FMCSA Clearinghouse: Improving Highway Safety with Driver Violation Tracking

1. 2019 FTA Drug & Alcohol Conference April 4, 2019

2. 1 3 4 5 2 6 WHAT IS THE CLEARINGHOUSE? USING THE CLEARINGHOUSE What information it will contain, and how it will improve highway safety Required actions users must take once the Clearinghouse is operational COMING SOON: REGISTER FOR THE CLEARINGHOUSE THE CLEARINGHOUSE FINAL RULE Registration will open in Fall 2019 to help you prepare for implementation About the Congressional mandate and what it means for you FOR MORE INFORMATION TIMELINE Additional resources and information, as well as points of contact Project milestones leading up to and beyond implementation

3. What is the Clearinghouse?

4. Tracking Violations: Current Process Commercial driver’s licenses (CDLs) and commercial learner’s 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. Motor carriers are required to monitor drivers’ compliance with DOT drug and alcohol regulations. THIS REQUIRES: Drivers to self-report positive test results Motor carriers to conduct and/or respond to background checks and ongoing driver compliance

5. The FMCSA Commercial Driver’s 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-to-duty (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

6. Increasing safety on our Nation’s 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

7. The Clearinghouse Final Rule

8. 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

9. Timeline

10. Timeline: Drug & Alcohol Clearinghouse Fall 2019 December 5, 2016 March 2019 January 6, 2020 January 6, 2023 Final Rule Published Requirements, user roles established • Information Phase • Launch of Clearinghouse website • Subscribe for email updates Registration Opens Create your user account ahead of Implementation Date • Implementation Date • Mandatory reporting begins • Both electronic and manual queries required • 3-Year Post Implementation • Clearinghouse contains 3 years of violation data • Only electronic queries required 10

11. Using the Clearinghouse

12. Drivers who hold CDLs or commercial learner’s 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) Who will be required to use the Clearinghouse?

13. 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 employee’s 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 NHTSA’s National Driver Register? • No Reporting Violations

14. What actions will users be required to take in the Clearinghouse? *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.

15. Drivers To register for an account, drivers will: • Complete 2-factor authentication verification • Enter DOB, CDL number, and State of Record • Enter contact information • Choose preferred contact method • Accept terms and conditions Drivers will complete the following actions in the Clearinghouse: • Register in the Clearinghouse • View their information • Provide specific consent to an employer in the Clearinghouse for a full query (includes pre-employment queries) • Select a SAP in the Clearinghouse before the SAP can enter RTD information about them into the Clearinghouse Drivers may: • Submit a petition to correct inaccurately reported information as established in the final rule and per 49 CFR part 10 • May request the removal of an employer’s report of actual knowledge of a driver’s 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 • 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).

16. Drivers Driver Dashboard: View when Driver logs into account

17. Drivers Driver Dashboard: View detailed violation information

18. Drivers Driver Dashboard: View pending and completed query requests

19. Drivers Driver Dashboard: Identify SAP and view RTD process status

20. Employers Employers will complete the following actions in the Clearinghouse: • Register in the Clearinghouse • Report drug and alcohol violations in the Clearinghouse • 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 • Report a negative return-to-duty alcohol and/or controlled substances test result • Report the completion of a driver’s follow-up testing plan An employerwho employs him/herself as a driver (owner-operator) must designate a C/TPAin the Clearinghouse To register for an account, employers will: • Complete 2-factor authentication verification • Enter company information • Enter contact information • Accept terms and conditions Note: Employers with a USDOT # will register for an account to the Clearinghouse via the FMCSA Portal

21. Employers Employers required to report instances of actual knowledge under part 382.107: No employer may allow a driver to perform any safety-sensitive function if: • Driver received a positive, adulterated, or substituted drug test result • Driver has an alcohol confirmation test result with an alcohol concentration of 0.04 or greater • Driver refused to submit to a test for drugs or alcohol • Driver used alcohol prior to post-accident alcohol test • Driver refused to provide a specimen for controlled substances testing • Actual knowledge violations as defined in 382.107 • Driver has used alcohol or controlled substances based on the employer’s direct observation of the employee • Information provided by the driver’s previous employer(s) • Traffic citation for driving a CMV while under the influence of alcohol or controlled substances • An employee’s admission of alcohol or controlled substance use, except as provided in 382.121 Employers are required to provide evidence/documentation substantiating each allegation of actual knowledge.

22. Queries and Consent Requests • PRE-EMPLOYMENT SCREENING to ensure the prospective employee is eligible to perform safety-sensitive functions Employers will be required to query the Clearinghouse for: • ANNUAL VERIFICATION to ensure that a driver is still eligible to perform safety-sensitive functions The type of consent request will depend on the type of query:

23. Queries and Consent Requests Drivers must register in the Clearinghouse to provide consent for pre-employment/full queries Employers must obtain a driver’s consent before querying the driver’s violation information Drivers who decline their consent cannot perform safety-sensitive functions (including operating a CMV) for that employer

24. Consortia/Third-Party Administrators (C/TPAs) Registration Overview: • C/TPAs will register in the Clearinghouse • C/TPAs will send an invitation to their Assistants to register in the Clearinghouse • Initial registration will require 2-factor authentication verification C/TPAs may: • Enter drug and alcohol violation information into the Clearinghouse on behalf of the employer • Request consent from the driver on behalf of the employer • Query the Clearinghouse on behalf of the employer • 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 employerwho employs him/herself as a driver (owner-operator) must select the C/TPAin the Clearinghouse

25. Consortia/Third-Party Administrators (C/TPAs) User will: • Enter an email address for username • Complete 2-factor authentication verification

26. Consortia/Third-Party Administrators (C/TPAs) • Enter company information Note: C/TPAs working for more than one employer will be able to enter additional employers.

