A R T I C L E S E R I E S

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1 Comprehensive Safety Analysis Initiative A R T I C L E S E R I E S BASIC 4: DRUGS & ALCOHOL Staying on top of safety and compliance under the CSA 2010 initiative will mean getting back to the BASICs. This synopsis will focus on the Drugs and Alcohol BASIC. The use and abuse of drugs and alcohol is dangerous by itself, but can become deadly when combined with the operation of a commercial motor vehicle (CMV). That s why the Federal Motor Carrier Safety Administration (FMCSA) closely regulates and requires testing for the use of drugs and alcohol, and has serious consequences for those who violate the rules. Between 2005 and 2007, drug and alcohol violations were cited more than any other category of regulations during FMCSA audits. One company ended up paying the agency more than $26,000 in penalties for violating the pre-employment drug testing rules, and another paid almost $28,000 for failure to randomly test its drivers. The monetary penalties can be steep, but they pale in comparison to the potential consequences of a fatal accident involving a CMV driver who was under the influence of drugs or alcohol. To help prevent such consequences, the FMCSA has included drug and alcohol violations as one of seven categories on which carriers and drivers will be judged under the Comprehensive Safety Analysis (CSA) 2010 program. The CSA 2010 initiative is designed to monitor driver and motor carrier safety performance and stop unsafe behaviors before they can result in a crash. To thrive under the CSA 2010 program, it s important to understand how drug and alcohol violations fit into the equation. What is Included in the Drugs & Alcohol BASIC? According to the FMCSA, the drugs and alcohol BASIC is meant to address the operation of commercial motor vehicles while the driver is in possession of alcohol or controlled substances, or is impaired due to alcohol, controlled substances, or misuse of prescription or over-the-counter medications. Violating an out-of-service order related to drug or alcohol use Specifically, your performance on the drugs and alcohol BASIC is measured using recorded violations of Federal Motor Carrier Safety Regulations sections 392.4(a), 392.5(a), and 392.5(c)(2). This BASIC covers a limited number of violations that can be detected at the roadside: Using or possessing controlled substances while on duty Using or being under the influence of alcohol while on duty or within four hours before going on duty Possessing alcohol while on duty Just the BASICs Drugs & Alcohol is one of seven violation categories in which your company and drivers will be graded under CSA The seven Behavioral Analysis and Safety Improvement Categories, or BASICs: Unsafe Driving Fatigued Driving Driver Fitness Drugs & Alcohol Vehicle Maintenance Cargo & Hazmat Crash History x

