HomeMy WebLinkAbout5F - Drug & Alcohol Policy Upda
CITY COUNCIL AGENDA REPORT
16200 Eagle Creek Avenue S.E.
Prior Lake. MN 55372-1714
October 4, 2004
5F
Susan Walsh, Assistant City Manager
AGENDA ITEM: CONSIDER APPROVAL OF REVISIONS TO CITY OF PRIOR LAKE ALCOHOL
AND CONTROLLED SUBSTANCES POLICY FOR COMMERCIAL DRIVERS.
DISCUSSION: Historv: The City first enacted a policy on alcohol and controlled substances for
commercial drivers in January 1996. Such a policy is required in response to regulations
enacted by the Federal Highway Administration ("FHWA") of the United States Department
of Transportation. The policy sets out procedures for background checks and verifications,
controlled substances and alcohol testing, and consequences for participation in prohibited
activities, among other things.
As part of an on-going effort to assure that our policies are up-to-date, City Attorney Joe
Schmitt has reviewed the FHWA regulations and the City's Policy on Alcohol and
Controlled Substances for Commercial Drivers and recommends the following changes in
order to bring the policy in compliance with the updated regulations.
Current Circumstances: This report summarizes the recommended revisions as follows:
1. Background Checks of Applicants - The language in the policy is amended to
state that the City "will obtain all information concerning the Applicant which is
maintained by the Applicant's previous employers with the preceding two (2) years
pursuant to FHWA Drug and Alcohol Testing Regulations". The previous language
gave the City the option of obtaining this information. The change will bring the
policy into compliance with FHWA regulations.
2. Post-Accident Testing - FHWA regulations require that the City maintain a record
explaining why a test was not done within two hours of an accident, even if a test is
done before the eight-hour limit. Language is proposed that acknowledges that the
City will prepare and maintain such a file.
3. Random Testing - The language proposed updates the City policy with respect to
minimum testing required for alcohol. Since the City's initial policy, the alcohol
testing rates have changed from 25% to 10%. The language states that the City will
test at a rate of at least 10% of its average number of drivers for alcohol each year.
4. Reasonable Suspicion Testing - FHWA regulations require that in the event a
driver is tested under reasonable suspicion, the driver not be permitted to perform
safety sensitive functions until an alcohol test is administered and the driver's
alcohol concentration is less than .02; or 24 hours has lapsed. The previous policy
language required a "negative" test result rather than a result "less than .02". FHWA
www.cityofpriorlake.com
1:\CQUNCILIAGNRPTS\2004\DRUG ~b~~~g2.49,9~~!lfIYEf~xP~4~EiYi4~c
ALTERNATIVES:
RECOMMENDED
MOTION:
(1)
(2)
regulations find a "negative" result insufficient for a return to work in less than 24
hours. The proposed language amends the policy accordingly.
Conclusion: The proposed revisions bring our policy into full compliance with the FHWA
regulations. The Council should therefore adopt the revisions as part of the consent
agenda. The adoption of any revisions also initiates an internal process to update City
supervisory staff and affected employees on the policy changes.
Adopt modifications to the policy as recommended as part of the consent
agenda.
Take no action and request additional information regarding the proposed
changes.
Alternative (1). Motion and Second as part of the consent agenda to adopt the revised
Policy on Aicohol and Controlled Substa es for Commercial Drivers as proposed.
,
I
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1:\COUNCILIAGNRPTS\2004\DRUG & ALCOHOL - COMM DRIVERS POLICY REV.DOC
CITY OF PRIOR LAKE
POLICY ON ALCOHOL AND
CONTROLLED SUBSTANCES
FOR COMMERCIAL DRIVERS
Effective January 1996
Amended October 2004
(This policy supersedes
all previous policies)
Many of the terms used throughout this Policy are defined in Part XII (Definitions).
Where used, these terms are highlighted in italics. Please familiarize yourself with
these definitions and consult Part XI when you have questions about the meaning of
specific terms used throughout the Policy.
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TABLE OF CONTENTS
I. INTRODUCTION AND POLICY STATEMENT .................................................1
II. CONDUCT PROHIBITED BY FEDERAL LAW................................................. 1
III. CONDUCT PROHIBITED BY THE CITY .......................................................... 3
IV. REQUIRED BACKGROUND CHECKS AND VERIFICATIONS ........................3
V. CONTROLLED SUBSTANCES AND ALCOHOL TESTING..............................4
VI. COLLECTION AND TESTING PROCEDURES ................................................ 7
VII. REVIEW AND NOTIFICATION OF TEST RESULTS ........................................ 8
VIII. CONSEQUENCES FOR DRIVERS ENGAGING IN PROHIBITED CONDUCT9
IX. MAINTENANCE AND DISCLOSURE OF RECORDS .................................... 11
X. POLICY CONTACT FOR ADDITIONAL INFORMATION ............................... 11
XI. DEFINITIONS... .................... ............. .............. ............................................... 11
CERTIFICATE OF RECEiPT..........................................................................17
DN: 232199 Vor: 2
I. INTRODUCTION AND POLICY STATEMENT
In response to regulations issued by the Federal Highway Administration
("FHWA'? of the United States Department of Transportation ("DOT'?, the City
has adopted this Policy on Alcohol and Controlled Substances for
Commercial Drivers. Separate policies regarding alcohol and controlled
substances may apply to non-driver employees.
