1. DOT Alcohol and Drug Testing Rules
What Supervisors Need to Know
Today we’re going to talk about the Department of Transportation’s, or DOT’s, alcohol and drug testing rules. DOT’s rules require us to check for substance abuse among our drivers and make sure that they do not work under the influence of alcohol or drugs.
Because you work closely with employees, you play a very important role in our compliance with the DOT regulations. This means you must understand the steps we are required to take under the rules to prevent substance use on the job. You must also know how to recognize substance abuse and what to do when you identify it.

2. Session Objectives
Understand the requirements of the DOT alcohol and drug testing rules Recognize the performance effects of drug and alcohol use Identify signs and symptoms of substance use on the job Make proper reasonable-suspicion determinations
The main objective of this session is to review the DOT alcohol and drug testing rules so that you know how you can help us comply with the regulations. By the time this session is over, you should be able to:
Understand the requirements of the DOT alcohol and drug testing rules;
Recognize the performance effects of drug and alcohol use;
Identify signs and symptoms of substance use on the job; and
Make proper reasonable-suspicion determinations.

3. DOT Regulations What do the regulations require?
To whom do the rules apply?
What is prohibited?
The DOT regulations require drug and alcohol testing of drivers who must have a commercial driver’s license—a CDL. The rules include procedures for urine drug testing and breath alcohol testing.
The DOT regulations apply to all CDL drivers and to organizations that own or lease commercial motor vehicles, or CMVs, or that assign drivers to operate CMVs. Illicit use of drugs by drivers performing safety-sensitive duties is flatly prohibited on or off duty.
Since alcohol is a legal substance, the rules define specific prohibited alcohol-related conduct. Performance of safety-sensitive functions such as driving is prohibited:
While using alcohol;
When a driver has a breath alcohol concentration, or BrAC, of 0.02 or greater as indicated by a breath alcohol test; and
Within 4 hours after using alcohol.
Refusing to submit to an alcohol test is also prohibited.
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4. DOT Regulations (cont.)
What must we test for?
BrAC at or above 0.02
Illegal drugs, including:
Marijuana
Amphetamines
Cocaine
Opioids
PCP
Random alcohol testing must be conducted just before, during, or just after a driver’s performance of safety-sensitive duties. Two tests are required to determine if a person has a prohibited alcohol concentration. A screening test is conducted first.
Any result less than 0.02 breath alcohol concentration, or BrAC, is considered a “negative” test. If the BrAC is 0.02 or greater, a second confirmation test must be conducted.
Drug testing is conducted by analyzing a driver’s urine specimen. As with alcohol, a random test will be conducted. Urine samples are analyzed for:
Marijuana;
Amphetamines;
Cocaine;
Opioids, including heroin, morphine, codeine, oxycodone, hydrocodone, and others; and
Phencyclidine, or PCP.

5. DOT Regulations (cont.)
Employees immediately removed after:
Positive drug test results
Verified tainted or substituted drug test results
Alcohol test >0.04
Under the regulations, we are also responsible for making sure that all our drivers follow the rules prohibiting drug and alcohol use, and we are responsible for any driver violations. We must also remove an employee immediately from safety-sensitive functions after:
Positive drug test results
Verified tainted or substituted drug test results
Alcohol test greater than 0.04
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6. DOT Regulations (cont.)
Employees temporarily removed after:
Alcohol test between and 0.039
Diluted specimen
Invalid drug test requiring second test
And we must temporarily remove an employee from safety-sensitive functions after:
Alcohol test between 0.02 and 0.039
Diluted specimen
Invalid drug test requiring a second test under direct observation
Our alcohol and drug testing policy has been developed to help us carry out our responsibilities and comply fully with the requirements of DOT alcohol and drug testing regulations.
Are you familiar with our alcohol and drug testing policy? All supervisors and managers should be.

