What Employees Need To Know About
DOT Drug & Alcohol Testing
REV. JANUARY 2008
Office of Drug & Alcohol Policy & Compliance (ODAPC)
Office of the Secretary (OST)
U.S. Department of Transportation (DOT)
Table of Contents
v Introduction: “Tell me what this means!”
Mary E. Peters
Secretary of Transportation
U.S. Department of Transportation
What Employees Need To Know About DOT Alcohol & Drug Testing
Who is subject to DOT testing?
Why are safety-sensitive employees tested?
What information must employers provide?
What conduct is prohibited by the regulations?
What drugs does DOT test for?
Can I use prescribed medications? OTC meds?
When will I be tested?
Pre-Employment
Reasonable Suspicion/Cause
Random
Post-Accident
Return-to-duty
Follow-Up
How is a urine drug test administered?
The Collection
Testing at the Laboratory
Review by the Medical Review Officer
What are MROs?
How is an alcohol test administered?
Should I refuse a test if I believe I was unfairly selected for?
What is considered a refusal to test?
What happens if I test positive, refuse a test, or violate an agency rule?
What are SAPs?
How do I find a SAP?
Will I lose my job if I violate drug & alcohol regulations?
Will my results be confidential?
Will the results follow me to different employers?
What should I do if I have a drug or alcohol abuse problem?
Did you know?
But, I have more questions?
Appendix: Drug & Alcohol Program Manager Contact Information
IV WHAT EMPLOYEES NEED TO KNOW ABOUT DOT DRUG & ALCOHOL TESTING
U.S. DEPARTMENT OF TRANSPORTATION V
Introduction: “Tell me what this means!”
The transportation industry drug and alcohol testing program is a
cornerstone of the Department of Transportation’s efforts to have
Americans reach their destinations safely. None of us wants pilots,
truck drivers, subway operators, ship captains, pipeline controllers,
airline mechanics, or bus drivers to have drugs and alcohol “on board.”
The transportation industries have been able to steadily reduce the
number of crashes and accidents directly linked to drug and alcohol use
by safety-sensitive employees. Yet, some safety-sensitive
transportation employees continue to use illicit drugs and misuse
alcohol despite efforts to deter them from doing so.
As a result, I want all of us to step-up our efforts to make sure
transportation employees are drug and alcohol free. We can do this by
making sure employees are properly educated on the personal and
professional consequences of drug use and alcohol misuse.
Supervisors must be appropriately trained to identify signs and
symptoms of drug and alcohol use. Employers must have strong drug
and alcohol testing programs. Employees must be removed from
safety-sensitive duties immediately after they violate drug and alcohol
testing rules. It is also very important that employees are not returned
to safety-sensitive duty until they are referred for evaluation and have
successfully complied with treatment recommendations.
The Nation is counting on all of us to get this right, and failure simply
isn’t an option.
Mary E. Peters
Secretary of Transportation
U.S. Department of Transportation
January 2008
U.S. DEPARTMENT OF TRANSPORTATION 1
What Employees Need To Know About DOT Alcohol & Drug Testing
Just entering the transportation industry? Performing tasks defined by the US
Department of Transportation (DOT) as safety-sensitive, such as working on
pipelines, driving a truck, operating a ferry, steering a train or repairing an
airplane? Then, you are subject to DOT workplace drug & alcohol testing. Here
are the basics you need to know about DOT’s program.
Who is subject to DOT testing?
Anyone designated in DOT regulations as a safety-sensitive employee is
subject to DOT drug & alcohol testing. What follows is an overview of what
jobs are defined as safety-sensitive functions subject to testing.
Remember: The tasks you actually perform qualify you as a safety-sensitive
employee, not your job title. Also, some employees, like managers and
supervisors, may be qualified for these jobs but not currently performing
them. Do they have to be tested as well? In most cases, yes…if that
employee may be asked at a moment’s notice or in an emergency to
perform a safety-sensitive job. Be sure to check industry specific regulations
for further clarification.
Flight crews, flight attendants, flight instructors, air traffic
controllers at facilities not operated by the FAA or under contract
to the U.S. military, aircraft dispatchers, aircraft maintenance or
preventative maintenance personnel, ground security
coordinators and aviation screeners. Direct or contract employees
of I4 CFR Part 121 or 135 certificate holders, Section 91.147
operators and air traffic control facilities not operated by the FAA
or under contract to the US Military. See FAA regulations at 14
CFR Part 121 Appendices I & J.
