FMCSA - transit-safety.fta.dot.gov

FMCSA - transit-safety.fta.dot.gov

2019 FTA Drug & Alcohol Conference April 4, 2019 Agenda 1 2 3 WHAT IS THE CLEARINGHOUSE? What information it will contain, and how it will improve highway safety THE CLEARINGHOUSE FINAL RULE About the Congressional mandate and what it means for you TIMELINE Project milestones leading up to and beyond implementation

4 5 6 USING THE CLEARINGHOUSE Required actions users must take once the Clearinghouse is operational COMING SOON: REGISTER FOR THE CLEARINGHOUSE Registration will open in Fall 2019 to help you prepare for implementation FOR MORE INFORMATION Additional resources and information, as well as points of contact 2 What is the Clearinghouse?

3 Tracking Violations: Current Process Commercial drivers licenses (CDLs) and commercial learners permits (CLPs) holders with drug and alcohol program violations must not operate a commercial motor vehicle (CMV) until they complete required drug and/or alcohol education or treatment. Current process relies on drivers to inform a new employer of any violations of the drug and alcohol rules committed while with a previous employer. THIS REQUIRES: Drivers to self-report positive test results Motor carriers to conduct and/or respond to background checks and ongoing driver compliance Motor carriers are required to monitor drivers compliance with DOT drug and alcohol regulations. 4

The FMCSA Commercial Drivers License Drug and Alcohol Clearinghouse Database containing CDL drivers drug and alcohol program violation information Reported by employers and Medical Review Officers (e.g., positive tests, refusals, etc.) Information includes whether a driver has successfully completed the mandatory return-toduty (RTD) process following a violation The Clearinghouse will keep driver information secure Only authorized users, including employers and FMCSA, will be able to register and access the Clearinghouse for designated purposes Other enforcement agencies, such as SDLAs and State law enforcement agencies, will only receive driver eligibility status Drivers can access their own information, but not information of other drivers The Clearinghouse will meet all relevant Federal security standards and FMCSA will verify the effectiveness of security protections regularly 5 Increasing safety on our Nations roadways Real-time access to reported violation information for authorized users Easier for employers to

meet pre-employment investigation and reporting obligations Safer Roadways More difficult for drivers to conceal drug and alcohol violations from employers More insight into employer compliance with drug and alcohol testing rules 6 The Clearinghouse Final Rule 7 The Clearinghouse Final Rule Mandated by Congress (MAP-21, Section 32402) Published December 5, 2016 Established requirements for the Clearinghouse

Identified January 6, 2020 as the Clearinghouse implementation date Read the Clearinghouse final rule at: www.fmcsa.dot.gov/regulations/commercial-drivers-license-drug-and-alcohol-clearinghouse 8 Timeline 9 Timeline: Drug & Alcohol Clearinghouse December 5, 2016 Final Rule Published Requirements, user roles established March 2019 Fall 2019 Information Phase Launch of

Clearinghouse website Registration Opens Create your user account ahead of Implementation Date Subscribe for email updates January 6, 2020 January 6, 2023 Implementation Date Mandatory reporting begins 3-Year Post Implementation Clearinghouse contains 3 years of violation data Both electronic and

manual queries required Only electronic queries required 10 Using the Clearinghouse 11 Who will be required to use the Clearinghouse? Drivers who hold CDLs or commercial learners permits (CLPs) Employers of CDL drivers who operate CMVs Consortia/Third-Party Administrations (C/TPAs) Medical Review Officers (MROs) Substance Abuse Professionals (SAPs) State Drivers Licensing Agencies (SDLAs) 12 Reporting Violations Are employers of non-CDL drivers who operate CMVs required to query or report violations to the

Clearinghouse? Only employers who employ drivers subject to parts 382 and 383 must query or report information to the Clearinghouse Will a prospective employees drug and alcohol violation history with other DOT modes be available in the Clearinghouse? The Clearinghouse will contain only drug and alcohol program violation information for employees subject to the testing requirements under the Federal Motor Carrier Safety Regulations in 49 CFR part 382 Will any information from the Clearinghouse appear in NHTSAs National Driver Register? No 13 What actions will users be required to take in the Clearinghouse? Register

as user Manage Assistants (optional) Select C/ TPA* Request driver consent for full queries Consent to full query requests Query driver violation information