7. Training Requirements
Employee training
Supervisor training
DOT also says that we must provide training for employees covered by the regulations as well as for our supervisors. Training for employees must include:
Detailed information about substance abuse;
Our substance abuse policy;
Testing requirements; and
How to get help for a substance abuse problem.
Training for you and other supervisors of safety-sensitive drivers must include all the important topics we’re talking about in this session.
Both you and your employees need to understand the requirements of the DOT rules and how they affect the way employees perform their jobs and you supervise their work. Our training program plays a very important role in educating everyone about the regulations.
© BLR®—Business & Legal Resources 1801

8. What Else Do Drivers Need To Know About the Rules?
Name of person who can answer questions about substance abuse and rules
Who is subject to requirements, and when
When and how testing will be conducted
In addition to the training basics identified in the previous slide, your discussions with employees about the DOT rules should cover the following information:
Name of the person in your organization who can answer drug- and alcohol-related questions and specific questions about the regulations;
Which drivers are subject to the requirements and under what circumstances; and
When and how drivers will be tested.
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9. What Else Do Drivers Need To Know About the Rules? (cont.)
Refusal to submit to testing
Consequences of violating rules
Effects of substance abuse
Drivers also need to know:
The fact that they are prohibited under the regulations from refusing to submit to testing, and what constitutes a refusal;
Consequences of violating substance abuse rules; and
Effects of alcohol and drug abuse on health, work performance, and personal life.
© BLR®—Business & Legal Resources 1801

10. When Testing Is Required
Pre-employment
Post-accident
Reasonable suspicion
Random
Return-to-duty
The regulations require that tests be given under specific circumstances.
Pre-employment urine screens for illegal drugs must be given to all CDL driver candidates.
In addition, drug and alcohol testing must be conducted after accidents on drivers whose performance could have contributed to the accident.
Testing must also be conducted when a supervisor or manager has a reasonable suspicion of substance use based on observed behavior or appearance.
Alcohol testing must also be conducted on a random, unannounced basis just before, during, or just after the performance of safety-sensitive functions. Random drug testing is also required and can occur at any time.
Return-to-duty testing must be done when a driver who has violated rules returns to performing safety-sensitive duties.
Unannounced follow-up tests must also be given. At least six tests must be conducted in the first 12 months after a driver returns to duty. Follow- up testing may be extended for up to 60 months following return to duty.
Are you familiar with our testing policy, procedures, and schedules?
Follow-up
© BLR®—Business & Legal Resources 1801

11. What Happens if an Employee Tests Positive?
Removed from safety-sensitive duties
Evaluated by a substance abuse professional
Treated for their abuse problem
Able to pass a return- to-duty drug test
What happens if an employee tests positive?
The DOT rules clearly state that drivers who engage in drug or alcohol use must be removed from safety-sensitive job duties immediately. Drivers who have a BAC of or higher, but less than 0.04, must be removed from performing safety-sensitive duties for 24 hours. 
Drivers who have a BAC of 0.04 or higher or who test positive for drugs cannot return to safety-sensitive duties until they have been evaluated by a substance abuse professional.
Drivers who have a BAC of 0.04 or higher or who test positive for drugs cannot return to safety-sensitive duties until they have complied with any treatment recommendations to assist them with their abuse problem.
In addition, drivers who test positive for alcohol or drugs cannot return to regular duties until they pass a return-to-duty test. Drivers who tested positive for alcohol must have a return-to-duty alcohol test that indicates a BAC of less than Drivers who tested positive for drugs must have a negative result on their return-to-duty urine test.
Think about the organization’s rules covering employees who violate the DOT alcohol and drug use prohibition. It is important for you to know procedures for dealing appropriately with such employees.
© BLR®—Business & Legal Resources 1801

