Risk Management Services

A Unit of the Business Affairs Division

Fleet Safety Policy APPENDIX B

THE UNIVERSITY OF ARIZONA CDL DRUG AND ALCOHOL TESTING POLICY AND PROCEDURES
Controlled Substance and Alcohol Testing November 9, 2004

POLICY STATEMENT

The University of Arizona is committed to a drug free campus and to enhanced roadway safety through compliance with federal regulations mandating drug and alcohol testing for employees whose jobs require a Commercial Driver's License (CDL). All University CDL drivers are prohibited from reporting for duty or remaining on duty to perform safety-sensitive functions while under the influence of alcohol or controlled substances.

REGULATORY AUTHORITY

Federal legislation entitled the Omnibus Transportation Act of 1991, which is now administered by the Department of Transportation's Office of Drug and Alcohol Policy and Compliance (ODAPC) for the Federal Motor Carrier Safety Administration (FMCSA). The federal rule is outlined 49CFR Part 40 and 382.

Related policies: University of Arizona Statement on Drug Free Schools and Campuses

CONTENTS     CDL DRUG AND ALCOHOL TESTING PROCEDURES

1. Scope (Covered employees) 2
1.1. Confidentiality Statement  
2. Responsibilities 2
2.1. Risk Management Services (RMS) 2
2.2. Department Management and Supervisors 3
2.3. Employees 4
2.4. Human Resources 4
2.5. Life and Workplace Connections 4
2.6. Funding Responsibilities 4
3. Alcohol Breath Testing 5
3.1. Consequences of an alcohol violation 5
4. Controlled Substance (Drug) Testing 6
4.1. Reporting of test results 6
4.2. Consequences of a controlled substance violation 7
5. Types of Testing 8
5.1. Preplacment 8
5.2. Random 9
5.3. Post-accident 10
5.4. Reasonable Suspicion 11
5.5. Return to Duty and Follow-up 12
6.Prohibited Behavior 13
6.1. Consequences for violating prohibited conduct rules 13
7. Definition of Safety Sensitive Functions 14
8. Recordkeeping 15

1. SCOPE

These procedures apply to all permanent, full or part-time, temporary and student employees required to maintain a Commercial Drivers License (CDL) to perform their job duties. A CDL is required for any driver who operates vehicles on public roadways that meet any of the following criteria:

  1. A vehicle in excess of 26,000 (GVWR);
  2. A vehicle designed to carry 16 or more passengers, including the driver;
  3. Any size vehicle used to transport placardable amounts of hazardous materials or any quantity of select agents as defined by the Centers for Disease Control.

Testing for controlled substances and alcohol misuse testing is required under a variety of situations that may arise on the job as shown in Table 1. Detailed requirements for each type of testing are presented in Section 5.

Table 1: Situations where Testing is Required

Type of Test Controlled  Substances   Alcohol 
Preplacement X  
Random X X
Post-accident X X
Reasonable suspicion  X X
Return-to-duty X X
Follow-up X X

1.1 CONFIDENTIALITY STATEMENT

Test results will be held confidential and will be made available only on a need to know basis to the tested employee's supervisor, department manager, RMS and Human Resources. Results will be made available to potential future employers, as required by law, only with signed authorization of the employee.

2. RESPONSIBILITIES

2.1 Risk Management Services (RMS)

Administers the CDL testing program by assigning a DER (Designated Employer Representative), including:

Liaison with supervisors, employees, sample collection clinics, laboratories, the medical review officer (MRO), substance abuse professionals (SAP) and third party service providers;

Maintains written policies and procedures for CDL drug and alcohol testing;

Keeps a list of current CDL drivers and their supervisors;

Chooses contractors for specimen collection, Medical Review Officer and random selection services;

Provides mandatory training for supervisors of CDL employees on the signs and symptoms of alcohol misuse and drug use and withdrawal to permit reasonable suspicion testing (together with Human Resources and Life & Work Connections)

Provides training information packets to new CDL drivers

Assists Human Resources and departments in managing the consequences of a positive test.