Commercial Drivers License (CDL) holders who operate
Commercial Motor Vehicles, 26,001 lbs. gvwr. or greater, or
operate a vehicle that carries 16 passengers or more including the
driver, or required to display a DOT placard in the transportation
of hazardous material.1 See FMCSA regulation at 49 CFR Part 382.
Crewmembers operating a commercial vessel.
See USCG regulations at 46 CFR Parts 4 & 16.
Operations, maintenance and emergency response.
See PHMSA regulations at 49 CFR Part 199.
Hours of Service Act personnel, engine & train, signal service or
train dispatchers. See FRA regulations at 49 CFR Part 219.
Vehicle operators, controllers, mechanics and armed security.
See FTA regulations at 49 CFR Part 655.
Aviation
FAA
Commercial
Motor
Carriers
FMCSA
Maritime
USCG2
Pipeline
PHMSA
Railroad
FRA
Transit
FTA
Links to these regulations can be found on-line at www.dot.gov/ost/dapc .
1 In some instances, states allow waivers from this qualification, such as operators of fire trucks and
some farm equipment. Check with your state department of motor vehicles for more information.
2 An agency of the U.S. Department of Homeland Security.
!
2 WHAT EMPLOYEES NEED TO KNOW ABOUT DOT DRUG & ALCOHOL TESTING
Why are safety-sensitive employees tested?
The short answer is for the safety of the traveling public, co-workers and
yourself. The longer answer is that the United States Congress recognized the
need for a drug and alcohol free transportation industry, and in 1991 passed
the Omnibus Transportation Employee Testing Act, requiring DOT Agencies to
implement drug & alcohol testing of safety-sensitive transportation
employees.3
Within DOT, the Office of the Secretary’s Office of Drug & Alcohol Policy &
Compliance (ODAPC) publishes rules on how to conduct those tests, what
procedures to use when testing and how to return an employee to safety sensitive
duties. Encompassed in 49 Code of Federal Regulations (CFR) Part 40,
ODAPC publishes and provides authoritative interpretations of these rules.
DOT agencies and the U.S. Coast Guard write industry specific regulations,
spelling out who is subject to testing, when and in what situations. Industry
employers implement the regulations that apply to them.
The benefit to all employees affected by DOT regulations is that each agency’s
regulations must adhere to DOT’s testing procedures found at 49 CFR Part 40,
commonly know as “Part 40.” For example, you may work in the rail industry
and later work in the motor carrier industry, but the procedures for collecting,
testing and reporting of your tests will be the same under Part 40.
What information must employers provide when I first begin
performing DOT safety-sensitive functions?
Depending on the DOT agency over-seeing your industry, your employer may
be required to provide you with educational materials and a company policy
that explain the requirements of DOT’s drug & alcohol testing regulations and
the procedures to help you comply. If you have not received this information,
be sure to ask your employer about it.
What conduct is prohibited by the regulations?
As a safety-sensitive employee…
• You must not use or possess alcohol or any illicit drug while assigned to
perform safety-sensitive functions or actually performing safety-sensitive
functions.
• You must not report for service, or remain on duty if you…
- Are under the influence or impaired by alcohol;
- Have a blood alcohol concentration .04 or greater; (with a blood alcohol
concentration of .02 to .039, some regulations do not permit you to
continue working until your next regularly scheduled duty period);
- Have used any illicit drug.
• You must not use alcohol within four hours (8 hours for flight crew members
and flight attendants) of reporting for service or after receiving notice to
report.
3 The Omnibus Act’s testing requirements do not apply to PHMSA.
U.S. DEPARTMENT OF TRANSPORTATION 3
• You must not report for duty or remain on duty when using any controlled
substance unless used pursuant to the instructions of an authorized medical
practitioner.
• You must not refuse to submit to any test for alcohol or controlled
substances.
• You must not refuse to submit to any test by adulterating or substituting your
specimen.
Keep these in mind when preparing to report to work.
What drugs does DOT test for?
