Administrative Guideline - 3162 Procedures for Alcohol and Controlled Substance Testing for Commercial Driver's License (CDL) Employees


I. Purpose

The purpose of this administrative guide is to set forth the procedures for the implementation of controlled substance and alcohol use and testing of employee applicants, current employees and employees pursuant to Carmel Clay Schools’ alcohol and drug abuse policy. 

Carmel Clay Schools’ alcohol and drug program administrator designated to monitor, facilitate, and answer questions pertaining to these procedures is the Director of Facilities and Transportation hereafter referred to as the Designated Employer Representative (DER).

II. Provisions

A. Application

These procedures apply to all School Corporation employees that utilize a Commercial Drivers License (CDL) in the course of their employment. A valid CDL is required to operate the type of equipment (“commercial vehicle”) listed below:

1. A vehicle having a Gross Vehicle Rating (GVWR) as assigned by the manufacturer of 26,001 pounds or more; or

2. A combination vehicle having a Gross Combination Weight Rating of 26,001 pounds or more.

3. A vehicle that is designed to transport 16 or more passengers, including the driver.

B. Prohibited Conduct

The following shall be considered “prohibited conduct” for purposes of these procedures:

1. No employee shall report for duty or remain on duty requiring the performance of safety-sensitive functions while having an alcoholic concentration of .02 or greater. An employee is considered to be performing a safety-sensitive function if he/she is actually performing, ready to perform, or immediately available to perform any of the following on-duty functions:

a. All time spent at a facility waiting to be dispatched;

b. All time inspecting, servicing, or conditioning any commercial motor vehicle at any time;

c. All driving time or time spent at the driving controls of a commercial vehicle in operation;

d. All time spent loading or unloading a vehicle, supervising, or assisting in the loading or unloading, attending a vehicle being loaded or unloaded, including completion of any related paperwork; and remaining in readiness to operate the vehicle;

e. All time performing those duties required of an employee involved in a vehicle accident; or

f. All time spent repairing, assisting, or attending to a disabled motor vehicle.

2. No employee shall be on duty or operate a commercial vehicle while the employee possesses alcohol.

3. No employee shall use alcohol while performing safety-sensitive functions.

4. No employee shall perform safety-sensitive functions within four (4) hours after using alcohol.

5. No employee required to take a post-accident test shall use alcohol for eight (8) hours following the accident or until he or she undergoes a post-accident test, whichever occurs first.

6. No employee shall refuse to submit to a post-accident, random, reasonable suspicion, return-to-duty, or follow-up alcohol or drug test.

C. Prescription Medication and/or Other Medication Use

1. An employee is prohibited from reporting for duty or remaining on duty when the employee uses any controlled substance, except when the use is pursuant to the written instruction of a physician who has advised the employee that the substance will not adversely affect his/her ability to safely perform the employee’s duties. The employee must provide the School Corporation with proof of such medical advice. The School Corporation can decide if the employee can remain at work or on the premises of the School Corporation facilities and what work restrictions, if any, are deemed necessary.

2. Any employee who is using a prescribed drug or other medication, which is known or advertised as possibly affecting or impairing judgment, coordination or other senses, (including dizziness or drowsiness), or which may adversely affect the employee’s ability to perform work in a safe and productive manner, must notify the School Corporation prior to starting work or entering any School Corporation premises. The School Corporation will decide if the employee can remain at work or on the School Corporation Premises and what work restrictions, if any, are deemed necessary.

3. Ingestion of products that contain hemp will not be an acceptable explanation for testing positive for marijuana.

D. Refusal to Test

Refusal to submit to the types of drug and alcohol tests employed by the School Corporation will be grounds for refusal to hire employee/applicant(s) and to discipline existing CDL employee(s). A refusal to test would include any of the following situations:

1. Failing to appear for any test within a reasonable time after being directed to do so.

2. Failing to remain at the testing site until the testing process is completed.

3. Failure to provide a breath sample, saliva sample or urine sample as directed.

4. Failure to permit, if the situation requires, the observation or monitoring of providing a urine specimen.

5. Failure to provide a urine, breath or saliva specimen within required time frames may be considered a refusal. If an employee cannot provide a sufficient quantity of urine or breath, he/she will be directed to be evaluated by a physician of the School Corporation’s choice. If the physician cannot find a legitimate medical explanation for the inability to provide a specimen (either breath or urine), it will be considered a refusal to test. In that circumstance the employee has violated one of the prohibitions of the regulations.

