UK Human Resources
Policy # 21.0: Omnibus Transportation Act Employee Alcohol and Controlled Substance Testing
It is the policy of the University to administer complete commercial driver’s license (CDL) physical examinations and alcohol and controlled substance testing for all employees whose job duties require a CDL.
Note: This policy applies to all University faculty and staff employees.
- Covered Employees are University employees (including mechanics who may test drive a repaired vehicle) who operate any of the following class University owned or leased vehicles:
- Class A: Any combination of vehicles with a gross vehicle weight rating (GVWR) of 26,001 or more pounds, provided the vehicle being towed is in excess of 10,000 pounds GVWR;
- Class B: Any single motor vehicle with a GVWR of 26,001 or more pounds or any such vehicle towing a vehicle less than 10,000 pounds GVWR; and
- Class C: Any vehicle with a GVWR of less than 26,001 pounds that is either;
- transporting hazardous materials for which placarding is required, or
- designed to transport 16 or more passengers, including the driver.
- Any University employee, required to possess a CDL as a condition of employment, shall be tested for alcohol and controlled substances as follows:
- Prior to the first time the employee performs safety-sensitive functions for the University;
- Following an accident if:
- the employee was performing a safety-sensitive function with respect to the vehicle and the accident involved the loss of human life; or
- the employee receives a citation under state or local law for a moving traffic violation arising out of the accident;
- If randomly selected for testing at any time during any year;
- Any time reasonable suspicion exists that the employee may have violated the rules for alcohol misuse or controlled substance use of the Omnibus Transportation Employee Testing Act and/or Human Resources Policy & Procedure (HRP&P) 13.0: Alcohol Abuse or HRP&P 14.0: Drug Abuse;
- Before the employee returns to duty in a safety-sensitive function following violation of the rules for alcohol misuse or controlled substance use of the Omnibus Transportation Employee Testing Act and/or of theHRP&P 13.0: Alcohol Abuse or HRP&P 14.0: Drug Abuse; and/or
- As a part of required follow-up testing identified by a substance abuse professional (SAP), wherein an employee has returned to duty in a safety-sensitive function following violation of the rules of alcohol misuse or controlled substance use. A minimum of six unannounced follow-up tests will be conducted at an approved medical testing facility during the first 12 months following an employee’s return to duty. The employee shall pay for the testing.
- “Alcohol” is the intoxicating agent in beverage alcohol, ethyl or other low molecular weight alcohol including methyl or isopropyl alcohol.
- “Breath Alcohol Technician” (BAT) refers to an individual who instructs and assists in the alcohol testing process and operates an evidential breath testing device (EBTD).
- “Collection site” refers to a place designated by the University where employees/applicants present themselves for the purpose of providing a specimen of their urine to be analyzed for the presence of drugs.
- “Collection site person” refers to a person who instructs and assists at a collection site and who receives and makes a screening examination of the urine specimen provided by those employees/applicants.
- “Covered employee” refers to a University employee who performs a safety-sensitive function(s), requiring a CDL. This function(s) may be a part or all of the job duties in the operation of a University owned, leased or borrowed commercial motor vehicle. This term includes an applicant for employment.
- “EBTD” is an evidential breath testing device approved by the National Highway Traffic Safety Administration (NHTSA) for the evidential testing of breath placed on NHTSA’s “Conforming Products List (CPL) of Evidential Breath Measurement Devices."
- “Medical Review Officer" (MRO) refers to a licensed physician (medical doctor or doctor of osteopathy) who is responsible for receiving laboratory results generated by the University’s alcohol and controlled substance testing program, who has knowledge of substance abuse disorders and who has appropriate medical training to interpret and evaluate an employee’s/applicant's confirmed positive test result together with the employee’s/applicant's medical history and any other relevant biomedical information.
- “Screening test or initial test” is an immunoassay screen to eliminate “negative” urine specimens from further analysis. In alcohol testing the test is an analytical procedure to determine whether a University employee/applicant may have a prohibited concentration of alcohol in a breath specimen.
- Following confirmation that an employee has tested 0.02 or greater for alcohol or “positive” for controlled substance use, the employee shall be removed from any safety-sensitive function; the supervisor shall contact the Human Resources Office of Employee Relations (Employee Relations) to determine the appropriate action.
Note: The minimum sanctions in this policy and federal law shall not lessen the University’s ability to impose greater sanctions, up to and including termination of employment.
- For alcohol violations, the federal law mandates the following minimum sanctions for covered employees.
- An employee with an alcohol concentration of 0.02 or greater but less than 0.04 shall not be permitted to perform safety-sensitive functions until the next scheduled duty period, but no less than 24 hours following administration of the initial test. However, federal law states that such an employee shall be prohibited from driving for a period of one year when the employee has been involved in a fatal accident.
- An employee with an alcohol concentration of 0.04 or greater shall not drive a commercial motor vehicle for a period of 60 consecutive days.
- An employee with an alcohol concentration of 0.04 or greater three or more times during any three year period shall not drive for a period of 120 consecutive days.
- An employee with an alcohol concentration of 0.04 or greater may not perform any safety sensitive functions until the employee has been evaluated by a SAP, completed any required rehabilitation and tested at less than 0.02 for the presence of alcohol.
- For controlled substance violations, the federal law mandates the following minimum sanctions. A covered employee shall
- For any offense, be referred to a SAP and submit a urine specimen that has a “negative” result prior to a return to duty;
- For a second offense within a three year period, not drive a commercial vehicle for 60 consecutive days;
- For the third offense or greater within a three year period, not drive a commercial vehicle for 120 consecutive days; and
- For refusal to be tested, not drive a commercial vehicle for a minimum of one year and until he/she has submitted a urine specimen that has a "negative” result.