12. Alcohol and Drug Test Records
Confidentiality
Retention requirements
All records of drug and alcohol tests and employee substance abuse treatment are confidential. You should not discuss test results or treatment programs with other employees. Information can generally only be released with the specific consent of the employee.
According to DOT rules, positive alcohol and drug test results must be kept for a minimum of 5 years. Records concerning employee training and education programs must be retained for as long as workers are employed.
Do you know the rules for keeping and retaining records related to the DOT alcohol and drug testing rules? Not keeping proper records or failing to retain them the required length of time is a violation of the regulations and would affect our compliance status.
Note: Many organizations have a zero-tolerance policy because of potential risks involved to themselves and others. That is, if the presence of a substance is detected, even if it is below the threshold limits, this is considered a potential cause for dismissal. There may be a medicinal reason for the detection, but if not, dismissal is the only option.
© BLR®—Business & Legal Resources 1801

13. Knowledge Check 1 How much are you learning?
Do you understand the information presented in the previous slides? When you’re ready to begin, select NEXT.

14. TRUE FALSE Knowledge Check 1
Drug use on or off the job by CDL drivers is absolutely prohibited by DOT rules.
Determine whether each of the statements below is True or False, then SUBMIT.
True or False—Drug use on or off the job by CDL drivers is absolutely prohibited by DOT rules.
The correct answer is True.
TRUE
FALSE

15. TRUE FALSE Knowledge Check 1
Drivers with a BAC of 0.02 or more must be removed from safety-sensitive duties.
True or False—Drivers with a BAC of 0.02 or more must be removed from safety-sensitive duties.
The correct answer is True.
TRUE
FALSE

16. TRUE FALSE Knowledge Check 1
Drivers may refuse to submit to a drug or alcohol test under the DOT rules.
True or False—Drivers may refuse to submit to a drug or alcohol test under the DOT rules.
The correct answer is False. Testing is mandatory.
TRUE
FALSE

17. TRUE FALSE Knowledge Check 1
Suspended drivers must pass a return-to-duty test before they can resume safety-sensitive duties.
True or False—Suspended drivers must pass a return-to-duty test before they can resume safety-sensitive duties.
The correct answer is True.
How did you do? Did you get all the answers right?
TRUE
FALSE

18. Drug and Alcohol Testing Rules
Do you understand:
Requirements of the DOT regulations?
Employee training and education requirements?
When testing is required?
What happens if an employee tests positive?
Basic rules covering employee drug and alcohol test records?
Now it’s time to ask yourself if you understand the information about the DOT alcohol and drug testing rules presented so far. Do you understand:
The requirements of the DOT regulations?
Employee training and education requirements?
When testing is required?
What happens if an employee tests positive?
Basic rules covering employee drug and alcohol test records?
It’s important for you to understand all of this information so that you can help us comply with the regulations.
Let’s continue to the next slide now and talk about grounds for reasonable- suspicion testing.

19. Reasonable-Suspicion Testing
Alcohol abuse
Drug abuse
If a driver’s behavior or appearance suggests alcohol use, a reasonable-suspicion alcohol test must be conducted as soon as possible after the observations that give rise to the reasonable suspicion. If a breath test cannot be administered, the driver must be removed from performing safety-sensitive duties for at least 24 hours.
If a driver’s behavior or appearance suggests drug use, a reasonable- suspicion drug test must be conducted, and the employee must be removed from regular duties until the test results come in.
We’ll talk more about reasonable suspicion and making reasonable- suspicion determinations a little later in the session. But first, let’s consider why testing is so important when you suspect possible substance use.

20. Performance Effects of Alcohol And Drug Use
Vision
Reflexes
Coordination
Emotions
Aggressiveness
Judgment
Drug or alcohol use either on the job or before coming to work can have a devastating effect on worker safety. Substance use can negatively affect a driver’s:
Vision,
Reflexes,
Coordination,
Emotions,
Aggressiveness, and
Judgment.
In fact, both alcohol and illegal drugs deprive commercial drivers of most of the tools they rely on to perform their jobs safely.
Think about the effect substance use could have on one of your drivers. The potential for accidents rises dramatically when drivers are under the influence.