6. Failure to undergo a medical examination or evaluation, as directed by the Medical Review Officer (MRO) as part of the verification process, or as directed by the DER as part of a “shy bladder” or “insufficient breath” situation.

7. Failing or declining to take a second test as required by DOT regulations.

8. Failure to cooperate with any part of the testing process and/or conduct that would obstruct the proper administration of a test. (e.g., refusing to empty pockets when so directed by the collector, behaving in a confrontational way that disrupts the collection process)

9. For an observed collection, fail to follow the observer’s instruction to raise your clothing above the waist, lower clothing and underpants, and to turn around to permit the observer to determine if you have any type of prosthetic or other device that could be used to interfere with the collection process.

10. Possess or wear a prosthetic or other device that could be used to interfere with the collection process.

11. Admission to the collector or MRO by the employee that they adulterated or substituted their specimen.

12. Refusing to sign step two (2) of the alcohol testing form.

13. A report from the MRO that you have a verified adulterated or substituted test result.

E. Types of Tests

Pursuant to regulations promulgated by the Department of Transportation (DOT), the School Corporation has implemented four circumstances for drug and alcohol testing: pre-employment (drug testing only), post-accident, random, and reasonable suspicion.

1. Pre-employment Testing

All applicants who are required to have or obtain a CDL must submit to and successfully complete a urine drug test before being placed on the payroll or assigned work duties.

As a condition of employment, the employee applicant shall provide the School Corporation with a written authorization for all previous employers within the past three (3) years to release drug and alcohol testing records as the regulations require. Within thirty (30) days of performing a safety-sensitive function, DOT regulations require that the School Corporation obtain, to the extent available, certain drug and alcohol testing records from the employee’s previous employers for the previous three (3) years.

2. Random Testing

The School Corporation conducts random drug and alcohol testing. The School Corporation will submit all employees’ names to a random selection system. The random selection system provides an equal chance for each employee to be selected each time random selection occurs. Random selections will be reasonably spread throughout the year. The School Corporation will drug test, at a minimum, twenty-five (25) percent of the average number of employee positions in each calendar year or at a rate established by the DOT for the given year. The School Corporation will select, at a minimum, ten (10) percent of the average number of employee positions in each calendar year for random alcohol testing, or at the rate established by the DOT for the given year. Random selection by its very nature may result in employees being selected in successive selections more than once a calendar year.

If an employee is selected at random, for either drug or alcohol testing, a School Corporation official will notify the employee. Once notified, the employee must proceed to the designated collection site immediately. If the employee does not go to the collection site as soon as possible after notification, such conduct may be considered a refusal to test.

3. Post-Accident Testing

Following any accident, the employee must contact the School Corporation as soon as possible. The employee must submit to a Federal DOT drug and alcohol test any time he or she is involved in an accident where 1) a fatality is involved; or 2) the employee receives a citation for a moving violation arising from the accident that involved: 

  • injury requiring medical treatment away from the scene,
  • or one or more vehicles having to be towed from the scene. 

The employee shall follow the instructions from the School Corporation or its representative to complete required testing.

For other accidents not covered by the DOT definition above, the School Corporation may require a non-regulated drug and alcohol test when:

  • The employees actions may have contributed or cannot be completely discounted as a contributing factor to an accident. 
  • In this case, an accident shall mean an incident which results in damage over $1000.00 or personal injury. 
  • An incident results in a lost time injury. 