Report drug and alcohol program violations Select SAP Report on RTD initial assessment, eligibility for RTD test Report on RTD and follow-up testing DRIVER EMPLOYER C/TPA

MRO SAP *Selecting a C/TPA is required for an employer who employs him/herself as a driver (owner-operator). For all other employers, this is optional. A driver would only need to select identify a SAP if they have a drug or alcohol violation in the Clearinghouse and enter the return-to-duty (RTD) process. 14 Drivers Drivers will complete the following actions in the Clearinghouse: 1. Register in the Clearinghouse 2. View their information 3. Provide specific consent to an employer in the

Clearinghouse for a full query (includes preemployment queries) 4. To register for an account, drivers will: 1. Complete 2-factor authentication verification 2. Enter DOB, CDL number, and State of Record 3. Enter contact information 4. Choose preferred contact method 5. Accept terms and conditions

Select a SAP in the Clearinghouse before the SAP can enter RTD information about them into the Clearinghouse Drivers may: 1. Submit a petition to correct inaccurately reported information as established in the final rule and per 49 CFR part 10 2. May request the removal of an employers report of actual knowledge of a drivers traffic citation for operating a CMV under the influence of drugs or alcohol be removed from the Clearinghouse if the citation did not result in a conviction 3. Request that other reports of actual knowledge violations, as well as failure to appear test refusals, be removed from the Clearinghouse if they were not reported in accordance with 382.705(b)(5). 15 Drivers Driver Dashboard: View when Driver logs into account

16 Drivers Driver Dashboard: View detailed violation information 17 Drivers Driver Dashboard: View pending and completed query requests 18 Drivers Driver Dashboard: Identify SAP and view RTD process status 19 Employers Employers will complete the following actions in the Clearinghouse: 1. Register in the Clearinghouse

An employer who employs him/herself as a driver (owner-operator) must designate a C/TPA in the Clearinghouse 2. Report drug and alcohol violations in the Clearinghouse To register for an account, employers will: 3. 4. Request specific consent in the Clearinghouse from the driver they wish to conduct a full query on (includes pre-employment queries) Designate a C/TPA in the Clearinghouse before the C/TPA can enter violation information or conduct queries on their behalf 5.

Report a negative return-to-duty alcohol and/or controlled substances test result 6. Report the completion of a drivers follow-up testing plan 1. Complete 2-factor authentication verification 2. Enter company information 3. Enter contact information 4. Accept terms and conditions

Note: Employers with a USDOT # will register for an account to the Clearinghouse via the FMCSA Portal 20 Employers No employer may allow a driver to perform any safety-sensitive function if: Employers required to report instances of actual knowledge under part 382.107: 1. Driver received a positive, adulterated, or substituted drug test result 1. Driver has used alcohol or controlled substances based on the employers direct observation of the employee 2.

Driver has an alcohol confirmation test result with an alcohol concentration of 0.04 or greater 2. Information provided by the drivers previous employer(s) 3. Traffic citation for driving a CMV while under the influence of alcohol or controlled substances 4. An employees admission of alcohol or controlled substance use, except as provided in 382.121 3. Driver refused to submit to a test for drugs or alcohol 4.

Driver used alcohol prior to post-accident alcohol test 5. Driver refused to provide a specimen for controlled substances testing 6. Actual knowledge violations as defined in 382.107 Employers are required to provide evidence/documentation substantiating each allegation of actual knowledge. 21 Queries and Consent Requests Employers will be required to query the Clearinghouse for: 1. PRE-EMPLOYMENT SCREENING to ensure 2. ANNUAL VERIFICATION to ensure that a the prospective employee is eligible to perform safety-sensitive functions

driver is still eligible to perform safetysensitive functions The type of consent request will depend on the type of query: Purpose Query Type Consent Request Pre-employment screening Full query access full violation details Specific consent required for each full query; provided electronically in the Clearinghouse Annual verification Limited query verify presence of driver information in the Clearinghouse. If information is discovered, a full query is required

