Policy Title: Alcohol and Drug Testing for Commercial Drivers	Category: Public Safety/Risk Management
Owner: Vice President for University Operations	Policy ID#: 6-6021-006
Contact: Environmental Health Services Web: http://www.ehs.colostate.edu/ Email: EHS@ColoState.edu Phone: (970 491-6745	Original Effective Date: 3/19/1997 Last Revision: 8/13/2020

PURPOSE OF THIS POLICY

CSU places a high value on the safety of its employees, students, and the public in all its operations. The purpose of this policy is to promote safe operation of CSU’s commercial vehicles and to meet the requirements of The Omnibus Transportation Employees Testing Act of 1991 and the supporting Federal Motor Carrier Safety Regulations (FMCSR), as contained in Title 49 of the Code of Federal Regulations (49 CFR Parts 300-399), concerning alcohol and drug testing for employees who drive commercial motor vehicles (CMVs) requiring a commercial driver’s license.

DEFINITIONS USED IN THIS POLICY

Alcohol means the intoxicating agent in beverage alcohol, ethyl alcohol, or other low molecular weight alcohols including methyl and isopropyl alcohol. [49 CFR 382.107]

Alcohol use means the consumption of any beverage, mixture, or preparation, including any medication, containing alcohol. [49 CFR 382.107]

CDL driver means a person holding a Commercial Driver’s License (CDL) or a person required to hold a CDL.

Commercial motor vehicle (CMV) means a motor vehicle or combination of motor vehicles used in commerce to transport passengers or property if the vehicle:

1. Has a gross combination weight rating of 26,001 pounds or more, inclusive of a towed unit with a gross vehicle weight rating of more than 10,000 pounds; or
2. Has a gross vehicle rating of 26,001 or more pounds; or
3. Is designed to transport 16 or more passengers, including the driver; or
4. Is of any size and is used in the transportation of materials found to be hazardous for the purposes of the Hazardous Materials Transportation Act and which require the motor vehicle to be placarded under the Hazardous Materials Regulations [49 CFR 172.F, 49 CFR 382.107]

Confirmation test:

1. For alcohol testing, this means a second test, following a screening test with a result of 0.02 or greater, that provides quantitative data of alcohol concentration. [49 CFR 40.3]
2. For controlled substances testing, this means a second analytical procedure to identify the presence of a specific drug or metabolite. [49 CFR 382.107]

Controlled substances means marijuana, cocaine, opiates, amphetamines, and phencyclidine. [49 CFR 40.85]

Driver means any person who operates a commercial motor vehicle.  This includes but is not limited to: full time, regularly employed drivers; casual, intermittent or occasional drivers; leased drivers and independent, owner-operator contractors who are either directly employed by or under lease to an employer or who operate a commercial motor vehicle at the direction of or with the consent of an employer.  For the purposes of pre-employment/pre-duty testing only, the term driver includes a person applying to an employer to drive a commercial motor vehicle. [49 CFR 382.107]

Driving time means all time spent at the driving controls of a commercial motor vehicle.  [49 CFR 395.2]

Drugs means the same as controlled substances above.

Employer means any person (including the United States, a State, District of Columbia, or a political subdivision of a State) who owns or leases a commercial motor vehicle or assigns persons to operate such a vehicle. The term employer includes an employer’s agents, officers and representatives. [49 CFR 382.107]

Medical Review Officer (MRO) means a licensed physician (Medical Doctor or Doctor of Osteopathy); or a licensed or certified psychologist, social worker, or employee assistance professional; or an addiction counselor (certified by the National Association of Alcoholism and Drug Abuse Counselors Certification Commission or by the International Certification Reciprocity Consortium/Alcohol & Other Drug Abuse) that is responsible for receiving laboratory results generated by CSU’s drug testing program who has knowledge of substance abuse disorders and has appropriate medical training to interpret and evaluate an individual’s confirmed positive test result together with their medical history and any other relevant biomedical information. The MRO is selected by the University. [49 CFR 40.3]