2 Keep in mind Even though this BASIC is measured based on your compliance with just three regulations, you ll still need to comply with all the same drug and alcohol rules as before, such as those in 49 CFR Parts 40, 382, and 383 for drivers required to hold a CDL license. Failing to perform pre-employment testing, for example, could result in hefty fines even though it won t affect your scores under this BASIC. As with the other BASICs, a drug/alcohol violation can be written up on an inspection report even if a citation or ticket is not issued, and even if the driver is not placed out of service. All drug or alcohol violations that appear on an inspection report will be entered into the FMCSA s Safety Measurement System (SMS), which is the agency s replacement for the current SafeStat system. The SMS is used to grade both carrier and driver performance on drug and alcohol violations and the other BASICs. Violations that may have had a minimal effect on your safety rating in SafeStat may have a huge effect on your rating in the new SMS, and may lead to contact from the FMCSA. Which Drugs Are Included? As graded under the above-mentioned regulations, drivers are prohibited from possessing, being under the influence of, or using any of these substances: Any Schedule I substance as listed in 21 CFR Section Any amphetamine or related substance (including pep pills and bennies ) Any narcotic drug or derivative of a narcotic Any other substance to a degree which renders the driver incapable of safely operating a motor vehicle. How Are You Measured? Drug and alcohol violations listed on inspection reports are used to grade your performance on the drugs and alcohol BASIC, which contributes to your overall safety rating. Carriers and drivers with the poorest grades relative to their peers become the targets of the FMCSA s intervention process, in which the agency takes action to try to correct the unsafe behaviors and prevent crashes. Here s the process used to calculate your BASIC measure on the drugs and alcohol BASIC: Violation severity Every 30 days, all of your drug and alcohol violations from the past 24 months (if any) will be assigned a severity, from 1 to 10, based on how likely the violation is to result in a crash. A severity of 1 represents the lowest crash risk, and 10 the highest, relative to other violations within each BASIC. As shown in the accompanying table, the highest severity rating (10) is assigned to the violating of an alcohol-related out-of-service order and the use or possession of drugs, while other alcohol-related violations rank a 5. A single bad inspection should not have disastrous consequences on your scores, because the sum of all violation severity weights from any one inspection is capped at a maximum of 30. Age adjustment The severity of each of a carrier s drug and alcohol violations is multiplied by a 1, 2, or 3, depending on its age. The result is that violations recorded within the last 6 months are three times as damaging to a carrier s grade as violations recorded between 12 and 24 months ago. The older the violation, the less weight it carries. Severity power units To account for each carrier s size, the total violation severity is divided by the average number of power units the carrier had in the past 18 months. That way, a small carrier with a lot of violations, for example, will score worse than a large carrier with the same number of violations. The average number of power units is calculated using data you supply to the FMCSA on the MCS-150 / MCS-151 forms. This process results in your measure for drugs and alcohol, a raw score that can be used to compare your performance against that of other carriers, as described below. Individual drivers are also graded on their performance in this BASIC. For drivers, violations from the past 36 months are included, and there is no adjustment for company size x

3 For Helpful Guidance on CSA 2010 Preparation, call J. J. Keller Business Services The Scoring Process Your measure on the drugs and alcohol BASIC is not your final grade. Rather, your measure is held up against the records of other carriers of similar size to determine whether your safety performance is better or worse than your peers. The FMCSA expresses this relationship by assigning you a percentile in terms of drugs and alcohol compliance. For example, if your performance is worse than 75% of your peers, your percentile for the drugs and alcohol BASIC will be 75. The x 2010 FLEET TECHNOLOGY OUTSOURCE SERVICES ADVISEMENT & TRAINING Don t wait for FMCSA enforcement. Getting your records organized now will make a difference. We can help. PERFORMANCE GRADING EXAMPLE ABC Trucking had two alcohol-related violations in the past two years. Among the violations was one for violating an out-of-service order (severity = 10) and one for possessing alcohol (severity = 5). The out-of-service violation was committed 3 months ago, so the severity of 10 gets increased by a factor of 3, making it 30. The alcohol possession violation was 10 months ago, so the severity is multiplied by 2, making it 10. The total weighted severity, therefore, is 40. The company had an average of 5 power units over the past 18 months, so their drug and alcohol measure is 40 5 = 8. By itself, this raw score means little until it is compared to the scores of other carriers (see below). Hiring a driver who had a drug or alcohol violation in his/her past will not affect your scores, although the driver s personal scores will be affected for three years after each violation. Violations committed by drivers who work for you, however, will continue to affect your company s record for 24 months, even if you terminate the driver(s). Example of Drug & Alcohol Violations by Severity VIOLATION SECTION SEVERITY Violating an alcohol-related out-of-service order 392.5(c)(2) 10 Using or possessing drugs 392.4(a) 10 Possessing or using alcohol 392.5(a) 5 worst-performing carrier within each peer group, for each BASIC, is assigned a percentile of 100, and the best is assigned a zero (0). If you ve had no drug or alcohol violations in the past 24 months or if your drug or alcohol violations are all older than 12 months, then you will not receive a percentile on your performance in this BASIC. What Are the Consequences? A high percentile in the drugs and alcohol BASIC could have two consequences: You may be subject to an intervention 1 If your rank is above the threshold for an intervention, then you will likely be targeted by the FMCSA in some manner. Depending on your percentile, you might be subjected to: A warning letter, informing you of a poor score in drug/alcohol compliance and what you need to do better (you would also be instructed on how to challenge any incorrect data) Increased roadside inspections that target drug and alcohol violations An off-site or on-site audit that targets your problems with drug and alcohol violations x