Any time a post-accident drug or alcohol test is required, it must be performed as soon as practical. If no alcohol test can be made within eight (8) hours, attempts to perform an alcohol test shall cease. If no urine collection can be obtained for the purpose of post-accident drug testing within thirty-two hours, attempts to make such collection shall cease. An employee is prohibited from consuming alcohol between the time of the accident and the test.

In the event that federal, state, or local officials conduct breath or blood test for the use of alcohol and/or urine tests for the use of controlled substances following an accident, employees must comply with law enforcement personnel requests. The School Corporation may request testing documentation from such agencies, and, upon request, the employee will sign a release allowing the School Corporation to obtain such test results.  

In the event an employee is so seriously injured that the employee cannot provide a sample of urine, breath or saliva at the time of the accident, the employee must provide necessary authorization for the School Corporation to obtain hospital records or other documents that would indicate the presence of controlled substances or alcohol in the employee’s system at the time of the accident.

4. Reasonable Suspicion Testing

Reasonable suspicion for requiring an employee to submit to drug and/or alcohol testing shall be deemed to exist when an employee manifests physical, behavioral, speech or performance symptoms or reactions commonly attributed to the use of controlled substances or alcohol. Such employee conduct must be witnessed by a supervisor who is trained in compliance with Part 382.603 of the Federal Motor Carrier Safety Regulations. 

A supervisor observing such conditions will take the following actions immediately:

a. Confront the employee involved, and keep the employee under direct observation until the situation is resolved.

b. Secure the DER’s concurrence to observations. After discussing the circumstances with the DER, arrangements will be made to observe or talk with the employee. If the DER believes, after observing or talking to the employee, that the conduct or performance problem could be due to substance abuse, the employee will be immediately required to submit to a breath test or urinalysis. If the employee refuses to submit to testing for any reason, the employee will be informed that continued refusal would result in disqualification from performing any safety-sensitive function and such refusal may result in disciplinary action.

c. Employees will be asked to release any evidence relating to the observation for further testing. Failure to comply may subject the employee to subsequent discipline or suspension from driving duties. All confiscated evidence will be receipted for with signatures of both the receiving supervisor, as well as the provider.

d. Within 24 hours or before the results of the controlled substance test are released, the DER will document in writing the particular facts related to the behavior or performance problems, that led to the reasonable suspicion test and maintain this documentation in appropriate DOT files.

e. The DER shall remove or cause the removal of the employee from the School Corporation-owned vehicle and ensure that the employee is transported to an appropriate collection site and thereafter to the employee’s residence or, where appropriate, to a place of lodging. Under no circumstances will that employee be allowed to continue to drive a School Corporation vehicle or his/her own vehicle until a confirmed negative test result is received.

F. Controlled Substance Testing Protocol

1.  Urine Collection Procedures:

a. The testing procedure starts with the collection of a urine specimen.

b. Collection procedures will follow the specific guidelines set forth by the U.S. Department of Transportation as outlined in the published collection procedures guidelines. 

c. Employees will be directed to empty their pockets and display the contents to the collector. 

d. Employees will be allowed privacy during the collection process except as noted in letter e. below.

e. Observed collections are required by DOT if:

 i. The specimen is determined invalid and there is no medical explanation.

 ii. The specimen is determined to be negative-dilute with a creatinine value >2 mg/dl but <5 mg/dl.

 iii. The collector observes evidence of an employee’s attempt to tamper with the specimen.

 iv. The temperature of the specimen is out of range.

 v. The specimen appears to have been tampered with.

f. As part of the collection process, the specimen provided will be split into two portions; a primary specimen and a secondary (split) specimen.

g. If the employee is unable to provide 45 ml of urine, the DOT “shy bladder” rule will apply. The employee will have up to 3 hours to provide the required 45 ml, and may consume up to 40 ounces of fluids during this time period. The employee will be required to be monitored during the waiting period.

h. After collection, the specimen will be submitted to a SAMHSA certified laboratory for testing.   