DOT drug tests are conducted only using urine specimens. The urine
specimens are analyzed for the following drugs/metabolites:
• Marijuana metabolites /THC
• Cocaine metabolites
• Amphetamines
(including methamphetamine)
• Opiates
(including codeine, heroin, morphine)
• Phencyclidine (PCP)
To learn more about the effects of these and other drugs visit the following sites:
• Drugs and Human Performance Fact Sheet. National Highway Traffic Safety
Administration (NHTSA) www.nhtsa.dot.gov .
• Driving While You Are Taking Medications. National Highway Traffic Safety
Administration (NHTSA) www.nhtsa.dot.gov .
• Common Drugs of Abuse. National Institute for Drug Abuse (NIDA)
www.nida.nih.gov .
• Substance Abuse. Substance Abuse and Mental Health Administration
(SAMHSA) www.workplace.samhsa.gov .
• Drug Facts. Office of National Drug Policy Control (ONDCP)
www.whitehousedrugpolicy.gov .
• Prevention On-line. National Clearinghouse for Alcohol and Drug Information
(NCADI) www.health.org .
Can I use prescribed medications & over-the-counter (OTC) drugs
and perform safety-sensitive functions?
Prescription medicine and OTC drugs may be allowed.4 However, you must
meet the following minimum standards:
• The medicine is prescribed to you by a licensed physician, such as your
personal doctor.
Specimens Collected for
Drug & Alcohol Testing*
Drugs: Alcohol:
Urine Breath & Saliva
* The FRA requires blood specimens as
part of their Post-Accident testing.
4 The FRA requires that if you are being treated by more than one medical practitioner, you must show
that at least one of the treating medical practitioners has been informed of all prescribed and authorized
medications and has determined that the use of the medications is consistent with the safe performance
of your duties.
4 WHAT EMPLOYEES NEED TO KNOW ABOUT DOT DRUG & ALCOHOL TESTING
• The treating/prescribing physician has made a good faith judgment that the
use of the substance at the prescribed or authorized dosage level is
consistent with the safe performance of your duties.
Best Practice: To assist your doctor in prescribing the best possible
treatment, consider providing your physician with a detailed description of
your job. A title alone may not be sufficient. Many employers give
employees a written, detailed description of their job functions to provide
their doctors at the time of the exam.
• The substance is used at the dosage prescribed or authorized.5
• If you are being treated by more than one physician, you must show that at
least one of the treating doctors has been informed of all prescribed and
authorized medications and has determined that the use of the medications
is consistent with the safe performance of your duties.
• Taking the prescription medication and performing your DOT safety-sensitive
functions is not prohibited by agency drug and alcohol regulations. However,
other DOT agency regulations may have prohibitive provisions, such as
medical certifications.
Remember: Some agencies have regulations prohibiting use of specific
prescription drugs, e.g. methadone, etc…. If you are using prescription or
over-the-counter medication, check first with a physician, but do not forget
to consult your industry-specific regulations before deciding to perform
safety-sensitive tasks. Also be sure to refer to your company’s policy
regarding prescription drugs.
When will I be tested?
Safety-sensitive employees are subject to drug or alcohol testing in the
following situations:
• Pre-employment.
• Reasonable Suspicion/Cause.
• Random.
• Return-to-duty.
• Follow-up.
• Post-Accident.
Pre-Employment
As a new hire, you are required to submit to a drug test. Employers may, but
are not required to, conduct alcohol testing.6 Only after your employer receives
a negative drug test result (and negative alcohol test result – if administered)
may you begin performing safety-sensitive functions. This also applies if you
are a current employee transferring from a non-safety-sensitive function into a
safety-sensitive position (even if it is the same employer).
5 While a minority of states allow medical use of marijuana, federal laws and policy do not recognize any
legitimate medical use of marijuana. Even if marijuana is legally prescribed in a state, DOT regulations
treat its use as the same as the use of any other illicit drug.
6 Not every DOT agency requires a pre-employment alcohol test.
!
U.S. DEPARTMENT OF TRANSPORTATION 5
Reasonable Suspicion/Cause
You are required to submit to any test (whether drug, alcohol or both) that a
supervisor requests based on reasonable suspicion. Reasonable suspicion
means that one or more trained supervisors reasonably believes or suspects
that you are under the influence of drugs or alcohol. They cannot require
testing based on a hunch or guess alone; their suspicion must be based on
observations concerning your appearance, behavior, speech and smell that are
usually associated with drug or alcohol use.
