Alcohol & Drugs: DOT Compliance Manual (135M) PDF
Preview Alcohol & Drugs: DOT Compliance Manual (135M)
135-M (1993) 135-M (1993) Original content is the copyrighted property of J. J. Keller & Associates, Inc. ALCOHOL & DRUGS: DOT COMPLIANCE MANUAL Copyright 2014 J. J. Keller & Associates, Inc. 3003 Breezewood Lane P.O. Box 368 Neenah, Wisconsin 54957-0368 Phone: (800) 327-6868 Fax: (800) 727-7516 JJKeller.com Library of Congress Catalog Card Number: 9476787 ISBN 978-1-60287-684-2 Canadian Goods and Services Tax (GST) Number: R123-317687 All rights reserved. Neither the publication nor any part thereof may be reproduced in any manner without written permission of the Publisher. United States laws and Federal regulations pub- lished as promulgated are in public domain. However, their compilation and arrangement along with other materials in this publication are subject to the copyright notice. Printed in the U.S.A. Report Content Piracy 800-388-7478 www.siia.net/piracy ii 10/14 Original content is the copyrighted property of J. J. Keller & Associates, Inc. ALCOHOL & DRUGS: DOT COMPLIANCE MANUAL Introduction The issues surrounding alcohol and drug testing are multi-faceted and complex. There are the alcohol and drug testingrequirementsintheFederalMotorCarrierSafetyRegulations.Somestateshaveotherregulationsthatlimit or attach conditions on a testing program. Finally there are legal issues to consider when developing and imple- mentingtheprogram.Asidefromtheseconcerns,relationshipsmustbeestablishedwithoutsideorganizations. Thiscompliancemanualwillhelpyouunderstandthefederalregulationsandexploretherelatedissues. The manual contains a regulations summary — a detailed explanation of each major alcohol and drug program requirement.Theregulationsare“takenapart”andexplainedinstep-by-stepfashion.Startingwithabriefhistorical backgroundandanoverviewoftherules,wegetintothemajorcomponentsofthePart382requirementsincluding applicability,implementationdates,definitions,prohibitedactionsandtheirconsequences,andrequiredtests.From there we discuss the major components of the actual drug and alcohol procedures in Part 40. The publication also assistswithunderstandingrecordkeepingrequirements,informationconcerningpoliciesandtraining,andpotential legalimplications. Our intention is that this book will give you the basic “how-to-comply” information you need to get your program developed,implemented,andrunningsmoothly. Revision bars, like the one at the left of this paragraph, are used in this publication to show where significant changesweremadeonupdatepages.Therevisionbarnexttotextonapageindicatesthatthetextwasrevised.The dateatthebottomofthepagetellsyouwhentherevisedpagewasissued. Duetotheconstantlychangingnatureofgovernmentregulations,itisimpossibletoguaranteeabsoluteaccuracyof thematerialcontainedherein.ThePublisherandEditors,therefore,cannotassumeanyresponsibilityforomissions, errors,misprinting,orambiguitycontainedwithinthispublicationandshallnotbeheldliableinanydegreeforany lossorinjurycausedbysuchomission,error,misprintingorambiguitypresentedinthispublication. Thispublicationisdesignedtoprovidereasonablyaccurateandauthoritativeinformationinregardtothesubject mattercovered.ItissoldwiththeunderstandingthatthePublisherisnotengagedinrenderinglegal,accounting, or other professional service. If legal advice or other expert assistance is required, the services of a competent professionalpersonshouldbesought. TheEditors&Publisher J.J.Keller&Associates,Inc. iii 10/14 Original content is the copyrighted property of J. J. Keller & Associates, Inc. ALCOHOL & DRUGS: DOT COMPLIANCE MANUAL Published & Printed by J. J. Keller & Associates, Inc. 3003 Breezewood Lane, P.O. Box 368 Neenah, Wisconsin 54957-0368 Phone: (800) 327-6868 Fax: (800) 727-7516 JJKeller.com publishers ROBERT L. KELLER JAMES J. KELLER EDITORIAL vice president – editorial resources WEBBA. SHAW director – editorial resources PAUL V.ARNOLD project editor KATHY L. CLOSE sr. editorial manager – transportation BETTY J. B. WEILAND sr. editor – transportation management THOMAS E. BRAY sr. editor – transportation safety DAREN B. HANSEN sr. editor – hazardous materials transportation THOMAS J. ZIEBELL editor – transportation management RICHARD J. MALCHOW editor – transportation operations HEATHER L. NESS editor – transportation management ROBERT J. ROSE editor – transportation safety JILL M. SCHULTZ associate editor RANDALL J. SKOOG sr. metator/xml analyst MARY K. FLANAGAN sr. layout editor MICHAEL P. HENCKEL PUBLISHING GROUP chairman ROBERT L. KELLER vice chairman & treasurer JAMES J. KELLER president & ceo MARNE L. KELLER-KRIKAVA evp & chief operating officer RUSTIN R. KELLER chief financial officer DANAS. GILMAN sr. director of product development CAROLA. O’HERN sr. product development manager JENNIFER M. JUNG product development specialist ASHLEY C. PUCKER director of manufacturing TODD J. LUEKE sr. electronic publishing & prepress manager GERALD L. SABATKE The Editorial Staff is available to provide information generally associated with this publication to a normal and reasonable extent, and at the option of, and as a courtesy of, the Publisher. iv 10/14 Original content is the copyrighted property of J. J. Keller & Associates, Inc. ALCOHOL & DRUGS: DOT COMPLIANCE MANUAL REGULATIONS SUMMARY GENERAL First Rules: 1988-1990.........................................................................................1 Omnibus Transportation Employee TestingAct of 1991 ...................................................1 Revised FHWARules: 1992-1994.............................................................................3 Agreement With Mexico: 1998................................................................................4 Creation of New Motor Carrier/MotorcoachAgency: 2000.................................................4 Part 40 Revisions: 2000-2001 .................................................................................4 Part 382 Revisions: 2001 ......................................................................................5 USCG Moved to DHS: 2003...................................................................................5 Safety Performance History: 2004............................................................................5 PHMSACreated: 2005.........................................................................................5 