Maintains confidential recordkeeping

2.2 Department Supervisors and Managers

Ensure that all requirements of this program are met in their department;

Inform RMS of new CDL hires and those exiting the program;

Ensure new CDL hires receive training packet;

Ensure no new employee begins CDL safety-sensitive functions until receiving the results of a negative pre-placement drug test from RMS.

Ensure supervisors of CDL drivers complete mandatory training on the signs and symptoms of alcohol misuse, drug use and withdrawal to permit reasonable suspicion testing;

Ensure employees are tested are notified of required tests, and proceed directly to testing facility upon notification;

Initiate and document reasonable suspicion or post-accident testing, if indicated;

Report all accidents to RMS;

Remove employees who have engaged in prohibited activities from safety-sensitive functions.

2.3 Employees

Read mandatory training information packet and return signed receipt and to RMS;

Participate and remain available for all required drug and alcohol tests;

Refrain from prohibited practices;

Immediately report all accidents to their supervisor or other management official if the direct supervisor is not available.

2.4 Human Resources

Provides mandatory supervisor training on the employment and productivity implications of drug use or alcohol misuse for reasonable suspicion testing;

Advises departments on managing consequences of positive test results or other prohibited behavior.

2.5 Life & Workplace Connections

Provides voluntary confidential consultation for supervisors and employees on substance abuse and alcohol issues and information on community resources including SAPs (Substance Abuse Professionals);

Provides mandatory training for supervisors on the signs and symptoms of alcohol misuse and drug use and withdrawal to permit reasonable suspicion testing.

2.6 Funding Responsibilities

RMS provides coordinating oversight for the U of A's CDL compliance program. However, costs for pre-placement and recertification medical evaluations, and drug and alcohol testing are the responsibility of the employing department. Employees are responsible for paying for requested split sample analysis and for SAP evaluation and recommended treatment. See Table 2 below.

Table 2: Funding Responsibilities for CDL Compliance Testing

Type of Test or Medical Exam Funding Responsibility
Pre-placement or Recertification Medical Exam Employing Department
Drug and alcohol Testing (pre-placement, post-accident, random, return-to-duty and follow-up) Employing Department
Split-sample analysis of drug test, upon employee request Employee (Reimbursed by employing department if second test result is negative for drugs)
Evaluation by a SAP (Substance Abuse Professional) SAP recommended treatment Employee

3. ALCOHOL BREATH TESTING

Alcohol testing is performed using evidential breath testing (EBT) devices approved by the Federal Motor Carrier Safety Administration. Two breath tests are required to determine that a person is in violation. If a preliminary screening test records a level of 0.02% or greater alcohol concentration, a second test is required using an EBT that prints out the results, time and date, a sequential test number and the name and serial number of the EBT used. A measured alcohol concentration of 0.04% or greater represents a violation of the prohibited conduct rules, while a measured level between 0.02% but less than 0.04% represents a warning level, as summarized in Table 3.

3.1 CONSEQUENCES OF AN ALCOHOL VIOLATION

Employers must immediately remove employees who violate alcohol standards from safety-sensitive functions. Employees cannot return to such duties until they have been evaluated by a Substance Abuse Professional (SAP), complied with any treatment recommendations and have an acceptable return-to-duty test. The employee pays all costs associated with SAP evaluation and any recommended treatment. Any SAP chosen must demonstrate completion of specialized training for evaluation and treatment of CDL drivers.

Those employees with a warning level of alcohol of at least 0.02% but less than 0.04% must be removed from safety sensitive functions for 24 hours.