2.  Laboratory Procedures:

Drug testing will be performed through urinalysis. Urinalysis will test for the presence of drugs and/or metabolites of the following controlled substances: marijuana, cocaine, opiates, amphetamines and phencyclidine (PCP).

The SAMHSA certified laboratory will perform initial screenings on all primary specimens. In the event that the primary specimen tests positive, a confirmation test of that specimen will automatically be performed. If the confirmatory test is positive it will be reported to the Medical Review Officer (MRO) as a positive.

3.  Validity Testing:

The laboratory must also perform validity testing on each specimen received. The purpose of validity testing is to determine whether certain adulterants or foreign substances were added to the urine, if the urine was diluted, or if the specimen was substituted. The following will be measured: creatinine level, specific gravity, and pH. In addition, all specimens will be tested for known adulterants. An initial validity test is performed first, followed by a confirmation test if required.   The laboratory will report all laboratory results to a MRO designated by the School Corporation or its agents. 

4.  MRO Procedures:

a. All tests results will undergo a review process by the MRO.

b. Negative test results will be reported directly to the School Corporation by the MRO. 

c. Positive, adulterated or substituted results will be handled in the following manner by the MRO: 

 i. Before reporting a positive, adulterated or substituted test result to the School Corporation, the MRO will attempt to contact the employee to discuss the test result. 

 ii. The employee is required to discuss the result with the MRO. The employee will be allowed to explain and present medical documentation to explain any permissible use of a drug. 

 iii. For adulterated or substituted results, the employee must demonstrate that he or she did produce or could have produced urine, through physiological means, a specimen meeting the creatinine and specific gravity criteria of a substituted or adulterated specimen. 

 iv. If the MRO is unable to contact the employee directly, the MRO will contact the DER designated in advance by the School Corporation, who shall, in turn, contact the employee and direct the employee to contact the MRO. Upon being so directed, the employee shall contact the MRO immediately or, if the MRO is unavailable, at the start of the MRO’s next business day. 

 v. If, after failing to contact the MRO within 72 hours after being instructed to do so by the DER, or if the employee cannot be contacted at all within ten (10) days, or the employee expressly declines the opportunity to discuss the test, the MRO may verify the test as positive or a refusal.

 vi. In the MRO’s sole discretion, a determination will be made as to whether a result is verified as positive, negative or considered a refusal. 

 vii. After any verified positive or refusal to test determination, the employee may petition the MRO to reopen the case for reconsideration.

5.  Diluted Specimens

If a specimen is reported as diluted by the laboratory, the MRO will report this information to the DER. The School Corporation policy will require an immediate recollect for another test. The result of this test will stand as the final result. If the second specimen is reported diluted by the laboratory it shall be considered a positive by the School Corporation. If the employee is directed to take a second test and declines to do so, this will be considered a refusal to test and have the consequences of a refusal to test.

6.  Medical Information Disclosure:

Pursuant to DOT regulations, if, in the MRO’s opinion, any information provided may mean a medical disqualification or represent a safety hazard, such as the use of certain prescription drugs, the MRO must disclose this to the employer. Individual test results for employee applicants and employees will be released to the School Corporation and will be kept strictly confidential unless consent for the release of the test result has been obtained. Any individual who has submitted to drug testing in compliance with this procedure is entitled to receive the results of such testing upon written request.

7.  Safeguards for the integrity of the drug testing process:

a. The collector must obtain photo identification from the donor or identification by supervisor prior to administering the test. 

b. The employee will be asked to wash their hands.

c. The donor signs the chain of custody form signifying the correctness of data for test reporting.

d. Electronic communication of test results from the laboratory into the MRO reporting system with no external human intervention.

e. The specimen container and specimen bottles are individually wrapped and unwrapped in donor’s presence.            

f. After the specimen is provided in a reasonable time, the collector inspects it for sufficient volume, temperature and signs of tampering. If a specimen is not provided, the employee will be referred to a MRO to determine whether there is a valid medical reason. If there is, the employee must still attempt to provide a specimen each time their name is drawn.            