It is the policy of the City to maintain for all its operators of commercial motor
vehicles, whether employees, independent contractors or lessors, a work
environment conducive to maximum safety and optimum work standards.
The use, possession, manufacture, sale, transportation, or other distribution
of controlled substances or drug paraphernalia and the unauthorized use,
possession, transportation, sale, or other distribution of alcohol is contrary to
this policy and jeopardizes Driver safety.
The abuse of alcohol and the use of controlled substances may adversely
affect an individual's health, work, and personal life. Using alcohol or
controlled substances can lead to a variety of physical problems, including
cancer and damage to vital organs, depression and other psychological
problems, social problems, and isolation from family and friends. Moreover,
the use of alcohol and controlled substances can impair essential safety skills
on the job, such as vision, judgment, and coordination, and lead to increased
absences, frequent accidents, decline in quantity and quality of work, lack of
cooperation, poor concentration and judgment, and lack of motivation. When
a substance abuse problem arises, methods of intervening include
confrontation, referral to an employee assistance program, and referral to
management.
Given the significant dangers of alcohol and controlled substances use, each
applicant and Driver must abide by this policy as a term and condition of
hiring and continued employment. Although we would prefer not to intrude
into the private lives of our Drivers, the effect of alcohol and controlled
substances abuse on safety, work quality, production, and productivity make
this policy necessary. Moreover, federal law requires the City to implement
such a policy.
To ensure that the policy is clearly communicated to all Drivers and
applicants to whom offers of employment, contracts, or lease commitments
have been made, and in order to comply with applicable federal law, Drivers
and applicants are required to review this policy and execute the "Certificate
of Receipt" portion.
Because changes in applicable law and the City's practices and procedures
may occur from time to time, terms of this policy may change in the future,
and nothing in this policy is intended to be a contract, promise, or
representation of any specific term or condition of employment except to the
extent required by law. In the event that applicable DOT or FHWA
regulations governing alcohol and controlled substances use and testing are
supplemented or amended, this policy shall be deemed to have been
amended to conform to the applicable regulations.
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II. CONDUCT PROHIBITED BY FEDERAL LAW: The following conduct is
explicitly prohibited by applicable DOT regulations adopted by the FHWA and
therefore constitutes violation of City policy.
Alcohol Concentration: No Driver may report for duty or
remain on duty requiring the performance of safety-sensitive functions
while having an alcohol concentration of 0.04 or greater.
On-Duty Use of Alcohol: No Driver may use alcohol while
performing safety-sensitive functions.
Pre-Duty Use of Alcohol: No Driver may perform safety-
sensitive functions within four (4) hours after using alcohol.
Alcohol Use Followina an Accident: No Driver required to
take a post-accident alcohol test (see Part V.S of this Policy) may use
alcohol for eight (8) hours following the accident, or until the Driver
undergoes a post-accident alcohol test, whichever occurs first.
Refusal to Submit to a Reauired Alcohol or Controlled
Substances Test: No Driver may refuse to submit to a post-accident,
random, reasonable suspicion, or follow-up alcohol or controlled
substances test.
In the event an applicant or Driver refuses to submit to required
alcohol or controlled substances testing, no test will be conducted.
Refusal by a Driver to submit to drug or alcohol testing will be
considered a positive test result, will cause disqualification from
performing safety-sensitive functions, and may appear on the Driver's
permanent record. Drivers who refuse to submit to testing will be
subject to discipline up to and including immediate termination. If an
applicant refuses to submit to pre-employment controlled substances
testing, any conditional offer of employment will be withdrawn.
For purposes of this section, a Driver refuses to submit to an alcohol
or controlled substances test when the Driver.
(1) fails to provide adequate breath for alcohol testing without a
valid medical explanation after he or she has received
notice of the requirement for breath testing;
(2) fails to provide adequate urine for controlled substances
testing without a genuine inability to provide a specimen (as
determined by a medical evaluation), after he or she has
received notice of the requirement for the urine testing; or
(3) engages in conduct that clearly obstructs the testing
process.
Refusal by a Driver to complete and sign the alcohol testing form, to
provide a breath or saliva sample, to provide an adequate amount of
breath, or otherwise cooperate in a way that prevents the completion
of the testing process constitutes a refusal to test.
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Controlled Substances Use: No Driver may report for duty or remain
on duty requiring the performance of safety-sensitive functions when
the Driver uses any controlled substances, except when the use is
pursuant to the instructions of a licensed medical practitioner who has
advised the Driver that the substance does not adversely affect the
Driver's ability to safely operate a commercial motor vehicle. Drivers
must inform the City in writing of any therapeutic drug use immediately
after receiving any such advice.
Controlled Substances Testina: No Driver may report for duty,
remain on-duty or perform a safety-sensitive function if the Driver tests
positive for controlled substances.
III. CONDUCT PROHIBITED BY THE CITY: In addition to the conduct
prohibited by applicable DOT and FHWA regulations, the City has adopted
the following prohibitions and poliCies based on its independent authority.
Manufacture. Traffickina. and Sale: No Driver may engage in the
manufacture, sale, purchase, solicitation to sell or purchase,
transportation, distribution, or dispensing of alcohol or controlled
substances or drug paraphernalia while on duty, performing safety-
sensitive functions, on City or customer premises, or in any City
vehicle.
Criminal Drua or Alcohol Convictions: Any Driver convicted under
any federal, state, or local criminal drug or alcohol statute for a
violation occurring in the workplace, on City or customer premises, or
in any City vehicle must notify the City in writing of such conviction no
later than five (5) days after such conviction. The City, in its sole
discretion, shall determine what disciplinary action may be
appropriate.
