's Checklist
When a commercial vehicle driver is revolved in an accident with a commercial vehicle that
results in either 1) a falality or 2) a moving violation citation and injury to some person or
damage to one or more vehicles severe enough to require towing from the scene, the
employees who hold commercial licenses, and who may have been responsible for the
accideni, must submit to alcohol and drug testing in accordance with Department of
Transportation rules and regulations. The following procedures have been developed to assist
you in dealing with this t~jpe of an accident and should be immediately implemented.
In the event of an accideni, please com,nlete the following checklist:
· Ensure that if the employee is injured, that he/she receives medical care. If seriously
injured, call 911 for assistance. After help arrives, follow the established procedures
for drug and alcohol testing.
· Notify the Ci~'s designated comact for drug and alcohol testing limt the accident
occurred and that the employee is being taken in for testing.
· Remind the employee that, in accordance with Deparlment of Transportation Rules,
they must make themselves available for drug and alcohol testing.
· Have the employee sign the Testing Consent Form authorizing drug and alcohol tests.
· If the employee refuses w sign the consent form, remind the employee that refusal to
test will be treated in the same manner as a positive, test mad handled accordingly.
Testing can occur without a signed consem form.
· Contact the collection site to let them know that you will be bringing ~he employee in
for a post-accident drug and alcohol test.
· Complete a Drug/Alcohol Testing Request Form and take the form with you to the
collection site.
· If the employee receives medical care, follow agency inswactions for filing a Worker's
Compensation claim.
[Da'~:sapvd~:.frm]
Vehicular Incident Reporting Procedure
Employee's Checkli.st
When you are involved in an accident involving a ~ommemial vehicle that results in either
1) a fatality or 2) a moving violation citation and injury to some person or damage to one
or more vehicles severe enough to require towing from the scene, and am'e is a possibility
that your actions or decisions might have contributed to the accident, you will be asked
to submit to alcohol and drag testing. In acco~ with Deparunent of Transportation
rules and regulations, this testing must be conducted. The following checklist has been
developed to help you anticipate what will occur following this type of an accident.
· If you are injured, ask someone to call 911.
· Notify supervisor immediately of the accident.
· Do not drink alcohol until an alcohol test has been administered if one is
determined to be necessary by your supervisor.
· In accordance with Depamnent of Transportation rules, your supervisor will ask
you to make yourself available for drug and alcohol testing.
· Your supervisor will ask you to sign a Consent Form authorizing a drug and
alcohol test.
· Proceed to the testing site with your supervisor or designee. "
· If you refuse to take a drug or alcohol test, based upon agency policy and the roles
and regulations of the Department of Transportation, you will be treated in the
same manner as if you had tested positive for drags and alcohol.
· If you receive medical care, follow agency instructions for filing a Worker's
Compensation claim.
Association of Washington Cities
Drug and Alcohol Testing Consortium
1076 Franklin Street SE
Olympis WA 98501
(360)753-4137 FAX (360)753-4896
DRAFT ANNUAL SUMMARY FORM
I Number of Covered Employees
DRUG TESTING INFORMATION
Pre-employment
Post accident/non-fatal
Post accident/fatal
Reasonable Suspicion
Return to Duty
Follow-up
Number of persons denied a position following a positive drug test
Number of employees retumed to duty following a positive drug test or refused a drug test
~ 'er of employees who refused to submit to a non-random drug test
Number of supervisors who received reasonable suspicion training
ALCOHOL TESTING INFORMATION
Pra-em;)loyment
Post accident/non-fatal
Post aCCaclent/fatal
Reasonable Suspicion
Return to Duty
Follow-up
Number of employees who engaged in alcohol misuse who were returned to duty in a covered
position after complying with SAP recommendations
Number of employees who were administered drug and alcohol tests at the same time resulting in a positive
drug test an an alcohol concentration of .04 or greater
Other Alcohol Violations
Number of Drivers Action Taken
Ddver used alcohol while ~lnving a commermal vehicle I
I Ddver used alcohol within 4 hours of driving a commercial vehiclI
D~ver used alcohol before takincj a post accident test ~
Number of employees who refused to submit to a non-random alcohcl test
Number of supervisors who received reasonable suspicion alcohol training