Table 3: Alcohol Test Results and Required Actions

Alcohol Breath Test Result Result Interpretation Action by Supervisor Employment Consequence
> 0.02% first test Second test required    
> 0.02% but < 0.04% (second test) Warning Immediately remove from safety sensitive duties for 24 hours  
    Future referral for reasonable suspicion testing if indicated  
> 0.04% (second test) Violation Immediately remove from safety sensitive duties Disciplinary action up to and including termination Cannot return to safety sensitive duties until 1. Evaluated by a SAP and 2. Complied with any treatment recommendations and 3. Have acceptable return-to-duty test

4.0 CONTROLLED SUBSTANCE (DRUG) TESTING

Controlled substance testing is conducted by analyzing an employee's urine specimen for the following five types of controlled substances:

  1. Marijuana (THC metabolite)
  2. Cocaine
  3. Amphetamines
  4. Opiates (including heroin)
  5. Phencyclidine (PCP)

The sample is collected in a location that affords privacy, typically in an occupational health clinic. A trained collector labels and seals the sample after dividing the specimen into 2 bottles that are labeled as a "primary" and a "split" sample. The collector also prepares a chain of custody document that is sent with the sample to a laboratory certified by the Substance Abuse and Mental Health Service Administration (SAMHSA).

The laboratory analyzes the primary sample, while the split sample is held by the lab for later analysis if needed. The testing is done in two stages. First a screening test is performed. If the test is positive for one or more of the controlled substances, then a second confirmation test is performed using state-of-the-art gas chromatography/mass spectrometry (GC/MS) analysis.

4.1 REPORTING OF TESTING RESULTS

All controlled substance test results are reviewed and interpreted by a specially trained physician, the Medical Review Officer (MRO), before being reported to RMS (see Figure 1). Results may be reported as negative, negative diluted, substituted, positive or a refusal and required actions for each type of result are summarized in Table 4.

If the lab reports a positive result to the MRO, the MRO contacts the employee in person or by telephone to determine if there is an alternative medical explanation for the controlled substance found in the employee's urine sample. If the employee provides appropriate documentation and the MRO determines that it is a legitimate medical use of the prohibited substance, the result is reported as negative to the University.

figure1

Figure 1: Drug Testing Results Reporting Flow Diagram

The MRO reports results to RMS. RMS will report results to the employing department (see Figure 1). Before informing RMS of a positive test result, the MRO will make every reasonable effort to confidentially contact the employee as described above.

If unable to confidentially contact the employee, the MRO shall contact RMS who will have the driver immediately contact the MRO to discuss the results. This must be done within 24 hours of MRO receipt of the results.

When notified of a positive test result, an employee has 72 hours to make a verbal or written request to the MRO to have the second split sample analyzed in accordance with the split sample collection procedure. The sample will be analyzed at a second laboratory certified by SAMHSA. The employee must pay for the requested secondary analysis. The cost will be reimbursed if the second test result proves negative for controlled substances.

Table 4: Required Actions According to Controlled Substance Test Results

Drug Test Result Additional Testing Action by Supervisor Employment consequence
Negative      
Negative, but dilute Collect new urine sample Send employee for new test  
Substituted Collect new urine sample under direct observation Send employee for new test Disqualified from UA CDL employment if a pre-placement test
Positive Employee has 72 hours to request analysis of split sample at their cost, with reimbursement if result is negative Immediately remove from safety sensitive functions Disqualified from UA CDL employment if a pre-placement test Disciplinary action up to and including termination. Cannot return to safety sensitive duties until 1. Evaluated by a SAP; 2. Complied with any treatment recommendations; 3. Have acceptable return-to-duty test
Refusal Treat same as positive sample Immediately remove from safety sensitive function Disqualified from UA CDL employment if a pre-placement test Disciplinary action up to and including termination. Cannot return to safety sensitive duties until 1. Evaluated by a SAP; 2. Complied with any treatment recommendations, 3. Have acceptable return-to-duty test

4.2 CONSEQUENCES OF A CONTROLLED SUBSTANCE VIOLATION

Employers must immediately remove employees who test positive for controlled substances from safety-sensitive functions. Employees cannot return to safety-sensitive function until they have been evaluated by a Substance Abuse Professional (SAP), complied with any treatment recommendations and have an acceptable return-to-duty test. The employee pays all costs associated with SAP evaluation and recommended treatment. Any SAP chosen must demonstrate completion of specialized training for evaluation and treatment of CDL drivers. Follow-up testing to monitor the employee's abstinence from controlled substance use will be conducted if prescribed by the SAP for a minimum of 6 tests within the first year.