g. After the specimen is given to the collector, the remaining collection procedures are conducted in donor’s view.     

h. The specimen bottles and shipping container are sealed with tamper evident seals.           

i. The donor will be asked to sign the seals covering the specimen bottles identifying they were sealed in their presence.           

j. The specimen bottle seals match the identifying seals on the chain of custody form.

k. The laboratory will check the specimen bottles upon receipt to insure the seal has not been broken. If the seal has been broken the laboratory will report the test as cancelled.  

l. Blind sample submission through the laboratory for quality control.       

m. A collector who has completed the qualification training as mandated in CFR Part 40 as amended will perform the collection.

G. Split Specimen Testing Protocol

An employee may request that the “split” portion of his/her specimen be tested at a different SAMHSA laboratory if he/she was notified by the MRO that his/her test result was positive, adulterated or substituted.  The request must be made to the MRO within 72 hours of being notified of a verified positive, adulterated or substituted result. The MRO will arrange for all procedures to be done in accordance with split specimen testing procedures.

The cost of a split specimen test will be the responsibility of the employee. The School Corporation will withhold the amount of the cost of testing the split from the employee’s pay unless other arrangements are acceptable to both the employee and the School Corporation. If the employee makes a timely request (within 72 hours) to the MRO for the split portion to be tested, the MRO shall immediately make arrangement with the laboratory to initiate the process.

H. Alcohol Testing Protocol

Alcohol tests will be conducted by a trained Breath Alcohol Technician (BAT) or Screening Test Technician (STT). Screening tests may be done using an evidential breath testing device (EBT) or non-evidential screening device approved by the National Highway Traffic Safety Administration. Confirmatory tests will be done by a trained BAT using an evidential breath testing device. The employee shall report to the alcohol testing site as notified by the School Corporation. The employee shall follow all instructions given by the alcohol technician.

If the result of a screening test is a breath alcohol concentration (BAC) of less than 0.02, no further testing is authorized. Any initial test indicating a BAC of .02 or greater will be confirmed on an EBT operated by a BAT. The confirmation test will be performed no sooner than fifteen (15) minutes and no later than thirty (30) minutes following the completion of the initial test. In the event the confirmation test indicates a BAC of .02 or greater, the employee shall be removed from duty. Employees with tests indicating a BAC of .02 or greater are considered to have engaged in prohibited conduct, which may result in disciplinary action up to and including termination. All alcohol tests shall be performed just prior to, during, or just after performing a safety sensitive function.

Alcohol Testing Safeguards For employee’s Protection:

1. The BAT must obtain donor’s photo identification prior to administering the test.

2. An individually wrapped mouthpiece will be opened and inserted into the EBT for the donor’s test.

3. The National Highway Traffic Safety Administration approves the EBT that is used.

4. Calibration checks are frequently performed to insure the EBT is working efficiently.

5. If the screening test indicates a 0.02 or greater, a confirmation test will be administered.

6. An air blank will be administered prior to the confirmation test with a 0.000 reading.

7. An individually wrapped mouthpiece will be inserted for the confirmation test.

8. The BAT has completed the required training course in the correct operation of the EBT.

I. Educational Materials

The School Corporation shall provide educational materials that explain the requirements of Part 382.601 of the Federal Motor Carrier Safety Regulations, consequences of violating the regulations, and the School Corporation’s policies and procedures with respect to meeting these requirements. The materials supplied to the employees may include information on additional School Corporation policies with respect to the use or possession of alcohol or controlled substances, for example, the consequences for an employee found to have specified alcohol or controlled substances level based on the School Corporation’s authority independent of Part 382.601 of the Federal Motor Carries Regulations. Materials will also be provided concerning the effects of alcohol and controlled substances use on an individual’s health, work and personal life.

Employees are required to attend an educational meeting(s) to discuss the School Corporation’s policies and procedures and to review all materials covered by this procedure. Each employee is required to sign a statement (certificate of receipt) certifying that he or she has received a copy of these materials described in Part 382.601 of the Federal Motor Carrier Regulations. The School Corporation shall provide these materials to each employee prior to the start of alcohol and controlled substance testing and to each employee subsequently hired or transferred into a position requiring driving a commercial vehicle.