IV. REQUIRED BACKGROUND CHECKS AND VERIFICATIONS
A. Backaround Checks of Applicants
The City will conduct background checks of applicants for employment
to drive a commercial motor vehicle. Applicants must execute a
consent form authorizing the City to obtain the required information.
The City will obtain (pursuant to the applicant's written consent)
information on the applicant's alcohol tests with a concentration result
of 0.04 or greater, positive controlled substances test results, and
refusals to be tested within the preceding two (2) years which are
maintained by the applicant's previous employers. In addition, the City
will obtain all information concerning the Applicant which is maintained
by the Applicant's previous employers within the preceding two (2)
years pursuant to FHWA Drug and Alcohol Testing Regulations. The
City will review such records, if feasible, prior to the first time a Driver
performs safety-sensitive functions, but in any event no later than
fourteen (14) calendar days after the first time a Driver performs
safety-sensitive functions for the City.
B. Verification for Non-Emplovee Drivers
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The City will verify once every six (6) months that each Driver that the
City uses, but does not employ, participates in an alcohol and
controlled substances program that meets the requirements of Title 49
Code of Federal Regulations, Sections 40 and 382. The Driver's
written authorization is necessary for the release of such drug and
alcohol testing information. Accordingly, non-employee Drivers must
execute a consent form authorizing the City to obtain the required
information. If the information is unavailable, the City will perform pre-
employment controlled substances testing for such Drivers.
V. CONTROLLED SUBSTANCES AND ALCOHOL TESTING
The City may test any applicant to whom a conditional offer of employment
has been made and may test any Driver for controlled substances and
alcohol under any of the following circumstances:
A. Pre-Emplovment Testina
The City will conduct pre-employment controlled substances testing of
each applicant for a Driver position after a conditional job offer has
been made to the applicant and prior to the first time a Driver performs
a safety-sensitive function for the City. A Driver may not perform
safety-sensitive functions unless the Driver has received a controlled
substances test result from the Medical Review Officer indicating a
verified negative test result. As an alternative to pre-employment
controlled substances testing, the City may obtain information from the
applicant's previous employers certifying compliance with another
DOT drug testing program. If requested, each applicant must execute
a consent form authorizing the disclosure of such information. Pre-
employment alcohol testing will not be conducted.
B. Post-Accident Testina
As soon as practicable following an accident involving a commercial
motor vehicle operating on a public road in commerce, the City will 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 loss of human life;
or
(2) who receives a citation under State or local law for a
moving traffic violation arising from the accident if the
accident involved bodily injury to any person who, as a
result of the injury, immediately receives medical treatment
away from the scene of the accident, or one or more motor
vehicles incurring disabling damage as a result of the
accident, requiring the motor vehicle to be transported away
from the scene by a tow truck or other motor vehicle.
A Driver who is subject to post-accident testing must remain readily
available for such testing. Drivers that are not readily available for
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such testing may be deemed by the City to have refused to submit to
testi ng.
Drivers are required to submit to post-accident controlled substances
testing as soon as possible within thirty-two (32) hours of the accident.
If the Driver is not tested within thirty-two (32) hours after the accident,
the City will cease its attempts to test the Driver and prepare and
maintain on file a record stating why the test now not promptly
administered.
Drivers are required to submit to post-accident alcohol testing as soon
as possible within two (2) hours, and in any event no more than eight
(8) hours, after the accident. After an accident, consuming alcohol is
prohibited until the Driver is tested. If the Driver is not tested within
two (2) hours after the accident, the City will prepare and maintain on
file a record stating why the test was not promptly administered. If the
driver is not tested within eight (8) hours after the accident, the City will
cease its attempts to test the Driver and prepare and maintain on file a
record stating why the test was not administered.
In the event of an accident, it is possible that the Driver will be directed
to submit to a breath, blood, or urine test for the use of alcohol or
controlled substances administered by a federal, state, or local law
enforcement officer. Whenever such a test is conducted by a law
enforcement officer, the Driver must contact the City and immediately
report the existence of the test, providing the name, badge number,
and telephone number of the law enforcement officer who conducted
the test.
C. Random Testina
Every Driver will be subject to alcohol and controlled substances
testing on a random selection basis. Drivers will be selected for
testing by use of a scientifically valid method under which each Driver
has an equal chance of being selected each time selections are made.
These random tests will be conducted throughout the calendar year.
Each Driver who is notified of selection for random testing must cease
performing safety-sensitive functions (other than driving a commercial
motor vehicle) and report to the designated test site immediately. It is
mathematically possible that Drivers may be selected for more than
one (1) random test per year.
At this time, federal law requires the City to test at a rate of at least fifty
percent (50%) of its average number of Drivers for controlled
substances each year, and to test at a rate of at least ten percent
(10%) of its average number of Drivers for alcohol each year. These
minimum testing rates are subject to change by the DOT.
D. Reasonable SusDicion Testina
When the City has reasonable suspicion to believe that the Driver has
engaged in conduct prohibited by federal law (See Part II of this
Policy), the City must require the Driver to submit to an alcohol or
ON: 232199 Ver: 2 5
controlled substances test. Alcohol testing will occur 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.