Validity Testing: 2008..........................................................................................6 State-Reporting Requirements: 2010.........................................................................6 Lab Procedures and MRO Training: 2010...................................................................6 Clarification on Schedule I: 2012.............................................................................7 Constitutionality of the Regulations .........................................................................7 Applicability to Part 382.....................................................................................10 Part 382 Implementation Dates.............................................................................12 Definitions .....................................................................................................12 EmployeeAdmission ofAlcohol/Drug Use..................................................................16 Employee Test Notification...................................................................................17 Non-DOT Testing..............................................................................................17 What the Regulations Do Not Require .....................................................................17 PROHIBITIONS/CONSEQUENCES Alcohol Prohibitions............................................................................................1 Drug Prohibitions ..............................................................................................1 Actual Knowledge ..............................................................................................2 Refusal to Test..................................................................................................2 Consequences .................................................................................................2B Penalties.......................................................................................................10 Part 391........................................................................................................10 Part 392........................................................................................................11 DOT Office of Drug andAlcohol Policy and Compliance Notices ........................................14 TESTS REQUIRED Pre-Employment Testing ......................................................................................1 Post-Accident Testing..........................................................................................5 Random Testing ................................................................................................8 Reasonable Suspicion Testing..............................................................................12L Return-To-Duty Testing ......................................................................................15 Follow-Up Testing.............................................................................................16 v 10/14 Original content is the copyrighted property of J. J. Keller & Associates, Inc. ALCOHOL & DRUGS: DOT COMPLIANCE MANUAL TESTING PROCEDURES Alcohol Testing Procedures....................................................................................1 Drug Testing Procedures.....................................................................................11 RECORDKEEPING Security..........................................................................................................1 Required Records...............................................................................................1 Location of Records.............................................................................................3 Format of Records..............................................................................................3 MIS Data Collection............................................................................................5 Access to Facilities and Records..............................................................................9 Medical Review Officer Reporting and Recordkeeping .....................................................9 Employee Drug Test Result Notifications ..................................................................10 Previous Employer Test Information........................................................................10 INFORMATION AND TRAINING Policy Required.................................................................................................1 Supervisor Training............................................................................................3 Referral, Evaluation, and Treatment.........................................................................3 EMPLOYER PROGRAM IMPLEMENTATION EMPLOYEE POLICIES & PROCEDURES Program Preparation...........................................................................................1 Issues Common toAlcohol and Drug Testing................................................................2 Joining a Consortium..........................................................................................9 Drug Testing...................................................................................................17 Alcohol Testing Program .....................................................................................28 The SAP (SubstanceAbuse Professional) Function .......................................................29 EAPS & RELATED PROGRAMS What Exactly Is an EAP?......................................................................................1 What Types of EAPSAreAvailable?..........................................................................2 How Much Does anAverage EAP Cost? .....................................................................3 WhatAre the Benefits of an EAP? ...........................................................................4 How Does an EAP Work?......................................................................................5 Who Can Use the EAP Service? ..............................................................................5 What Steps Should We Take to Establish an EAP?........................................................5 WhatAbout Confidentiality?..................................................................................9 