21. Signs and Symptoms Of Alcohol Abuse
Evidence of presence
Physical symptoms
Behavioral symptoms
As a supervisor you need to know not only about the performance effects of substance use but also the signs and symptoms of drug or alcohol use, so that you can make appropriate reasonable-suspicion determinations. We’ll begin by reviewing the signs and symptoms of alcohol abuse.
Evidence of the presence of alcohol includes bottles, cans, and other containers in which alcoholic beverages have been purchased and/or consumed; bottle caps from alcohol containers; bottle or can openers; drivers drinking from paper bags; and the odor of alcohol from containers or on a driver’s breath.
Physical symptoms of alcohol use include poor reflexes, slurred speech, loss of coordination, and an unsteady gait.
Behavioral symptoms include increased talkativeness, reduced emotional control, distorted judgment, impaired driving ability, and significant impairment of thinking and memory.
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22. Signs and Symptoms of Drug Abuse: Marijuana
Evidence of presence
Physical symptoms
Behavioral symptoms
Evidence of the presence of marijuana includes plastic baggies, smoking papers, roach clip holders, small pipes or bongs, and a distinctive odor.
Physical symptoms of marijuana use include red eyes, stained fingertips, chronic fatigue, irritating cough, slowed speech, impaired motor coordination, altered perception, and increased appetite.
Behavioral symptoms include impaired memory, time-space distortion, feeling of euphoria, panic reactions, paranoia, careless attitude, and a false sense of power.

23. Signs and Symptoms: Amphetamines
Evidence of presence
Physical symptoms
Behavioral symptoms
Evidence of the presence of amphetamines most often includes pills, capsules, or tablets as well as envelopes, bags, or vials for storing the drug. Less frequently you might find syringes, needles, and tourniquets.
Visible physical symptoms of amphetamine use include dilated pupils and sweating. Other symptoms include increased blood pressure, rapid heartbeat, dizziness, decreased appetite, dry mouth, headaches, blurred vision, insomnia, and fever.
Behavioral symptoms include confusion, panic, talkativeness, hallucinations, restlessness, anxiety, moodiness, and a false sense of confidence and power.

24. Signs and Symptoms: Cocaine
Evidence of presence
Physical symptoms
Behavioral symptoms
Evidence of the presence of cocaine includes small folded envelopes, plastic bags, or vials used to store cocaine; razor blades; cut-off drinking straws or rolled bills for snorting; and small spoons and heating apparatus.
Visible physical symptoms of cocaine use include dilated pupils, runny or irritated nose, profuse sweating, tremors, needle tracks, restlessness or excitability, and talkativeness. Other symptoms include dry mouth, loss of appetite, high blood pressure, heart palpitations, insomnia, and the sensation of bugs crawling on the skin.
Behavioral symptoms include increased physical activity, depression, isolation and secretive behavior, unusual defensiveness, frequent absences, wide mood swings, difficulty concentrating, paranoia, hallucinations, confusion, and a false sense of power and control.

25. Signs and Symptoms: Opioids
Illegal and legal substances
Evidence of presence
Physical symptoms
Behavioral symptoms
Opioids include substances that are always illegal, such as heroin, as well as substances that are legal with a valid prescription, such as oxycodone, codeine, and hydrocodone. It is up to a medical review officer, or MRO, to evaluate whether an employee with a valid prescription for an opioid can safely perform his or her duties.
Evidence of the presence of heroin includes foil, glassine envelopes, or paper; balloons or prophylactics used to hold heroin; syringes, bloody tissues used to wipe the injection site; and burned matches used to heat heroin before injection. Opioids, particularly those that are legal with a valid prescription, also come in pill form. Common brand names include OxyContin®, Percocet®, Vicodin®, and Dilaudid®.
Physical symptoms of opioid use include constricted pupils, sweating, nausea and vomiting, diarrhea, needle marks, wearing long sleeves to cover “tracks,” loss of appetite, slurred speech, slowed reflexes, and drowsiness and fatigue.
Behavioral symptoms include mood swings, impaired coordination, depression and apathy, stupor, and euphoria.