The City's determination that reasonable suspicion exists to require
the Driver to undergo an alcohol test will be based on specific
contemporaneous, articulable observations concerning the
appearance, behavior, speech or body odors of the Driver made
during, just preceding, or just after the period of the work day that the
Driver is required to be in compliance with this policy. In the case of
controlled substances, the observations may include indications of the
chronic and withdrawal effects of controlled substances. .
The required observations for reasonable suspicion testing will be
made by a supervisor or other person designated by the City who has
received appropriate training in identification of actions, appearance
and conduct of a Driver which are indicative of the use of alcohol or
controlled substances. The person who makes the determination that
reasonable suspicion exists to conduct an alcohol test will not conduct
the alcohol test of the Driver, which shall instead be conducted by
another qualified person.
If a reasonable suspicion alcohol test is not administered within two (2)
hours following the determination of reasonable suspicion, the City will
prepare and maintain on file a record stating the reasons the alcohol
test was not promptly administered. If a reasonable suspicion alcohol
test is not administered within eight (8) hours following the
determination of reasonable suspicion, the City will prepare and
maintain on file a record stating the reasons the alcohol test was not
promptly administered, and will cease attempts to conduct the alcohol
test. If a reasonable suspicion drug test is not administered within
thirty-two (32) hours following the determination of reasonable
suspicion, the City will cease attempts to administer a drug test and
will prepare a record stating the reasons for not administering the test.
Notwithstanding the absence of a reasonable suspicion test, no Driver
may report for duty or remain on duty requiring the performance of
safety-sensitive functions 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 will the City permit the
Driver to perform or continue to perform safety-sensitive functions until
(1) an alcohol test is administered and the Driver's alcohol
concentration is less than .02; or (2) twenty-four (24) hours have
elapsed following the determination of reasonable suspicion.
E. Return-to-Dutv Testina
The City reserves the right to impose discipline in its sole discretion
against Drivers who violate applicable FHWA rules or this policy,
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subject to applicable personnel policy and collective bargaining
agreements. Except as otherwise required by law, the City is not
obligated to reinstate or requalify such Drivers.
Should the City consider reinstatement of such a Driver, the Driver
must 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, before the Driver returns to
duty requiring the performance of a safety-sensitive function.
F. Follow-UD Testina
The City reserves the right to impose discipline in its sole discretion
against Drivers who violate applicable FHWA rules or this policy,
subject to applicable personnel policies and collective bargaining
agreements. Except as otherwise required by law, the City is not
obligated to reinstate or requalify such Drivers.
Should the city reinstate a Driverfollowing a determination by a
Substance Abuse Professional that the Driver is in need of assistance
in resolving problems associated with alcohol misuse andlor use of
controlled substances, the City will ensure that the Driver is subject to
unannounced follow-up alcohol andlor controlled substances testing.
The number and frequency of such follow-up testing will be directed by
the Substance Abuse Professional and consist of at least six (6) tests
in the first twelve (12) months following the Driver's return to duty.
Follow-up testing will not exceed sixty (60) months from the date of the
Driver's return to duty.
Follow-up alcohol testing will be conducted only when 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 safety-sensitive functions.
G. Cost of Reauired Testina
The City will pay for the cost of pre-employment, post-accident,
random, and reasonable suspicion drug and alcohol testing requested
or required of all job applicants and employees. Based on the City's
independent authority, the Driver must pay for the cost of all requested
confirmatory re-tests, return-to-duty, and follow-up testing.
VI. COLLECTION AND TESTING PROCEDURES
A. Alcohol Testina
Employees will be tested for alcohol just before, during, or immediately
following performance of a safety-sensitive function. Screening tests
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for alcohol concentration will be performed utilizing a non-evidential
screening device included by the National Highway Traffic Safety
Administration on its conforming products list (e.g. a saliva screening
device) or an evidential breath testing device ("EBT'? operated by a
trained breath alcohol technician ("BA T'? at a collection site. All
confirmation tests will be performed utilizing an EBT operated by a
BA T. Each test will be conducted in a location that affords privacy to
the Driver being tested, unless unusual circumstances (e.g., when it is
essential to conduct a test outdoors at the scene of an accident) make
it impracticable to provide such privacy.
B. Controlled Substances TestinCl
The City will use a "split urine specimen" collection procedure for
controlled substances testing. Collection of urine specimens for
controlled substances testing will be conducted by an approved
laboratory, clinic or medical facility and will be conducted in a setting
and manner calculated to ensure the Driver's privacy. The collection
facility will be responsible for maintaining a proper chain of custody for
delivery of the sample to a DHSS-certified laboratory for analysis. The
laboratory will retain a sufficient portion of any positive sample for
testing and store that portion in a scientifically-acceptable manner for a
minimum of twelve (12) months.
C. Chain of Custody and Confidentialitv of Test Results
All controlled substances and alcohol testing will be performed in
compliance with applicable law, including use of an appropriately-
licensed urine testing laboratory which observes applicable chain-of-
custody procedures. The City will use procedures to test for the
presence of alcohol and controlled substances in order to protect the
Driver and the integrity of the testing process, safeguard the validity of
the test results, and ensure that test results are attributed to the
correct Driver. All reports of tests will be kept in the strictest
confidence by the laboratory and provided only to the City's Medical
Review Officer ("MROj, unless the Driver provides written consent or
disclosure is otherwise permitted or required by law.