General consent done outside the Clearinghouse; can be one-time or unlimited Specific consent required if limited query results in a full query; provided electronically in the Clearinghouse 22 Queries and Consent Requests Drivers must register in the Clearinghouse to provide consent for pre-employment/full queries Employers must obtain a drivers consent before querying the drivers violation information Drivers who decline their consent cannot perform safety-sensitive functions (including operating a CMV) for that employer 23 Consortia/Third-Party Administrators (C/TPAs) C/TPAs may: 1. Enter drug and alcohol violation information into the Clearinghouse on behalf of the employer 2. Request consent from the driver on behalf of

the employer Registration Overview: 1. C/TPAs will register in the Clearinghouse 2. C/TPAs will send an invitation to their Assistants to register in the Clearinghouse 3. Initial registration will require 2-factor authentication verification 3. Query the Clearinghouse on behalf of the employer 4. Designate a C/TPA assistant in the Clearinghouse The C/TPA must be selected by the employer in the Clearinghouse before the C/TPA can report violation information or query the Clearinghouse on behalf of the employer. An employer who employs him/herself as a driver (owneroperator) must select the C/TPA in the Clearinghouse 24 Consortia/Third-Party Administrators (C/TPAs) User will:

1. Enter an email address for username 2. Complete 2-factor authentication verification 25 Consortia/Third-Party Administrators (C/TPAs) 1. Enter company information Note: C/TPAs working for more than one employer will be able to enter additional employers. 26 Consortia/Third-Party Administrators (C/TPAs) 2. Enter contact information 3. Agree to terms and conditions 27 Medical Review Officers (MROs) MROs may:

1. Work for MRO company(ies), or be self-employed 2. Enter drug violation information to the Clearinghouse 3. Designate a MRO assistant to enter violation information on their behalf MROs must meet each of the requirements under Part 40 section 121: 1. Be a licensed physician (Doctor of Medicine or Osteopathy) in the U.S., Canadian, or Mexican jurisdiction 2. Possess basic knowledge 3.

Complete qualification training 4. Satisfactorily complete examination administered by a nationally-recognized MRO certification board or subspecialty board for medical practitioners in the field of medical review of DOT-mandated drug tests Registration Overview: 1. MROs will register in the Clearinghouse 5. Complete requalification training during five-year period from date satisfactorily completed the examination 2. MROs will send an invitation to their Assistants to register to register in the Clearinghouse

6. 3. Initial registration will require 2-factor authentication verification Upon completion of requalification training, satisfactorily complete an examination administered by a nationally-recognized MRO certification board or subspecialty board for medical practitioners in the field of medical review of DOT-mandated drug tests 7. Maintain documentation showing meet all requirements. 8. Provide documentation on request to DOT representatives and to employers and C/TPAs 28 Medical Review Officers (MROs) Possess basic knowledge:

1. About and have clinical experience in controlled substances abuse disorders, including detailed knowledge of alternative medical explanations for laboratory confirmed drug test results. 2. About issues relating to adulterated and substituted specimens as well as the possible medical causes of specimens having an invalid result. 3. About this part, the DOT MRO Guidelines, and the DOT agency regulations applicable to the employers for whom you evaluate drug test results, and you must keep current on any changes to these materials 4. Subscribe to the ODAPC list-serve at https://www.transportation.gov/odapc/get-odapc-email-updates Complete qualification training on the following subjects: 1. Collection procedures for urine specimens 2.

Chain of custody, reporting, and recordkeeping 3. Interpretation of drug and validity tests results 4. The role and responsibilities of the MRO in the DOT drug testing program 5. Provisions of this part and DOT agency rules applying to employers for whom you review test results, including changes and updates to this part and DOT agency rules, guidance, interpretations, and policies affecting the performance of MRO functions, as well as issues that MROs confront in carrying out their duties under this part and DOT agency rules 29 Medical Review Officers (MROs) User will: 1. Enter an email address for username 2. Complete 2-factor authentication verification

30 Medical Review Officers (MROs) 1.Enter license information 2.Certify completion of training and examination requirements 3.Certify possess basic knowledge 31 Medical Review Officers (MROs) 4. Enter company and contact Information 5. Agree to terms and conditions 32 Substance Abuse Professionals (SAPs) SAPs may: 1. Work for SAP company(ies), or be self-employed 2.