III. Disciplinary Procedures

Any employee who has a positive test for alcohol (.02 BAC or greater) or controlled substances or has refused to test is considered in violation of the School Corporation’s policy. This employee is not qualified to drive a commercial vehicle and will be immediately removed from service. An employee testing positive or refusing to test shall be terminated.  The School Corporation will immediately notify the police if the employee tests above the legal limit or if there is a suspicion that the employee is under the influence of alcohol or drugs.  

Any employee who submits an adulterated or substituted specimen is considered in violation of the School Corporation’s policy. This employee is not qualified to drive a commercial vehicle and will be immediately removed from service. An employee submitting an adulterated or substituted specimen shall be terminated.

An employee who submits a diluted specimen and upon recollection the second specimen is reported diluted by the laboratory is considered in violation of the School Corporation’s policy. This employee is not qualified to drive a commercial vehicle and will be immediately removed from service. An employee submitting a diluted specimen as described above shall be terminated.

IV. Voluntary Disclosure

The School Corporation encourages personnel to seek help if they feel they have a problem with drug or alcohol misuse before it becomes a matter of discipline with the School Corporation. The School Corporation will assist any employee who voluntarily discloses to the School Corporation that he/she believes that he/she has a drug or alcohol problem in seeking professional help to address their problem. This voluntary step of self-identification is the responsibility of the individual, and with the exception of certain conditions, will alleviate the requirement for disciplinary action if brought to the School Corporation’s attention prior to any testing conducted by the School Corporation. Upon disclosure of a problem to School Corporation personnel, the employee will be removed from all safety-sensitive duties without pay. The employee will be provided with the names, addresses, and phone numbers of qualified substance abuse professionals who are approved by the School Corporation. The employee will be responsible for all costs associated with this process. If the employee makes no commitment to overcoming the problem and achieving a satisfactory level of performance, attendance, or behavior, then termination of employment will result.

Return to duty will be permitted only upon successful completion of an educational or treatment program including any return to duty testing or non-DOT follow-up testing.

V. Confidentiality and Release of Information

Under no circumstances, unless required or authorized by law, will alcohol or drug testing information or results for any employee or applicant be released without written request from the applicable employee.

The School Corporation may release information as follows:

1. Copies of the results of alcohol or drug testing to an identified person provided the employee has provided written consent.

2. Copies of information requested by the Secretary of Transportation, any DOT agency, or any State or local official with regulatory control over the School Corporation or any of its employees.

3. The results of post-accident testing when requested by the National Transportation Safety Board as part of an accident investigation.

4. Legal proceedings to include:

a. Lawsuits (e.g., wrongful discharge action).
b. Grievances (e.g., an arbitration concerning disciplinary action taken by the employer).
c. Administrative proceedings (e.g., an unemployment compensation hearing) brought on by, or on behalf of, an employee and resulting from a positive DOT drug test or alcohol test or a refusal to test (including, but not limited to, adulterated or substituted test results).
d. Criminal or civil actions – to the decision maker in the proceeding (e.g., the court in the lawsuit)

Employees are entitled, upon written request, to obtain copies of any records pertaining to their use of alcohol or controlled substances, including any records pertaining to his or her alcohol or controlled substance tests.

VI. Responsibility

A. Employee - All School Corporation employees that hold a valid CDL are responsible for abiding by this procedure as a condition of their employment.

B. Management Officials and Supervisors - All supervisors and School Corporation officials are responsible for being alert to employee conduct that raises a reasonable suspicion that an employee is using or is under the influence of alcohol or controlled substances while on duty or otherwise performing School Corporation business.

These procedures are not intended nor should it be constructed as a contract between the School Corporation and the employee. These procedures may change at any time at the sole discretion of the School Corporation.

Revised 2/24/16
Revised 10/26/10