VII. REVIEW AND NOTIFICATION OF TEST RESULTS
A. Review bv Medical Review Officer (UMRO")
Results of controlled substances tests will be sent by the testing
laboratory to an independent Medical Review Officer selected by the
City. The MRO is responsible for performing many functions, including
reviewing and interpreting test results, reviewing the Driver's medical
history to explain a positive test result, and notifying Drivers of
confirmed positive test results. Drivers who have been tested for
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controlled substances must remain available following the test to be
contacted by the MRO.
If the MRO determines that there is a legitimate medical explanation
for a confirmed positive test result, the MRO will report the test result
to the City as negative. If the MRO determines that there is no
legitimate medical explanation for a confirmed positive test result, the
MRO will report the positive test results to the City in accordance with
DOT regulations. Based on a review of laboratory reports, quality
assurance and quality control data, and other drug test results, the
MRO may conclude that a particular confirmed positive drug test result
is scientifically insufficient for further action. Under these
circumstances, the MRO will conclude that the test is negative for the
presence of drugs or drug metabolites in a Driver's system.
B. Notification of Test Results
The City will notify an applicant of the results of a pre-employment
controlled substances test if the applicant requests such results within
sixty (60) calendar days of being notified of the disposition of the
applicant's employment application. The City will notify a Driver of the
results of random, reasonable suspicion, and post-accident tests for
controlled substances if the test results are verified positive, and will
inform the Driver which controlled substance or substances were
verified as positive. Results of alcohol tests will be immediately
available from the collection agent.
C. Riaht to Confirmatory Retest
Within seventy-two (72) hours after receiving notice of a positive
controlled substances test result, an applicant or Driver may request
through the MRO a reanalysis (confirmatory retest) of the Driver's split
specimen. Action required by federal regulation as a result of a
positive drug test (e.g., removal from safety-sensitive functions) will
not be stayed during retesting of the split specimen. If the result of the
confirmatory retest fails to reconfirm the presence of the drug(s) or
drug metabolite(s) found in the primary specimen, or if the split
specimen is unavailable, inadequate for testing or untestable, the
MRO will cancel the test. Drivers will be reimbursed for any pay lost if
taken out of service based upon a positive test result which is later
negated by a confirmatory retest, and no adverse personnel action will
be taken against the Driver or job applicant based on the original test.
VIII. CONSEQUENCES FOR DRIVERS ENGAGING IN PROHIBITED CONDUCT
A. Removal From SafetY-Sensitive Functions
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No Driver may perform safety-sensitive functions, including driving a
commercial motor vehicle, if the Driver has engaged in conduct
prohibited by federal law (See Part II of this Policy).
No Driver who is found to have an alcohol concentration of 0.02 or
greater but less than 0.04 may perform or continue to perform safety-
sensitive functions for the City, including driving a commercial motor
vehicle, until the start of the Driver's next regularly scheduled duty, but
not less than twenty-four (24) hours following administration of the
test.
B. Notification of Resources Available
The City will advise each Driver who has engaged in conduct
prohibited by federal law (See Part II of this Policy) or who has a
positive alcohol or controlled substances test 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, address, and telephone numbers of Substance Abuse
Professionals and counseling and treatment programs.
C. Evaluation and Follow-Up Testina
The City reserves the right to impose discipline sanctions in its sole
discretion against Drivers who violate applicable FHWA rules or this
policy, subject to applicable personnel policies and collective
bargaining agreements. Except as otherwise required by law, the City
is not obligated to reinstate or requalify such Drivers.
Should the City reinstate a Driver who engages in conduct prohibited
by federal law or who has a positive alcohol or controlled substances
test, the Driver will be evaluated by a Substance Abuse Professional.
The SAP will determine what assistance, if any, the Driver needs in
resolving problems associated with alcohol misuse and controlled
substances use and will ensure that the Driver properly follows any
rehabilitation program and submits to unannounced follow-up alcohol
and controlled substances testing.
D. Responsibility for Cost of Evaluation and Rehabilitation
Based on the City's independent authority, Drivers will be responsible
for paying the cost of evaluation and rehabilitation (including services
provided by a Substance Abuse Professional) recommended or
required by the City or FHWA rules, except to the extent that such
expense is covered by an applicable employee benefit plan or
imposed on the City pursuant to a collective bargaining agreement.
E. Inapplicability to Pre-Emplovment Testina
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The requirements of this policy with respect to referral, evaluation and
rehabilitation do not apply to applicants who refuse to submit to a pre-
employment controlled substances test or to applicants whose pre-
employment controlled substances test is verified positive.
F. Potential Disciplinary Action:
Any applicant or Driver who violates any aspect of this policy or tests
positive for alcohol or controlled substances may be subject to
disciplinary action up to and including immediate termination based on
the City's independent authority, subject to applicable personnel
policies and collective bargaining agreements. Such a Driver may, at
the City's sole discretion, be offered the opportunity to submit to
evaluation, counseling or rehabilitation, at the Driver's expense, as an
alternative to discharge. Nothing in this policy shall limit or restrict the
right of the City to discipline or discharge a Driverfor conduct which
violates any other City rules, regulations, policies, practices, or
procedures. Nothing in this policy limits or restricts the right of the City
to establish, or negotiate where required, other provisions which are in
compliance with State and Federal statutes or regulations.
G. Revocation of Lease Aareement
Any agreement between the City and an independent contractor,
owner-operator or owner-lessor driving for the City may be
immediately revoked by the City based on the City's independent
authority upon a Driver's violation of this policy or upon a Driver's
positive alcohol or controlled substances test.