On duty time means all time from the time a driver begins to work or is required to be in readiness to work until they are relieved from work and all responsibility for performing work. [49 CFR 395.2].  On duty time shall include:

1. All time at a carrier or shipper plant, terminal facility, or other property, or on any public property, waiting to be dispatched, unless the driver has been relieved from duty by the motor carrier;
2. All time inspecting, servicing or conditioning any commercial motor vehicle at any time;
3. All driving time as defined in the term driving time above; 
4. All time, other than driving time, in or upon any commercial motor vehicle except time spent resting in a sleeper berth; 
5. All time loading or unloading a commercial motor vehicle, supervising or assisting in the loading or unloading, attending a commercial motor vehicle being loaded or unloaded, remaining in readiness to operate the commercial motor vehicle, or in giving or receiving receipts for shipments loaded or unloaded; 
6. All time repairing, obtaining assistance, or remaining in attendance upon a disabled commercial motor vehicle;
7. All time spent providing a breath sample or urine specimen, including travel time to and from the collection site, in order to comply with the random, reasonable suspicion, post-accident, or follow-up testing required by 49 CFR 382 when directed by a motor carrier; or
8. Performing any other work in the capacity, employ, or service of, a motor carrier; and
9. Performing any compensated work for a person who is not a motor carrier.

Performing a safety-sensitive function: A driver is considered to be performing a safety-sensitive function during any period in which they are actually performing, ready to perform, or immediately available to perform any safety-sensitive functions. [49 CFR 382.107]

Refuse to submit (to an alcohol or controlled substances test) means that a CDL driver:

1. Fails to appear for any test (except a pre-employment test) within a reasonable time, as determined by the employer, consistent with applicable DOT agency regulations, after being directed to do so by the employer. This includes the failure of an employee to appear for a test when called by a Consortium/Third-Party Administrator (C/TPA);
2. Fails to remain at a testing site until the testing process is complete. Provided, that an employee who leaves the testing site before the testing process commences for a pre-employment test is not deemed to have refused to test;
3. In the case of a directly observed or monitored collection in a drug test, fails to permit the observation or monitoring of the driver’s provision of a specimen;
4. Fails to provide adequate breath for testing without a valid medical explanation after they have received notice of the requirement for breath testing,
5. Fails to provide adequate urine for controlled substances testing without a valid medical explanation after they have received notice of the requirement for urine testing, or
6. Fails or declines to take a second test the employer or collector has directed the driver to take;
7. Fails to undergo a medical examination or evaluation, as directed by the MRO as part of the verification process, or as directed by the DER under 49 CFR 10.193 (d). In the case of a pre-employment drug test, the employee has deemed to have refused to test on this basis only if the pre-employment test is conducted following a contingent offer of employment.
8. Engages in conduct that clearly obstructs the testing; or
9. Is reported by the MRO as having a verified adulterated or substituted test result. [49 CFR 382.107]

Safety-sensitive function means any of those on-duty functions set forth in on duty time, paragraphs (1) through (6), above. [49 CFR 382.107]

 Screening test (also known as initial test):

1. In alcohol testing, this means an analytical procedure to determine whether a driver may have a prohibited concentration of alcohol in their breath or saliva specimen.
2. In controlled substance testing, this means an immunoassay screen to eliminate “negative” urine specimens from further analysis or to identify a specimen that requires additional testing for the presence of drugs. [49 CFR 382.107]

Substance abuse professional means a licensed physician (Medical Doctor or Doctor of Osteopathy); or a licensed or certified psychologist, social worker, or employee assistance professional; or an addiction counselor (certified by the National Association of Alcoholism and Drug Abuse Counselors Certification Commission or by the International Certification Reciprocity Consortium/Alcohol & Other Drug Abuse).  All must have knowledge of and clinical experience in the diagnosis and treatment of alcohol and controlled substances-related disorders. This person evaluates employees who have violated a DOT drug and alcohol regulation and makes recommendations concerning education, treatment, follow-up testing, and after-care. [49 CFR 40.3]

APPLICATION OF THIS POLICY

This policy covers all university personnel who are required to drive commercial motor vehicles as part of their job and all persons driving a CMV for the University. (See definitions of "driver", "commercial motor vehicle", and other terms used in this document).