Disciplinary action in accordance with University policies may be implemented by the employing department, and may be up to and including discharge. In the event of discharge, no return-to-duty or follow-up testing will be performed, but information on community resources available for evaluating and resolving substance abuse problems must be provided the affected employee. Please see Table 4 for a summary of requirements and Section 5.5 for more additional information on return-to-duty and follow-up testing.

5. TYPES OF TESTING

The various types of tests (preplacement, random, post-accident, return-to-duty and follow-up) are discussed here in detail, to include when and how testing must occur and the specific records required for each type of test.

5.1 PRE-PLACEMENT TESTING

Any candidate selected for full time, temporary or student employment in a position that requires a CDL must complete a pre-placement drug test and a CDL medical examination. The drug test and medical exam are scheduled after the job offer has been made, but before hiring. Likewise, any existing employee selected for a transfer or promotion to a CDL position must also complete the CDL drug test and medical exam.

Any candidate that refuses to submit to testing or has a confirmed positive pre-placement or substituted test for drugs will be disqualified from University employment in CDL positions.

The candidate must also provide written consent for release to the University of their drug and alcohol testing results from previous employers within the past three years, as well as disclose any positive pre-placement drug within the past three years. Evidence of evaluation by a SAP (Substance Abuse Professional) is required for any candidate with a verified positive, substituted or refusal to be tested within three years of applying for a University CDL position. Failure to authorize this information release shall preclude the candidate from further consideration for University employment in CDL positions.

CDL employees may not perform safety-sensitive functions until an acceptable pre-placement drug test result has been received.

New CDL employees must read the training materials provided (including a copy of this document) and provide a signed receipt to RMS.

5.2 RANDOM TESTING

The University must perform unannounced random testing for both alcohol and controlled substances, testing 10% of the average number of drivers for alcohol and 50% for drugs. These percentages may vary according to federal adjustments.

RMS maintains a list of active CDL employees, from which names will be randomly selected periodically for testing. Because the selection process is random, some employees may be selected more than once per year, and others not at all. RMS will advise supervisors which of their employees have been selected. Employees must not be informed of the scheduled testing until they are sent for testing, and sent directly to the sample collection facility when notified of their selection.

Employees will be tested during their regularly scheduled work time. Random drug testing may be performed at any time during the shift, whereas alcohol testing must occur immediately before, during or after actually performing safety sensitive functions. Employees selected, but not available for testing due to vacation or other leave will be tested in the next scheduled round of testing.

5.3 POST ACCIDENT TESTING

All accidents must be immediately reported to the supervisor (or to the next higher management official in the absence of the direct supervisor) and an incident report completed. The supervisor or manager is responsible for notifying RMS and determining if alcohol and controlled substance testing is required according to the criteria shown below in Table 5, or if reasonable suspicion testing is warranted based on other direct observations made by a trained supervisor.

Table 5: Post-Accident Testing Requirements

Type of Accident *Citation issued to driver? Drug and Alcohol Testing Needed?
Human Fatality Yes Yes
No Yes
Bodily injury with immediate treatment away from the scene Yes Yes
No No
Disabling damage to any motor vehicle requiring tow away (excluding flat tires & dragging bumpers) Yes Yes
No No

*In the absence of a fatality, a moving citation must be issued within 8 hours to initiate alcohol testing, or within 32 hours to initiate drug testing.

When required, CDL employees shall be tested for alcohol and controlled substances as soon as possible after any needed emergency medical treatment. CDL employees are required to remain available for testing and sample collection, or be deemed to have refused to submit to testing. When remaining available for testing extends beyond the normal working hours of the employee, the employee shall be considered on duty for purposes of salary determinations.

CDL employees must not consume alcohol until testing is completed or for 8 hours after the accident, whichever comes first. If testing has not occurred within post-accident time periods shown in Table 6, the supervisor must make a written record why the test was not performed and forward to RMS.

Table 6: Elapsed Time After Accident and Required Recordkeeping if Unable to Test

Test Prepare record stating why test not performed Cease attempts to test and prepare record stating why test not performed
Alcohol 2 hours 8 hours
Controlled Substances   32 hours

A driver who passes the post-accident breath alcohol test (> 0.02%) and is absent any other indicators suggesting the need for reasonable suspicion testing, may return to safety sensitive functions while awaiting the results for controlled substance testing, at the discretion of the supervisor.