IX. MAINTENANCE AND DISCLOSURE OF RECORDS
Except as required or authorized by law, the City will not release Driver
information that is contained in records required to be maintained by this
policy or the FHWA regulations. In addition, 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 Driver is responsible for
making payment to the City for all records specifically requested by the
Driver.
X. POLICY CONTACT FOR ADDITIONAL INFORMATION
If you have questions about this policy or the City's drug and alcohol testing
procedures, you may contact your immediate supervisor or the Assistant to
the City Manager to obtain additional information.
XI. DEFINITIONS
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ON: 232199 Ve" 2
"Accident" means an occurrence involving a commercial motor
vehicle operating on a public road which results in a fatality; bodily
injury to any person who, as a result of the injury, immediately
receives medical treatment away from the scene of the accident; or
one or more motor vehicles incurring disabling damage as a result of
the accident, requiring the vehicle to be transported away from the
scene by a tow truck or other vehicle. The term "accident" does not
include an occurrence involving only boarding and alighting from a
stationary motor vehicle; an occurrence involving the loading or
unloading of cargo; or an occurrence in the course of the operation of
a passenger car or a multipurpose passenger vehicle unless the
vehicle is transporting passengers for hire or hazardous materials of a
type and quantity that require the motor vehicle to be marked or
placarded in accordance with 49 C.F.R. ~ 177.823. 49 C.F.R. ~
382.303(a); 49 C.F.R. ~ 382.30(f).
"Alcohol"means the intoxicating agent in beverage alcohol, ethyl
alcohol, or other low molecular weight alcohol including methyl and
isopropyl alcohol. 49 C.F.R. ~ 382.107.
"Alcohol Concentration (or Content)" means the alcohol on a
volume of breath expressed in terms of grams of alcohol per 210 liters
of breath as indicated by an evidential breath test. 49 C.F.R. ~
382.107.
"Alcohol Use" means the consumption of any beverage, mixture, or
preparation, including any medication, containing alcohol. 49 C.F.R. ~
382.107.
"Beer" means beer, ale, porter, stout, and other similar fermented
beverages (including sake or similar products) of any name or
description containing one-half of one percent or more of alcohol by
volume, brewed or produced from malt, wholly or in part, or from any
substitute therefore. 26 U.S.C. ~ 5052(a).
"Breath Alcohol Technician" or "BA T" means an individual who
instructs and assists individuals in the alcohol testing process and
operates an evidential breath testing device (EBT). 49 C.F.R. ~ 40.3.
"Collection Site"means a place designated by an employer where
drivers present themselves for the purpose of providing a specimen of
their urine to be analyzed for the presence of drugs. 49 C.F.R. ~ 40.3.
"Commercial Motor Vehicle" means a motor vehicle or combination
of motor vehicles used in commerce to transport passengers or
property if the motor vehicle (1) has a gross combination weight rating
of 26,001 or more pounds inclusive of a towed unit with a gross
vehicle weight rating of more than 10,000 pounds; or (2) has a gross
vehicle weight rating of 26,001 or more pounds; or (3) is designed to
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DN: 232199 Ve" 2
transport sixteen (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 C.F.R. ~ 382.107.
"City" means City of Prior Lake..
"City Premises" means all property, facilities, land, offices, living
quarters, buildings, structures, equipment, vehicles and parking areas,
whether owned, leased, used or under the control of the company.
The term should be interpreted in its broadest sense and may include
other work locations, such as the job site of a customer or delivery
destination.
"Confirmation (or Confirmatory) Test" for alcohol testing means a
second test, following a positive non-evidential (e.g. saliva) screening
test or a breath alcohol screening test with the result of 0.02 or
greater, that provides quantitative data of alcohol concentration. For
controlled substances testing, "Confirmation (or Confirmatory) Test"
means a second analytical procedure to identify the presence of a
specific drug or metabolite which is independent of the screen test and
which uses a different technique and chemical principal from that of
the screen test in order to ensure reliability and accuracy. 49 C.F.R. ~
382.017.
"Consortium" means an entity, including a group or association of
employers or contractors, that provides alcohol or controlled
substances testing as required by the FHWA regulations or other DOT
alcohol or controlled substances testing rules, and that acts on behalf
of employers. 49 C.F.R. S 382.107.
"Controlled Substances" means those substances identified in 49
C.F.R. S 40.21 (a). Marijuana, amphetamines, opiates (including
heroin), phencyclidine (PCP), cocaine, and any of their metabolites are
included within this definition. 49 C.F.R. ~ 382.107; 49 C.F.R. ~
40.21 (a).
"Distilled Spirits" means the substance known as ethyl alcohol,
ethanol, or spirits of wine in any form (including all dilutions and
mixtures thereof from whatever source or by whatever process
produced). 26 U.S.C. S 5002(a)(8).
"Department of Transportation" or "DOT" means the United States
Department of Transportation.
"Disabling Damage" means damage which precludes departure of a
motor vehicle from the scene of the accident in its usual manner in
daylight after simple repairs, including damage to motor vehicles that
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DN: 232199 Ver: 2
could have been driven, but would have been further damaged if so
driven. Disabling damage does not include damage which can be
remedied temporarily at the scene of the accident without special tools
or parts, tire disablement without other damage even if no spare tire is
available, headlight or taillight damage or damage to turn signals,
horn, or windshield wipers which make them inoperative. 49 C.F.R. 9
382.107.