POLICY STATEMENT

CSU and its employees who drive commercial motor vehicles must comply with federal laws and regulations regarding safe driving, including those related to alcohol and drug use. This policy and its related procedures set forth the requirements and responsibilities for drivers and CSU departments to assure that CSU remains compliant with those laws and regulations.

POLICY PROVISIONS

A.         Compliance with this Policy as a Condition of Employment

Compliance and participation in this policy is a condition of employment or appointment as a volunteer in any position that requires a CSU employee/volunteer to drive a CMV.

B.           Driver Responsibilities (All CDL Drivers)

The responsibilities of a covered driver include:

1. Fully complying with the conduct required in this policy;
2. Promptly reporting to the testing site and undergoing all required alcohol and/or controlled substances tests;
3. Providing adequate breath and/or urine samples for all required alcohol and/or controlled substances tests;
4. Authorizing the release of alcohol and controlled substances testing results from previous employers and queries of the Commercial Driver’s License Drug and Alcohol Clearinghouse as required by 40 CFR part 382;
5. Signing a certification that they have received a copy of this policy and other educational materials;
6. Meeting all return-to-work requirements and stipulations after engaging in prohibited conduct;
7. Not performing any safety-sensitive functions after engaging in prohibited conduct until all return-to-work requirements have been met;
8. Demonstrating that their condition warrants consideration for leave under the Family Medical Leave Act while undergoing prescribed treatment; and
9. Showing that their condition qualifies them for accommodation under the Americans with Disabilities Act.

C.         Prohibited Driver Conduct (All CDL Drivers)

1. Alcohol

1. No driver shall -

(1) Use alcohol, as defined in 49 CFR §382.107, or be under the influence of alcohol, within 4 hours before going on duty or operating, or having physical control of, a commercial motor vehicle; or

(2) Use alcohol, be under the influence of alcohol, or have any measured alcohol concentration or detected presence of alcohol, while on duty, or operating, or in physical control of a commercial motor vehicle; or

(3) Be on duty or operate a commercial motor vehicle while the driver possesses wine of not less than one-half of one per centum of alcohol by volume, beer as defined in 26 U.S.C. 5052(a), of the Internal Revenue Code of 1954, or distilled spirits as defined in section 5002(a)(8), of such Code. However, this does not apply to possession of wine, beer, or distilled spirits which are:

                 (i) Manifested and transported as part of a shipment; or

                (ii) Possessed or used by bus passengers. [49 CFR 392.5]

1. Concentration: No driver shall report for duty or remain on duty requiring the performance of safety-sensitive functions while having an alcohol concentration of 0.04 or greater. [49 CFR 382.201]
2. On-duty use: No driver shall use alcohol while performing safety-sensitive functions. [49 CFR 382.205]
3. Pre-duty use: No driver shall perform safety-sensitive functions within four hours after using alcohol. [49 CFR 382.207]
4. Use following an accident: No driver required to take a post-accident alcohol test shall use alcohol for eight hours following the accident, or until they undergo a post-accident alcohol test, whichever occurs first. [49 CFR 382.209]

 2. Controlled substances

1. Use: No driver shall report for duty or remain on duty requiring the performance of safety-sensitive functions when the driver uses any controlled substance, except when the use is pursuant to the instructions of a physician who has advised the driver that the substance does not adversely affect the driver’s ability to safely operate a commercial motor vehicle. The University/ employing department/supervisor may require a driver to inform them of any therapeutic drug use. [49 CFR 382.213]
2. Testing:  No driver shall report for duty, remain on duty, or perform a safety- sensitive function, if the driver tests positive for controlled substances. [49 CFR 382.215]

3. Refusal to submit to a required alcohol or controlled substances test

No driver shall refuse to submit to a required post-accident, random, reasonable suspicion, or follow-up alcohol or controlled substances test as described in D. below. [49 CFR 382.211]