26. Signs and Symptoms: PCP
Evidence of presence
Physical symptoms
Behavioral symptoms
Although PCP use is not as common as it once was, the DOT regulations still target this drug as one of the prohibited substances that you must test for.
Evidence of the presence of PCP includes packets, tablets, capsules, or powder residue.
Physical symptoms of PCP use include dilated or floating pupils, jerky eye movement, drooling, muscle rigidity, profuse sweating, dizziness, drowsiness, impaired physical coordination, staggering, severe disorientation, and decreased sensitivity to pain.
Behavioral symptoms include anxiety, panic, fear or terror, aggressive or violent behavior, distorted perception, severe confusion and agitation, disorganization, mood swings, poor perception of time and distance, poor judgment, and auditory hallucinations.
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27. Reasonable-Suspicion Determinations
Based on specific, current, objective observations
Made by a supervisor or manager
Made in connection with safety-sensitive functions
For drugs, made at any time
Based on the signs and symptoms of substance use reviewed in the previous slides, you might observe something that leads you to believe an employee is under the influence.
The determination that reasonable suspicion exists to require a driver to undergo a drug or alcohol test must be based on specific, current, objective observations concerning the appearance, behavior, speech, or body odors of the driver. Concrete evidence directly linked to the driver, such as alcohol bottles or drug paraphernalia, may also lead to a reasonable-suspicion determination.
Observations for alcohol or drug reasonable-suspicion testing must be made by a supervisor or manager. Secondhand reports from employees are not sufficient—although they might certainly lead you to investigate and make observations of your own.
Reasonable suspicion testing for alcohol is authorized only if the observations are made during, just preceding, or just after the period of the workday that the driver is required to be in compliance with the rules. That means a driver can be directed to undergo reasonable- suspicion testing for alcohol only during, just before, or just after performing safety-sensitive functions.
Reasonable suspicion testing for drug use can be based on observations made at any time, and a driver can be required to undergo reasonable suspicion testing for drug use at any time.

28. Reasonable-Suspicion Determinations (cont.)
Test should be performed promptly
Action under DOT rules must be based on a drug or alcohol test, not just observations
You must prepare a written and signed report describing your observations
Tests should be performed as soon as possible after the reasonable- suspicion determination is made, especially in the case of alcohol use.
Remember that under the DOT rules, a test must be performed. You generally can’t take action to suspend a driver under the DOT regulations based on observations alone. Of course, you might be able to do so under the organization’s drug-free workplace policy, but that is a different issue from the one we’re considering today.
Finally, you—or whoever made the observations—must make a written report describing the observations leading to an alcohol or drug reasonable-suspicion test. You must prepare and sign the report within 24 hours of the observed behavior or before the results of the alcohol or drug tests are released, whichever is earlier.
Think about the procedures that you are required to follow when making a reasonable-suspicion determination.

29. Direct Observation Employee attempts to tamper with specimen
MRO orders direct observation
Test is for a return-to-duty or follow-up
The DOT’s regulations at 49 CFR Part 40 require direct observation of employees providing urine specimens only under the following circumstances:
The employee attempts to tamper with his or her specimen at the collection site, as evidenced by any of the following:
The specimen temperature is outside the acceptable range;
The specimen shows signs of tampering (for example, an unusual color, odor, or characteristic);
The collector finds an item in the employee’s pockets or wallet that appears to be brought into the site to contaminate a specimen; or
The collector notes conduct that is suggestive of tampering.
The Medical Review Officer (MRO) orders the direct observation because:
The employee has no legitimate medical reason for certain atypical laboratory results; or
The employee’s positive or refusal [adulterated/substituted] test result had to be canceled because the split specimen test could not be performed (for example, the split was not collected).      
The test is a return-to-duty or follow-up test.