How Can We Encourage Utilization? .......................................................................11 WhatAbout Other Treatment and Rehab Programs?.....................................................11 What Other OptionsAreAvailable?.........................................................................13 Americans With DisabilitiesAct.............................................................................13 vi 10/14 Original content is the copyrighted property of J. J. Keller & Associates, Inc. ALCOHOL & DRUGS: DOT COMPLIANCE MANUAL SUPERVISOR TRAINING Training Considerations.......................................................................................1 Who Is a Supervisor? ..........................................................................................2 Training Content ...............................................................................................2 Training Specifications.........................................................................................7 Summary of Requirements...................................................................................16 Reasonable Suspicion – Step-By-Step.......................................................................16 Your Company’sAlcohol and Drug Policy ..................................................................38 ALCOHOL & DRUG EFFECTS Effects ofAlcohol ...............................................................................................1 HowAlcohol Impairs Functions Needed for Driving .......................................................7 Effects of Drugs.................................................................................................9 The Warning Signs of SubstanceAbuse....................................................................20 Detection Times...............................................................................................21 SAMPLE FORMS POLICY DEVELOPMENT AND IMPLEMENTATION Legal Considerations...........................................................................................3 Policy Guidelines...............................................................................................5 FREQUENTLYASKED QUESTIONS Introduction.....................................................................................................1 Questions andAnswers........................................................................................1 TEMPLATES Introduction.....................................................................................................1 Sample DOT Drug andAlcohol Policy for Drivers Subject to 49 CFR Part 382.........................1 Sample Policy: DOT Drug andAlcohol Training for Supervisors........................................26 DOT Post-Accident Decision Tree...........................................................................29 Sample SAP List..............................................................................................30 Sample Employer Random Testing Recordkeeping........................................................32 Sample Employer Recordkeeping of DOT Refusal to Be Tested .........................................36 Sample Chain of Custody Error Correction Forms........................................................38 CSA: DRUGS & ALCOHOL BASIC What Is CSA?...................................................................................................1 Controlled Substances andAlcohol BASIC.................................................................18 Using the Safety Management Cycle to LowerYour BASIC Score......................................22 LEGAL MATTERS EMPLOYMENT LAWS Introduction.....................................................................................................1 Equal Employment Opportunity Commission (EEOC).....................................................1 Americans With DisabilitiesAct..............................................................................3 Family and Medical LeaveAct ..............................................................................14 vii 10/14 Original content is the copyrighted property of J. J. Keller & Associates, Inc. ALCOHOL & DRUGS: DOT COMPLIANCE MANUAL LIABILITIES Introduction.....................................................................................................1 Read the Reg....................................................................................................1 Privacy Issues...................................................................................................2 Claims of Negligence...........................................................................................7 REGULATIONS PART 382—CONTROLLED SUBSTANCES AND ALCOHOL USE AND TESTING PART 40—PROCEDURES FOR TRANSPORTATION WORKPLACE DRUG AND ALCOHOL TESTING PROGRAMS PART 391—QUALIFICATIONS OF DRIVERS AND LONGER COMBINATION VEHICLE (LCV) DRIVER INSTRUCTORS INTERPRETATIONS Part 382 — Controlled substances and alcohol use and testing...........................................1 Part 40 — Procedures for Transportation Workplace Drug andAlcohol Testing Programs...........49 Informational Notice Regarding Certain Substituted Specimens........................................69 Part 40 — FrequentlyAsked Questions....................................................................73 Part 391 — Qualifications of Drivers and Longer Combination Vehicle (LCV) Driver Instructors..75 PROPOSALS REFERENCE TITLE V — OMNIBUS TRANSPORTATION EMPLOYEE TESTING ACT U.S. CODE SECTION 521 PART 199—DRUG AND ALCOHOL TESTING 49 CFR PART 219 — CONTROL OFALCOHOLAND DRUG USE PART 655—PREVENTION OFALCOHOL MISUSE AND PROHIBITED DRUG USE IN TRANSIT OPERATIONS CERTIFIED LABORATORIES Certified drug testing labs.....................................................................................1 NHTSA PRODUCT LISTS Breath testing devices .........................................................................................1 Calibration devices.............................................................................................5 Alcohol screening devices......................................................................................7 viii 10/14 Original content is the copyrighted property of J. J. Keller & Associates, Inc.
Description:The list of books you might like