4. University/employing department/supervisor responsibility

If the University/employing department/supervisor has actual knowledge that a driver has participated in any of the prohibited activities in C. 1., 2., or 3. above, they shall not permit the driver to drive a commercial motor vehicle or to perform other safety-sensitive functions.  [49 CFR 382.201, .205, .207, .213 and .215]

D.   Consequences for Drivers Engaging in Substance Use-Related Conduct (All CDL Drivers)

1.      Removal from safety-sensitive functions

A driver who has engaged in conduct prohibited by the regulations is not permitted to perform safety-sensitive functions, including driving a commercial motor vehicle, except as outlined in the return-to-duty process. [49 CFR 382.501 (a) and (b)]

2.      Required evaluation and testing

A driver who has engaged in conduct prohibited by the regulations must undergo evaluation by a substance abuse professional, pass return-to-work testing, and satisfy any other requirements of the return-to-duty process before again being permitted to perform safety-sensitive functions, including driving a commercial motor vehicle. [49 CFR 382.503]

3.      Other alcohol related conduct

A driver who is found to have an alcohol concentration between 0.02 and 0.039 is not permitted to perform or continue to perform safety-sensitive functions, including driving a commercial motor vehicle, for at least 24 hours following administration of the test. [49 CFR 382.505 (a)]

4.      Federal penalties

Violation of the regulations may result in civil and/or criminal penalty provisions of Title 49 United States Code 521(b).

5.      Referral, evaluation and treatment

A driver who has engaged in prohibited conduct shall be advised by the University Employee Assistance Program of the resources available to the driver in evaluating and resolving problems associated with the misuse of alcohol and use of controlled substances, including the names, addresses and telephone numbers of substance abuse professionals and counseling and treatment programs. The driver shall be evaluated by a substance abuse professional who shall determine what assistance, if any, the driver needs in resolving problems associated with alcohol misuse and controlled substances use. [49 CFR 40.281]

Before a driver returns to duty requiring the performance of safety-sensitive functions after engaging in prohibited conduct, the driver shall undergo a return-to-duty alcohol test with a result indicating an alcohol concentration of less than 0.02 if the conduct involved alcohol, or a controlled substances test with a verified negative result if the conduct involved a controlled substance. [49 CFR 40.305]

A driver identified as needing assistance in resolving problems associated with alcohol misuse or controlled substances use shall be:

1. evaluated by a substance abuse professional to determine that the driver has properly followed any rehabilitation program prescribed above; and
2. subject to unannounced follow-up alcohol and controlled substances tests administered by the employer following the driver’s return to work in a safety-sensitive position. The number and frequency of such follow-up testing shall be as directed by the substance abuse professional and shall consist of at least six tests in the first 12 months following the driver’s return to duty. The University/employing department/supervisor may direct the driver to undergo return-to-duty and follow-up testing for both alcohol and controlled substances, if the substance abuse professional determines that such testing is necessary for that particular driver. [49 CFR 40.307(d)]

Follow-up testing shall not exceed 60 months from the date of the driver’s return to duty.  The substance abuse professional may terminate the requirement for follow-up testing at any time after the first six tests have been administered, if the substance abuse professional determines that such testing is no longer necessary. [49 CFR 40.307(d)(2)]

E.         Warnings and disciplinary actions

The University/employing department/supervisor may issue warning(s) to the driver and, if appropriate, recommend disciplinary action(s) for the driver, up to and including dismissal from employment.

F.         Family Medical Leave Act (FMLA)

If the substance abuse professional determines that the assistance required by a driver includes treatment, the driver may be allowed to use benefits provided for under the FMLA. Specific benefits under the FMLA differ based upon the type of appointment and other factors.  Interested persons should contact the Human Resources Department for further information.

The employing department and the Human Resources Department shall review requests for use of FMLA benefits to determine if the driver’s condition qualifies for FMLA, based on the medical certification.  It is the driver’s responsibility to demonstrate that the condition is appropriate for leave under FMLA.

G.         Americans with Disabilities Act (ADA)

After evaluation by the substance abuse professional, a driver may request that the employer make reasonable accommodation for the driver under ADA.  It is the responsibility of the driver to show a condition that qualifies them under ADA. An active user is not protected under ADA, but the employer must accommodate if requested.