If emergency treatment: The employee should go to the nearest emergency facility. Either the employee or their supervisor must notify the emergency facility that samples of urine and blood must be collected for post-accident controlled substance and alcohol testing.

If emergency treatment not necessary and the employee is near their typical work location their supervisor should initiate post-accident testing at the collection facility (clinic) typically utilized by that work location. When accidents occur outside of typical work areas, the employee or supervisor should call RMS for assistance in locating an alternate collection facility.

5.4 REASONABLE SUSPICION TESTING

Reasonable suspicion testing must be initiated if there is a belief that the driver has violated the alcohol or controlled substances prohibition, based on specific observations about the appearance, behavior, speech or body odors of the driver. These observations must be made while the driver is on the job at the time of possible testing, and must be put into words by the supervisor.

Only those supervisors, managers or directors who have been trained to recognize symptoms of potential controlled substance and alcohol use shall make reasonable suspicion determinations to refer an employee for testing. The supervisor making the observations shall make a written record documenting reasoning for initiating reasonable suspicion testing within 24 hours of initiating the test and forward a signed copy confidentially to RMS.

The employee must remain available for testing; failure to do so will be considered a refusal to submit to testing. Under no circumstances shall an employee suspected of violating alcohol/drug prohibitions be allowed to drive or perform other safety-sensitive functions (see Section 7). If an impaired employee drives away from the premises, the supervisor should contact UAPD at 9-1-1 or 621-8273 and advise them of the situation.

Testing must be done within 8 hours of the observation. If testing is not done within 2 hours, the supervisor must prepare and maintain a record stating why the testing was not performed. If a test cannot be performed within 8 hours, efforts to test must cease and a record prepared by the supervisor explaining why. This record must be forwarded to RMS.

5.5 RETURN-TO-DUTY and FOLLOW-UP TESTING

In an employee has violated any of the rules related to alcohol and drugs, the individual must comply with the following requirements before return to work in safety sensitive functions at the University.

The employee must be evaluated by a specially trained Substance Abuse Professional (SAP) and complete any treatment program prescribed. The employee must pay for all costs associated with the SAP evaluation, monitoring and treatment program. The SAP must provide written documentation to RMS verifying the employee has completed the prescribed treatment.

At a time specified by the SAP, the employee must complete a return-to-duty test.

If the prohibited behavior involved alcohol misuse, alcohol testing shall be performed. The breath alcohol concentration must be less than 0.02% for the employee to be eligible to return to safety sensitive duties.

If the prohibited behavior involved controlled substances, a controlled substance test shall be performed. A verified negative result must be received for the employee to be eligible to return to safety sensitive duties.

The SAP may also prescribe additional periodic unannounced follow-up testing, at a minimum frequency of 6 times in the first 12 months.

6. PROHIBITED ALCOHOL AND DRUG-RELATED CONDUCT

The following alcohol and drug-related activities are prohibited by the FMCSR for drivers of commercial vehicles. These activities are in addition to conduct prohibited by the University of Arizona Statement on Drug Free Schools and Campuses.

  1. Reporting for duty or remaining on duty to perform safety-sensitive functions with a blood alcohol concentration of 0.04% or greater.
  2. Consuming alcohol while performing safety-sensitive functions.
  3. Performing safety-sensitive functions within 4 hours after consuming alcohol.
  4. When required to take a post-accident alcohol test, consuming alcohol within 8 hours following the accident or before undergoing a post-accident alcohol test, whichever comes first.
  5. Refusing to submit to an alcohol or drug test required by random, reasonable suspicion, post-accident, or follow-up testing.
    • Refusal to submit means clearly obstructing the testing process or failing to provide enough breath for alcohol testing or urine for controlled substance testing without a valid medical reason.
  6. Reporting for duty or remaining on duty to perform safety-sensitive functions, when the driver uses any controlled substance (drug), except when instructed by a physician who has advised the driver that the substance does not adversely affect the drivers ability to safety operate a commercial vehicle.
  7. Reporting for duty, remaining on duty or performing safety-sensitive functions, if the driver tests positive for controlled substances.