Enter RTD information into the Clearinghouse 3. Designate a SAP assistant to enter violation information on their behalf Driver must identify the SAP in the Clearinghouse before the SAP may enter RTD information in the Clearinghouse Registration Overview: 1. SAPs will register in the Clearinghouse 2. SAPs will send an invitation to their Assistants to register to register in the Clearinghouse 3. Initial registration will require 2-factor

authentication verification SAPs must meet each of the requirements under Part 40 section 281: 1. Be a: a. Licensed physician (Doctor of Medicine or Osteopathy); b. Licensed or certified social worker; c. Licensed or certified psychologist; d. Licensed or certified employee assistance professional; e. State-licensed or certified marriage and family therapist; or

f. Drug and alcohol counselor certified by an organization listed at https://www.transportation.gov/odapc/sap 2. Possess basic knowledge 3. Complete qualification training 4. Satisfactorily complete examination administered by a nationallyrecognized professional or training organization 5. Complete at least 12 hours of professional development relevant to SAP functions during 3-year period from date satisfactorily completed the examination

6. Maintain documentation showing meet all requirements. 7. Provide documentation on request to DOT representatives and to employers and C/TPAs 33 Substance Abuse Professionals (SAPs) Possess basic knowledge: 1. About and have clinical experience in the diagnosis and treatment of alcohol and controlled substances-related disorders 2. About the SAP function as it relates to employer interests in safety-sensitive duties 3. About this part, the DOT agency regulations applicable to the employers for whom you evaluate employees, and the DOT SAP Guidelines. You must keep current on any changes to these materials

4. Subscribe to the ODAPC list-serve at https://www.transportation.gov/odapc/get-odapc-email-updates Complete qualification training on the following subjects: 1. Background, rationale, and coverage of the Department's drug and alcohol testing program 2. 49 CFR Part 40 and DOT agency drug and alcohol testing rules 3. Key DOT drug testing requirements, including collections, laboratory testing, MRO review, and problems in drug testing 4. Key DOT alcohol testing requirements, including the testing process, the role of BATs and STTs, and problems in alcohol tests 5.

The role of the SAP in the return-to-duty process, including the initial employee evaluation, referrals for education and/or treatment, the follow-up evaluation, continuing treatment recommendations, and the follow-up testing plan 6. SAP consultation and communication with employers, MROs, and treatment providers 7. Reporting and recordkeeping requirements 8. Issues that SAPs confront in carrying out their duties under the program 34 Substance Abuse Professionals (SAPs) User will: 1. Enter an email address for username 2. Complete 2-factor authentication verification 35 Substance Abuse Professionals (SAPs)

1.Enter credential information 2.Certify completion of training and examination requirements 3.Certify completion of continuing education 36 Substance Abuse Professionals (SAPs) 4. Certify possess basic knowledge 5. Enter company and contact Information 6. Agree to terms and conditions 37 C/TPA, MRO, and SAP Assistants

All Assistants must be invited to register in the Clearinghouse C/TPA Assistant enters violation information and queries the Clearinghouse on behalf of the authorized C/TPA MRO Assistant enters violation information into the Clearinghouse on behalf of the authorized MRO SAP Assistant enters RTD information into the Clearinghouse on behalf of the authorized SAP C/TPA Assistant may support multiple C/TPAs MRO Assistant may support multiple MROs

SAP Assistant may support multiple SAPs 38 Register your company and/or yourself Coming Fall 2019: Register for the Clearinghouse Designate C/TPA (employers, if applicable) Set up Assistants (employers, C/TPAs, SAPs, MROs) Encourage drivers to register

39 For more information Visit https://clearinghouse.fmcsa.dot.gov Subscribe for email updates Read frequently asked questions Download the Clearinghouse factsheet Contact [email protected] 40

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