30. Direct Observation (cont.)
Observer must be same gender
Check for prosthetic or other device
Follow strict requirements for observation
Give notice and document when a device is observed
Failure to permit direct observation is a refusal to test
The DOT’s regulations require that, when conducting direct observation testing, the observer must be the same gender as the employee to be tested.
If the collector is not the observer, the collector must instruct the observer about the procedures for checking the employee for prosthetic or other devices designed to carry “clean” urine and/or urine substitutes, and for watching the employee urinate into the collection container.
Regulations require the observer to request that the employee raise his or her shirt, blouse, or dress/skirt, as appropriate, above the waist, just above the navel, and lower clothing and underpants to mid-thigh and show the observer, by turning around, that the employee does not have such a device.
If the employee has a device, the observer must immediately notify the collector, the collector must stop the collection and thoroughly document the circumstances and notify the designated engineering representative. If the employee is wearing a prosthetic or other device designed to carry clean urine and/or urine substitutes, it is considered to be a refusal to test. The observer must watch the urine go from the employee’s body into the collection container, and must watch as the employee takes the specimen to the collector. The collector then completes the collection process.
Failure of the employee to permit any part of the direct observation procedure is a refusal to test.

31. Knowledge Check 2 How much are you learning?
Now let’s see how much you remember about symptoms of alcohol use and use of the different drugs we must test for under the DOT rules. When you’re ready to begin, select NEXT.

32. Knowledge Check 2 What must reasonable suspicion be based on?
Current, specific, objective observations
Information from a reliable source
A hunch
Current, specific, objective observations
Information from a reliable source
A hunch
Choose the best option, then SUBMIT.
What must reasonable suspicion be based on: Current, specific, objective observations; Information from a reliable source; A hunch?
Reasonable suspicion must be based on current, specific, objective observations.

33. Knowledge Check 2 When should reasonable-suspicion tests be conducted?
During new employee orientation
As soon as possible after the observation
After the driver has been involved in an accident
During new employee orientation
As soon as possible after the observation
After the driver has been involved in an accident
When should reasonable-suspicion tests be conducted: During new employee orientation; As soon as possible after the observation; After the driver has been involved in an accident?
Reasonable suspicion tests should be conducted as soon as possible after the observation.

34. Knowledge Check 2
Can you base reasonable suspicion on something an employee reports but you haven’t actually seen?
Yes No
Yes No
Can you base reasonable suspicion on something an employee reports but you haven’t actually seen: Yes or No?
The correct answer is No. You have to observe the evidence, appearance, behavior, or odor.

35. Reasonable Suspicion Do you understand:
Grounds for reasonable- suspicion testing?
Performance effects of alcohol and drug use?
Signs and symptoms of substance use?
Reasonable-suspicion procedures?
Now let’s take a few minutes to make sure you understand the information presented in the previous slides. Do you understand:
The grounds for reasonable-suspicion testing?
Performance effects of alcohol and drug use?
Signs and symptoms of substance use?
Reasonable-suspicion procedures?
Your job requires you to understand and be able to use this information to make reasonable-suspicion determinations.
Let’s conclude the session now with some key points to remember.

36. Key Points to Remember
DOT regulations prohibit drug use and certain alcohol-related conduct by CDL drivers
We must test drivers for drug and alcohol use
You play a key role in compliance with the DOT rules
Here are the main points to remember from this session on the DOT alcohol and drug testing rules:
The DOT regulations prohibit drug use and certain alcohol-related conduct by CDL drivers.
We must test drivers for drug and alcohol use.
You play a key role in compliance with the DOT rules by assisting in training employees, identifying possible substance use, and making reasonable-suspicion determinations.
This concludes the DOT Alcohol and Drug Testing Rules training program.