The employing department and the Office of Equal Opportunity will review requests for accommodation to determine if the driver’s condition qualifies under ADA.  If the condition does qualify under ADA, the Office of Equal Opportunity will then determine whether reasonable accommodation can be made in the particular situation.

H.  Alcohol Misuse and Controlled Substances Use Information and Training

1.  University policy on the misuse of alcohol and use of controlled substances

The University will provide educational materials that explain the requirements of 49 CFR 382 and the University’s policies and procedures with respect to meeting the requirements.  Copies of these materials shall be distributed to each driver prior to the start of alcohol and controlled substances testing and to each driver subsequently hired or transferred into a position requiring driving a commercial motor vehicle. [49 CFR 382.601 (a)]

The materials made available to drivers will cover all the items called out in 49 CFR 382.601 (b).  Included in the educational materials will be discussions of: the effects of alcohol and controlled substances use on an individual’s health, work, and personal life; signs and symptoms of an alcohol or a controlled substances problem (the driver’s or a coworker’s); and available methods of intervening when an alcohol or controlled substances problem is suspected, including confrontation, referral to an  employee assistance program, and/or referral to management.

Each driver is required to sign a statement certifying that they have received a copy of these materials. The University shall maintain the original of the signed certificate. [49 CFR 382.601 (d)]

2.  Training for supervisors

Supervisors of drivers are designated to determine whether reasonable suspicion exists to require a driver to undergo reasonable suspicion testing. Those supervisors shall receive at least 60 minutes of training on alcohol misuse and at least an additional 60 minutes of training on controlled substances use.  The training shall cover the physical, behavioral, speech and performance indicators of probable alcohol misuse and use of controlled substances. [49 CFR 382.603]

I.  Cost Responsibility

The employing University department pays all testing and processing costs except for the processing of the second part of a split urine sample processed at the request of a driver or driver applicant. The latter shall be paid for by the driver or driver applicant. All time associated with testing will be paid work time except for driver applicants undergoing pre-employment testing and drivers doing return-to-work testing while in an unpaid status.

The driver is responsible for the cost of visits with a Substance Abuse Professional. The driver is also responsible for the costs associated with treatment or other course of action recommended by the Substance Abuse Professional, including, but not limited to, return to duty testing, and any recommended follow up drug and/or alcohol testing.

J.  Supervisor Responsibilities

The responsibilities of the supervisor of a covered driver include:

1. Notifying the driver to report to the test site for random, reasonable suspicion, post-accident, return-to-work or follow-up alcohol and/or controlled substances testing
2. Making appropriate observations when reasonable suspicion of alcohol abuse and/or controlled substances use seems evident
3. Documenting the observations leading to a reasonable suspicion alcohol and/or controlled substances test for a driver
4. Documenting the reason why a reasonable suspicion alcohol and/or controlled substances test was not promptly administered to a driver
5. Documenting the reason why a required post-accident alcohol and/or controlled substances test was not promptly administered to a driver
6. Making certain that a driver has met all return-to-work requirements and stipulations after engaging in prohibited conduct
7. Refusing to allow a driver to perform any safety-sensitive functions after engaging in prohibited conduct until the driver has met all return-to-work requirements and
8. Not misusing the supervisory responsibility.

 

K.  Organizational Responsibilities

1. Environmental Health Services Department

Responsible for the management and administration of the Department of Transportation Program at Colorado State University.  The responsibility includes:

1. Designation of the Regulatory Alcohol and Drug Testing Program manager as the person to provide information to and answer questions from covered drivers and supervisors.
2. Preparation and updating of policies and procedures.
3. Disclosure of educational and policy information to covered drivers.
4. Collection of certifications from drivers for receipt of educational and policy information.
5. University compliance with the FMCSA regulations.
6. Training supervisors.
7. Creation, maintenance and updating of required records containing basic information about covered drivers, controlled substances and alcohol tests and test results, and information provided by substance abuse professionals about specific drivers.
8. Filing and storage of records.
9. Preparation and submittal of required reports.
10. Communication with the departments employing covered drivers.
11. Recovery of program operating costs from the departments employing covered drivers.
12. Notification of supervisors about test requirements for their covered drivers.
13. Obtaining alcohol and controlled substances test results for new hire, transfer drivers, existing drivers from previous employers, and queries of the Commercial Driver’s License Drug and Alcohol Clearinghouse as required by 40 CFR part 382.
14. Overseeing positive drug and alcohol test follow ups.