4 2 You may be deemed unfit If your percentile places you into the failing category for drugs and alcohol and one or more other BASIC(s), OR an audit reveals that you are violating certain drug or alcohol regulations, you may automatically be deemed unfit to continue operating commercial motor vehicles. The failure to comply with certain drug and alcohol regulations appears on a proposed list of 15 fundamental violations that will result in an automatic unfit status after an audit. INTERVENTION REVIEW Intervention #4: The Cooperative Safety Plan A cooperative safety plan is a compliance improvement plan developed and implemented voluntarily by a motor carrier in cooperation with the FMCSA. It is usually triggered after investigation reveals safety problems that the carrier expresses a willingness to fix. A failure to follow the cooperative safety plan will result in further intervention. ARE YOU PREPARED? Your score on the drugs and alcohol category, and its consequences, will be based on data that is being collected right now. Now is the time to make compliance a priority and put safety management controls in place that will help prevent drug and alcohol violations. Here are some key points to keep in mind: Review your violation history to determine where your drivers stand on the drugs and alcohol BASIC. Keep in mind that violations will affect drivers scores for 3 years and the company s for 2 years. The passage of time will decrease the impact of the oldest violations. Organize and track all safety data, so you understand your level of exposure. All drug and alcohol violations noted in roadside inspection reports (based on the three regulations tracked under this BASIC) will count against your scores, not just the ones that resulted in an out-of-service order. Begin tracking all drug and alcohol violations, along with near misses, to identify possible trends and improvement opportunities. Help your drivers understand the types of drugs that can get them into trouble with the DOT. When possible, work with your drivers and medical advisors to monitor prescription drug use and make sure the prescriptions are valid, legal, and appropriate for use on the road. Adopt and enforce written policies that help prevent the use of drugs and alcohol among your drivers. Make sure drivers understand the consequences of using and abusing drugs or alcohol. Regularly audit your operations for compliance with the FMCSA s drug and alcohol rules in Parts 382 and 392. Consider establishing an Employee Assistance Program or a self-admission policy to get drivers the help they need to kick a drug or alcohol habit. Use refresher and new-driver training programs to help prevent drug use and alcohol abuse. Make sure the FMCSA has accurate data. Get in the habit of keeping your MCS-150 / MCS-151 form up to date (you don t have to wait for the two-year filing cycle), and verify that the violations assigned to your company are actually yours. Use the FMCSA Portal system ( to review your data. The fewer the violations on record, the better your score and/or the better the chance that you won t be graded at all x

5 Comprehensive Safety Analysis Initiative The BASICs Unsafe Driving The operation of CMVs in a dangerous or careless manner. Examples: speeding, reckless driving, improper lane change, inattention. Fatigued Driving The operation of CMVs by drivers in non-compliance with the hours of service regulations. Examples: violation of the driving limit, driving while fatigued, failing to maintain complete and accurate logs. Driver Fitness The operation of CMVs by drivers who are unfit to operate a CMV due to lack of training or medical qualifications. Examples: failure to have a valid license, being medically unqualified. Drugs and Alcohol The operation of CMVs by drivers who are in possession of alcohol or illegal drugs, or impaired due to alcohol, illegal drugs, or misuse of prescription or over-thecounter medications. Examples: the use or possession of drugs or alcohol. Vehicle Maintenance CMV failure due to improper or inadequate maintenance. Examples: defective brakes or lights, failure to make required repairs. Improper Loading/Cargo Securement CMV incidents resulting from shifting loads, spilled or dropped cargo, and unsafe handling of hazardous materials. Examples: improper load securement, cargo retention, and hazardous material handling. Crash Histories or patterns of crash involvement, including frequency and severity, based on information from state-reported crashes. One of the most fundamental requirements for fleets to manage CSA 2010 exposure is to get your data and compliance in order. Start here and join companies that are now managing over 300,000 drivers and vehicles with our online fleet technology x