Administration of this policy is the responsibility of the Human Resources Office of Employment (Employment Office) and departments with covered employees. In instances where corrective action may be involved, the matter will be referred to Employee Relations. Department heads are responsible for ensuring that the creation of any position or the addition of responsibilities requiring a CDL is communicated to the Employment Office.
- Any covered employee who is being tested shall be notified where and when to report for testing.
- An applicant shall be notified by the departmental hiring official or the appropriate Human Resources Official where and when to report for testing. Federal law provides that results of the tests shall indicate an alcohol concentration of less than 0.04 and a "negative" for controlled substances prior to an offer being extended for employment in the position.
- Any surviving covered employee who is involved in an accident, in which the employee was performing a safety-sensitive function with respect to the vehicle and (i) the accident involved the loss of human life or (ii) the employee received a citation for a moving traffic violation arising out of the accident, shall immediately proceed to the nearest approved medical facility for testing. If the employee is physically unable or otherwise detained by authorities, a designated University Official shall be notified so other arrangements can be made in a timely manner. The University Official will instruct the employee when and where to report for testing.
- Random testing for controlled substances shall be conducted throughout each year. A minimum of 10% of all covered employees will be tested for alcohol use. A minimum of 50% of all covered employees will be tested for controlled substances. Usually an employee will be tested during normal work hours. Random testing dates and times shall be unannounced and scheduled with unpredictable frequency throughout the year.
- If a University Official determines a reasonable suspicion exists that an employee has violated the rules for alcohol misuse or controlled substance abuse, the employee shall be required to be tested for alcohol misuse and/or substance abuse. Testing shall be conducted during, just before, or just after the work period during which the employee is/was performing the safety-sensitive function.
- Any University Official designated to determine whether or not reasonable suspicion exists to conduct an alcohol and/or controlled substance test shall have received at least 60 minutes of training on the physical, behavioral, speech and performance indicators of probable alcohol or controlled substance use.
- Following a violation of the Omnibus Transportation Employee Testing Act or of HRP&P 13.0: Alcohol Abuse or HRP&P 14.0: Drug Abuse, a covered employee shall be evaluated and tested for alcohol or controlled substances prior to returning to a safety sensitive function. The employee’s test results shall indicate an alcohol concentration of less than 0.02 and/or a “negative” result of controlled substance use for the covered employee to be permitted to return to work in a safety-sensitive function.
- A covered employee who has been identified by a SAP as needing assistance in resolving problems with alcohol misuse and/or controlled substances, and who has returned to duty involving the performance of safety-sensitive function, shall be subject to a minimum of six announced follow-up tests over the first 12 months following the employees return to duty.
Note: Any covered employee who is involved in an accident and does not submit for testing, shall be presumed to have refused testing and shall not drive a commercial vehicle for a minimum of one year.
Any covered employee/applicant who
- Is scheduled for testing, who does not report for testing within 15 minutes of the scheduled appointment time, shall be presumed to have violated the rules for alcohol misuse and/controlled substance abuse; and
- Is scheduled for testing, who does not report for testing within one hour following the scheduled appointment time, shall be presumed to have refused to be tested and shall not drive a commercial vehicle for a minimum of one year.
- A covered employee who has been on layoff or who is off work for a flex leave period, during which the employee was not subject to random testing, shall submit to pre-employment alcohol and controlled substance testing when returning to work.
- A covered employee shall be tested and alcohol and controlled substance testing shall be administered as follows:
- For alcohol by a trained BAT utilizing an EBTD; and
- For Controlled substances and shall be required to provide a urine sample. The collection site employee will split the sample into two bottles, complete the chain of custody form and ship the split urine specimen to a DHHS certified laboratory.
- Test results are communicated by the medical testing facility and a Human Resources Official. The supervisor will communicate the test results, in writing, to the employee/applicant. If the test results
- Do not indicate alcohol misuse or controlled substance use, the employee will continue performing safety- sensitive functions as scheduled;
- Indicate alcohol misuse or controlled substance use, the employee will be referred to a SAP for assistance and will be subject to sanctions under University HRP&P;
- Do not indicate alcohol misuse or controlled substance use, the applicant will continue to be considered for employment; and
- Indicate alcohol misuse or controlled substance use, the applicant will not be considered for employment.
Note: All test results shall be recorded and communicated in a confidential manner. The Medical Review Officer (MRO) will discuss a test result indicating controlled substance use with the affected covered employee/applicant to ascertain whether the covered employee/applicant is taking prescription drugs. A test of the split urine sample will be conducted as appropriate under the Omnibus Transportation Employee Testing Act of 1991. It should be noted that the use of prescription drugs which may affect one's ability to perform a safety-sensitive function is a violation of federal law and of University policy.
- Negative test results shall remain on file for a period of one year with the medical testing facility. All records relating to the collection process and training shall be kept on file with the medical testing facility for two years.
- Records of any alcohol test results indicating an alcohol concentration of 0.02 or greater, documentation of refusals, equipment calibration & documentation of employee evaluations and referral shall be retained for a period of five years by the medical facility.
- Records of covered employee verified “positive” controlled substance test results, documentation of refusals and documentation of employee evaluations and referrals shall be retained for a period of five years by the medical facility.
- All costs associated with alcohol and controlled substance testing shall be paid by the department which employs the covered employee or is recruiting for an approved CDL position. However, a covered employee shall pay for follow-up tests as provided under process section 1.g.
- All covered employees will be provided with written notice of the availability of information regarding the Omnibus Transportation Act, its testing requirements, and a copy of this policy which provides for compliance with the federal requirements.