"DHHS" means the Department of Health & Human Services or any
designee of the Secretary, Department of Health & Human Services.
49 C.F.R. ~ 40.3.
"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 the company or who operate a
commercial motor vehicle at the direction of or with the consent of the
company. 49 C.F.R. 9 382.107.
"Drugs" has the same meaning as "controlled substances."
"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 also includes an employer's agents, officers, and
representatives. 49 C.F.R. 9 382.107.
"Evidential Breath Testing Device" or "EBT" means a device
approved by the National Highway Traffic Safety Administration
("NHTSA") for the evidential testing of breath and placed on NHTSA's
"Conforming Products List of Evidential Breath Measurement
Devices." 49 C.F.R. ~ 40.3.
"Federal Highway Administration" or "FHWA" means the Federal
Highway Administration of the United States Department of
Transportation.
"Gross Combination Weight Rating" means the value specified by
the manufacturer as the loaded weight of a combination (articulated)
vehicle. In the absence of a value specified by the manufacturer, the
rating is determined by adding the gross combination weight rating of
the power unit and the total weight of the towed unit and any load
thereon. 49 C.F.R. ~ 390.5.
"Gross Vehicle Weight Rating" means the value specified by the
manufacturer as the loaded weight of a single vehicle. 49 C.F.R. 9
390.5.
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DN: 232199 Ver: 2
"Intermittent, Casual, or Occasional Driver" means a driver who in
any period of seven (7) consecutive days is employed or used as a
driver by more than a single motor carrier. 49 C.F.R. ~390.5.
"Licensed Medical Practitioner" means a person who is licensed,
certified, and/or registered, in accordance with applicable Federal,
State, local, or foreign laws or regulations, to prescribe controlled
substances and other drugs. 49 C.F.R. ~ 382.107.
"Medical Review Officer" or "MRO" means a licensed physician
(medical doctor or doctor of osteopathy) responsible for receiving
laboratory results generated by a 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 his or her medical history and any other relevant
biomedical information. 49 C.F.R. ~ 40.3.
"Performing (a Safety-Sensitive Function)" means any period in
which a driver is actually performing, ready to perform, or immediately
available to perform any safety-sensitive functions. 49 C.F.R. 9
382.107.
"Positive Test Result" means a finding of the presence of alcohol or
controlled substances, or their metabolites, in the sample tested in
levels at or above the threshold detection levels established by
applicable law.
"Reasonable Suspicion" means a belief that a Driver has engaged in
conduct prohibited by the FHWA drug and alcohol testing regulations,
except when related solely to the possession of alcohol, based on
specific contemporaneous, articulable observations made by a
supervisor or company official who has received appropriate training
concerning the appearance, behavior, speech or body odors of the
Driver. The determination of reasonable suspicion for alcohol testing
will be made during, just preceding, or just after the period of the work
day that the Driver is required to be in compliance with this policy. In
the case of controlled substances, the observations may include
indications of the chronic and withdrawal effects of controlled
substances.
"Refusal to Submit" means a Driver (1) fails to provide adequate
breath for alcohol testing without a valid medical explanation after he
or she has received notice of the requirement for breath testing, (2)
fails to provide adequate urine for controlled substances testing
without a genuine inability to provide a specimen (as determined by a
medical evaluation), after he or she has received notice of the
requirement for urine testing, or (3) engages in conduct that clearly
obstructs the testing process. Refusal by a Driver to complete and
sign the alcohol testing form, to provide a breath or saliva sample, to
15
ON: 232199 Ver: 2
provide an adequate amount of breath, or otherwise cooperate in a
way that prevents the completion of the testing process constitutes a
refusal to test. 49 C.F.R. !'j382.107.
"Regularly Employed Driver" means a driver who in any period of
seven (7) consecutive days is employed or used as a driver by a
single motor carrier. 49 C.F.R. S 390.5.
"Safety-Sensitive Function" means all time from the time a driver
begins to work or is required to be in readiness to work until the time
helshe is relieved from work and all responsibility for performing work.
Safety-sensitive functions include:
(1) All time at an employer or shipper plant, terminal, facility, or other
property, or on any public property, waiting to be dispatched,
unless the driver has been relieved from duty by the employer,
(2) All time inspecting equipment as required by 49 C.F.R. SS 392.7
and 392.8 or otherwise inspecting, servicing, or conditioning any
commercial motor vehicle at any time;
(3) All time spent at the driving controls of a commercial motor vehicle
in operation;
(4) All time, other than driving time, in or upon any commercial motor
vehicle except time spent resting in a sleeper berth (a berth
conforming to the requirements of 49 C.F.R. S 393.76);
(5) All time loading or unloading a vehicle, supervising, or assisting in
the 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; and
(6) All time repairing, obtaining assistance, or remaining in attendance
upon a disabled vehicle. 49 C.F.R. S 382.107.
"Screening Test (also known as Initial Test)" in alcohol testing,
means an analytical procedure to determine whether a driver may
have a prohibited concentration of alcohol in his or her system.
Screening tests may be conducted by utilizing a non-evidential
screening device included by the National Highway Traffic
Administration on its conforming products list (e.g. a saliva screening
device) or an evidential breath testing device ("EBT") operated by a
trained breath alcohol technician ("BA n. In controlled substance
testing, "Screening Test" means an immunoassay screen to eliminate
"negative" urine specimens from further consideration. 49 C.F.R. S
382.107.