27. Consortia/Third-Party Administrators (C/TPAs) • Enter contact information • Agree to terms and conditions

28. Medical Review Officers (MROs) MROs may: • Work for MRO company(ies), or be self-employed • Enter drug violation information to the Clearinghouse • Designate a MRO assistant to enter violation information on their behalf MROs must meet each of the requirements under Part 40 section 121: • Be a licensed physician (Doctor of Medicine or Osteopathy) in the U.S., Canadian, or Mexican jurisdiction • Possess basic knowledge • Complete qualification training • 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 • Complete requalification training during five-year period from date satisfactorily completed the examination • 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 • Maintain documentation showing meet all requirements. • Provide documentation on request to DOT representatives and to employers and C/TPAs Registration Overview: • MROs will register in the Clearinghouse • MROs will send an invitation to their Assistants to register to register in the Clearinghouse • Initial registration will require 2-factor authentication verification

29. Medical Review Officers (MROs) Possess basic knowledge: • About and have clinical experience in controlled substances abuse disorders, including detailed knowledge of alternative medical explanations for laboratory confirmed drug test results. • About issues relating to adulterated and substituted specimens as well as the possible medical causes of specimens having an invalid result. • 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 • Subscribe to the ODAPC list-serve at https://www.transportation.gov/odapc/get-odapc-email-updates Complete qualification training on the following subjects: • Collection procedures for urine specimens • Chain of custody, reporting, and recordkeeping • Interpretation of drug and validity tests results • The role and responsibilities of the MRO in the DOT drug testing program • 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

30. Medical Review Officers (MROs) User will: • Enter an email address for username • Complete 2-factor authentication verification

31. Medical Review Officers (MROs) Enter license information Certify completion of training and examination requirements Certify possess basic knowledge

32. Medical Review Officers (MROs) • Enter company and contact Information • Agree to terms and conditions

33. Substance Abuse Professionals (SAPs) Registration Overview: • SAPs will register in the Clearinghouse • SAPs will send an invitation to their Assistants to register to register in the Clearinghouse • Initial registration will require 2-factor authentication verification SAPs must meet each of the requirements under Part 40 section 281: SAPs may: • Work for SAP company(ies), or be self-employed • Enter RTD information into the Clearinghouse • Designate a SAP assistant to enter violation information on their behalf • Be a: • Licensed physician (Doctor of Medicine or Osteopathy); • Licensed or certified social worker; • Licensed or certified psychologist; • Licensed or certified employee assistance professional; • State-licensed or certified marriage and family therapist; or • Drug and alcohol counselor certified by an organization listed at https://www.transportation.gov/odapc/sap • Possess basic knowledge • Complete qualification training • Satisfactorily complete examination administered by a nationally-recognized professional or training organization • Complete at least 12 hours of professional development relevant to SAP functions during 3-year period from date satisfactorily completed the examination • Maintain documentation showing meet all requirements. • Provide documentation on request to DOT representatives and to employers and C/TPAs Driver must identify the SAP in the Clearinghouse before the SAP may enter RTD information in the Clearinghouse

34. Substance Abuse Professionals (SAPs) Possess basic knowledge: • About and have clinical experience in the diagnosis and treatment of alcohol and controlled substances-related disorders • About the SAP function as it relates to employer interests in safety-sensitive duties • 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 • Subscribe to the ODAPC list-serve at https://www.transportation.gov/odapc/get-odapc-email-updates Complete qualification training on the following subjects: • Background, rationale, and coverage of the Department's drug and alcohol testing program • 49 CFR Part 40 and DOT agency drug and alcohol testing rules • Key DOT drug testing requirements, including collections, laboratory testing, MRO review, and problems in drug testing • Key DOT alcohol testing requirements, including the testing process, the role of BATs and STTs, and problems in alcohol tests • 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 • SAP consultation and communication with employers, MROs, and treatment providers • Reporting and recordkeeping requirements • Issues that SAPs confront in carrying out their duties under the program

35. Substance Abuse Professionals (SAPs) User will: • Enter an email address for username • Complete 2-factor authentication verification

36. Substance Abuse Professionals (SAPs) Enter credential information Certify completion of training and examination requirements Certify completion of continuing education

37. Substance Abuse Professionals (SAPs) Certify possess basic knowledge Enter company and contact Information Agree to terms and conditions

38. 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

39. Register your company and/or yourself • Designate C/TPA (employers, if applicable) • Set up Assistants (employers, C/TPAs, SAPs, MROs) • Encourage drivers to register Coming Fall 2019: Register for the Clearinghouse

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