6.1 CONSEQUENCES FOR VIOLATING PROHIBITED CONDUCT RULES

The University is required by law to immediately remove any employee form safety sensitive functions upon learning of any violation to the rules described above.

University policy also provides that other disciplinary action may be implemented, up to and including discharge.

7. DEFINITION OF SAFETY SENSITIVE FUNCTIONS

Safety Sensitive Functions are defined as any of the following on-duty functions:

All time at a shipper plant, terminal, facility or other property waiting to be dispatched unless the driver has been relieved from duty by the employer;

All time inspecting equipment as required by the Federal Motor Carrier Safety Regulations (FMCSRs), or otherwise inspecting, servicing or conditioning any commercial motor vehicle at any time;

All time spent at the controls of a commercial motor vehicle;

All time, other than driving time, spent on or in a commercial motor vehicle (except for time spent resting in the sleeper berth);

All time spent loading or unloading a commercial motor vehicle, supervising or assisting loading or unloading, attending a vehicle being loaded or unloaded, remaining in readiness to operate the vehicle, or in giving or receiving receipts for shipments loaded or unloaded;

All the time spent performing the driver requirements associated with an accident;

All time repairing, obtaining assistance or attending a disabled vehicle.

In addition to the statutory definitions described above, the employing department will also determine if other non-CDL tasks are safety sensitive. Examples could include handling hazardous materials, any driving or operating machinery. Employees removed from safety sensitive functions may not be assigned to other non-CDL safety sensitive functions. RMS can assist with these determinations.

8. RECORDKEEPING

Statutory record retention requirements are shown below in 6. All records must be maintained in a secure location with controlled access to ensure confidentiality. By law, all records must be accessible by officials of the FMCSA within 2 days of a request. An employee may request their individual testing results by making a written request to RMS.

Table 7: Recordkeeping Requirements

Document Retention Time (years) Who Maintains
1 2 5 Indefinite  
Alcohol test results for breath alcohol concentration of 0.02% or greater      X    RMS
Verified positive drug test results      X    RMS
Refusals to submit to required alcohol or drug test      X    RMS
Required calibration of evidential breath testing devices (EBTs) records      X    Testing Facility
Substance Abuse Professional's (SAP's) evaluations and referrals      X    RMS SAP's office
Annual calendar year summaries      X    RMS
Records related to the collection process (including logbooks if used, documents relating to random selection process)    X      RMS
Negative and canceled drug test results and alcohol breath test results less than 0.02  X        RMS
Breath Alcohol Technician (BAT) training records       X Testing Facility
Documentation of reasoning for reasonable suspicion testing    X      RMS Employee Dept.
Documentation of reasoning for post-accident testing    X      RMS Employee Dept.
Documents verifying a medical explanation for inability to provide adequate breath or urine for testing    X      RMS
Employer's copy of the alcohol test form, including results      X    RMS
Employer's copy of the drug test chain of custody and control form      X    RMS
Documents sent to the employer by the Medical Review Officer (MRO)      X    RMS
Documents provided by the driver to dispute the results of a test      X    Human Resources RMS
Documentation of other violations of drug use or alcohol misuse rules      X    Employee Dept. RMS
Copy of UA CDL policy and procedures for drug and alcohol testing        X  RMS
Names, positions and roles of UA personnel with responsibilities for the CDL drug and alcohol testing program        X  RMS
Training records for supervisors (reasonable suspicion training)        X*  RMS Supervisor Dept.
Documentation of providing drivers with educational material, driver's signed receipt        X*  RMS Employee Dept.
Agreements with collection sites, laboratories, MROs and third party service providers        X  RMS Arizona Dept. of Admin.
Semi-annual laboratory statistical summaries of urinalysis results      X    RMS Laboratory

*Records must be kept throughout employment requiring the training and for 2 years after ceasing to perform those functions.