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ON: 232199 Ver: 2
"Substance Abuse Professional" or "SAP" means a licensed
physician (medical doctor or doctor of osteopathy), licensed or certified
psychologist, licensed or certified social worker, licensed or certified
employee assistance professional, or licensed or certified 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. 49 C.F.R. !l382.107.
"Wine" means wine of not less than one-half of one percent of alcohol
by volume. 49 C.F.R. !l392.5(a)(3).
17
CERTIFICATE OF RECEIPT
This policy, as distributed to Drivers, contains two copies of this page. Every Driver should keep the first page intact for
his or her records. In addition, every Driver should sign and complete the second page for the City's records.
I certify that I have received the City Policy on Alcohol and Controlled Substances for
Drivers in accordance with 49 C.F.R. ~ 382.601, which requires the City to provide
educational materials that explain the requirements of Federal law and the City's policies
and procedures with respect to meeting these requirements. I acknowledge that I am
responsible for reading, understanding, and complying with all Department of
Transportation ("DOT") regulations and City policies regarding alcohol and controlled
substances use and testing, and that I must abide by these regulations and policies as a
condition of my employment. I understand that, because changes in applicable law and
the City's practices and procedures may occur from time to time, terms of the City's policy
may change without prior notice, and that nothing in this policy is intended to be a
contract, promise, or representation of any specific term or condition of employment
except to the extent required by law. I further understand that the City and its agents may:
administer to me an examination which may include tests for alcohol and
controlled substances, including non-evidential alcohol screening (e.g. saliva
screening), breath alcohol testing, and urine controlled substances testing,
disclose results of alcohol or controlled substances testing and related
information to a testing laboratory, the City's Medical Review Officer, a
Substance Abuse Professional, and the DOT,
use the results of alcohol or controlled substances testing, as well as other
relevant evidence, in determining whether to hire me as a Driver, discipline or
discharge me, orretain me as a Driver of the City, and
discipline me up to and including immediate termination if at any time I report for
duty or perform safety-sensitive functions while under the influence of alcohol or
controlled substances, refuse to submit to a required alcohol or controlled
substances test, test positive for alcohol or controlled substances, or otherwise
violate DOT regulations, this policy, or other policies regarding the use of alcohol
or controlled substances adopted by the City.
I have read this certification carefully and have been given an opportunity to ask questions
about it before providing my signature below.
Supervisor's Signature
Driver's Signature
Driver's Name (print)
Supervisor's Name (print)
Date (month/day/year)
Social Security Number
RETAIN THIS COPY FOR YOUR RECORDS
ON: 232199 Ver: 2
18
CERTIFICATE OF RECEIPT
This policy, as distributed to Drivers, contains two copies of this page. Every Driver should keep the first page intact for
his or her records. In addition, every Driver should sign and complete the second page for the City's records.
I certify that I have received the City Policy on Alcohol and Controlled Substances for
Drivers in accordance with 49 C.F.R. ~ 382.601, which requires the City to provide
educational materials that explain the requirements of Federal law and the City's policies
and procedures with respect to meeting these requirements. I acknowledge that I am
responsible for reading, understanding, and complying with all Department of
Transportation ("DOT") regulations and City policies regarding alcohol and controlled
substances use and testing, and that I must abide by these regulations and policies as a
condition of my employment. I understand that, because changes in applicable law and
the City's practices and procedures may occur from time to time, terms of the City's policy
may change without prior notice, and that nothing in this policy is intended to be a
contract, promise, or representation of any specific term or condition of employment
except to the extent required by law. I further understand that the City and its agents may:
administer to me an examination which may include tests for alcohol and
controlled substances, including non-evidential alcohol screening (e.g. saliva
screening), breath alcohol testing, and urine controlled substances testing,
disclose results of alcohol or controlled substances testing and related
information to a testing laboratory, the City's Medical Review Officer, a
Substance Abuse Professional, and the DOT,
use the results of alcohol or controlled substances testing, as well as other
relevant evidence, in determining whether to hire me as a Driver, discipline or
discharge me, or retain me as a Driver of the City, and
discipline me up to and including immediate termination if at any time I report for
duty or perform safety-sensitive functions while under the influence of alcohol or
controlled substances, refuse to submit to a required alcohol or controlled
substances test, test positive for alcohol or controlled substances, or otherwise
violate DOT regulations, this policy, or other policies regarding the use of alcohol
or controlled substances adopted by the City.
I have read this certification carefully and have been given an opportunity to ask questions
about it before providing my signature below.
Driver's Signature
Supervisor's Signature
Driver's Name (print)
Supervisor's Name (print)
Social Security Number
Date (month/day/year)
COMPLETE AND SIGN THIS COpy FOR THE CITY'S RECORDS
DN: 232199 Ve" 2
19
This Policy has been drafted to comply with the drug and alcohol testing
regulations adopted by the United States Department of Transportation, Federal
Highway Administration, 49 C.F.R. S 382 (Controlled Substances and Alcohol Use
and Testing) and 49 C.F.R. S 40 (Procedures for Transportation Workplace Drug
Testing Programs).
This Policy does not conform to other federal laws or any applicable state law
requirements. If the City employs drivers in states that regulate drug and alcohol
testing, the City should ensure compliance with all applicable state laws. Under
Minnesota law, employers governed by the Federal Highway Administration drug
and alcohol testing regulations are exempt from the Minnesota Drug and Alcohol
Testing in the Workplace Act with respect to the testing of commercial drivers.
DN: 232199 Ver: 2