2. Human Resources Department

Program responsibilities include:

1. Notifying the Environmental Health Services Department about each open position to be filled that requires a new hire or transfer to possess a commercial driver’s license.
2. Informing applicants for such positions that they will be subject to alcohol and controlled substances testing (including pre-employment controlled substances testing) and will be required to authorize release of testing information by previous employers.
3. Decision-making about a driver’s request for leave under the Family Medical Leave Act to undergo treatment, including review of the recommendation made by the driver’s employing department.

3. Office of Equal Opportunity

 Program responsibilities include:

1.  Evaluation of driver requests for accommodation under the Americans with Disabilities Act (ADA).
2.  Decision-making about whether the driver qualifies under the ADA.
3.  When the driver does qualify under the ADA, coordination of efforts to determine whether reasonable accommodation can be made for the driver.

4.  Departments/Supervisors/DOT Contacts

Program responsibility consists of informing the Environmental Health Services Department about Colorado State University CDL drivers before they first report for duty as a driver and not allowing an employee to drive who has not been cleared by EHS. Departments must follow all directions from EHS as to commercial motor vehicles and drivers.

L.  Employee Self-Identification Program

Employees who self-identify and admit to the use of alcohol and/or controlled substances may be relieved of certain referral, evaluation and treatment requirements in accordance with 49 CFR 382.121, which the University will follow. The self-identification and admission must be made to the employing department’s supervisor or contact and to Environmental Health Services. The program responsibilities include:

     a.    Employees who admit to alcohol misuse or controlled substances use are not subject to the referral, evaluation and treatment requirements of 49 CFR 382, provided that:

(i) The admission is in accordance with this policy;

(ii) The driver does not self-identify in order to avoid testing under the requirements of 49 CFR 382;

(iii) The driver makes the admission of alcohol misuse or controlled substances use prior to performing a safety sensitive function (i.e., prior to reporting for duty); and

(iv) The driver does not perform a safety sensitive function until the University is satisfied that the employee has been evaluated and has successfully completed education or treatment requirements in accordance with the self-identification program guidelines outlined below.

     b.     The University qualified voluntary self-identification program contains the following elements:

(i) It prohibits the University from taking adverse action against an employee making a voluntary admission of alcohol misuse or controlled substances use within the parameters of this program and paragraph (a) of this section.

(ii) It allows the employee sufficient opportunity to seek evaluation, education or treatment to establish control over the employee's drug or alcohol problem.

(iii) It permits the employee to return to safety sensitive duties only upon successful completion of an educational or treatment program, as determined by a drug and alcohol abuse evaluation expert, i.e., employee assistance professional, substance abuse professional, or qualified drug and alcohol counselor.

(iv) It ensures that:

• Prior to the employee participating in a safety sensitive function, the employee shall undergo a return to duty test with a result indicating an alcohol concentration of less than 0.02; and/or
• Prior to the employee participating in a safety sensitive function, the employee shall undergo a return-to-duty controlled substance test with a verified negative test result for controlled substances use.
• It may incorporate employee monitoring and include non-DOT follow-up testing.

COMPLIANCE WITH THIS POLICY

Compliance with this policy is required. For assistance, contact Environmental Health Services, General Services Building, 970-491-6745, or visit EHS’ website

APPROVALS

Approved by the Board of Governors (then State Board of Agriculture), March 19, 1997, revised September 30, 2001

Revision approved by Lynn Johnson, Vice President for University Operations, October 25, 2016

Revision approved by Lynn Johnson, Vice President for University operations, on August 13, 2020