Random
You are subject to unannounced random drug & alcohol testing. Alcohol
testing is administered just prior to, during or just after performing safetysensitive
functions. Depending on the industry specific regulations, you may
only be subject to random drug testing.7
No manager, supervisor, official or agent may select you for testing just
because they want to. Under DOT regulations, employers must use a truly
random selection process. Each employee must have an equal chance to be
selected and tested.
Just prior to the testing event, you will be notified of your selection and
provided enough time to stop performing your safety sensitive function and
report to the testing location. Failure to show for a test or interfering with the
testing process can be considered a refusal.
Post-Accident
If you are involved in an event (accident, crash, etc.) meeting certain criteria of
the DOT agency, a post-accident test will be required. You will then have to
take a drug test and an alcohol test.8 You are required to remain available for
this testing and are not permitted to refuse testing.
Remember: Safety-sensitive employees are obligated by law to submit to
and cooperate in drug & alcohol testing mandated by DOT regulations.
Return to Duty
If you have violated the prohibited drug & alcohol rules, you are required to
take a drug and/or alcohol test before returning to safety-sensitive functions for
any DOT regulated employer. You are subject to unannounced follow-up
testing at least 6 times in the first 12 months following your return to active
safety-sensitive service.
Follow-up
The amount of follow-up testing you receive is determined by a Substance
Abuse Professional (SAP) and may continue for up to 5 years. This means the
SAP will determine how many times you will be tested (at least 6 times in the
first year), for how long, and for what substance (i.e. drugs, alcohol, or both).
Your employer is responsible for ensuring that follow-up testing is conducted
and completed, and your employer may have a policy that all follow-up tests
are collected under direct observation. Follow-up testing is in addition to all
other DOT required testing.
7 USCG & PHMSA do not perform random alcohol tests.
8 In post-accident testing, the FRA requires a blood specimen for drug testing.
!
6 WHAT EMPLOYEES NEED TO KNOW ABOUT DOT DRUG & ALCOHOL TESTING
How is a urine drug test administered?
Regardless of the DOT agency requiring the drug test, the drug testing process
always consists of three components:
• The Collection. (49 CFR Part 40, Subparts C, D, E)
• Testing at the Laboratory. (49 CFR Part 40, Subpart F)
• Review by the Medical Review Officer. (49 CFR Part 40, Subpart G)
What follows is a summary of the procedures for each step. For a more
detailed account, please visit 49 CFR Part 40, which can be found in its entirety
at www.dot.gov/ost/dapc.
Overview of DOT Drug Testing
2.Why
• Pre-employment
• Reasonable Suspicion
• Random
• Post-Accident
• Return-to-duty & Follow-up
3.You report
immediately to
the collection site.
4. Urine Collection
• Verify ID. • Empty Pockets.
• Select Sealed Kit. • Provide 45 ml + of urine.
• Watch collector check temp and pour into 2
bottles.
• Watch collector seal bottles A & B.
• Sign paperwork.
5. Lab Testing
• Analyzes bottle A.
• Results sent to Medical
Review Officer (MRO).
6. Medical Review
As gate-keeper to the integrity
of the drug testing process, the
MRO reviews lab results and
determines if there are any
legitimate medical reasons for
a positive, adulterated or
substituted result. This includes
an interview with you, review
of your medical records or a
request that you be examined
by MRO approved physician.
7. Employees’ Rights
Upon notice by the
MRO, you have 72
hours from the MRO
interview to request the
B Bottle be tested by
another certified lab. 8.Verified Results
MRO verifies results
to employer as either:
• Negative • Positive
• Refusal • Cancelled
1. Notification
You are
notified
to submit
for a drug test.
U.S. DEPARTMENT OF TRANSPORTATION 7
The Collection
During the collection process, a urine specimen collector will:
• Verify your identity using a current valid photo ID, such as driver’s license,
passport, employer issued picture ID, etc.
• Create a secure collection site by:
- Restricting access to the site to only those being tested.
- Securing all water sources and placing blue dye in any standing water.
- Removing or securing all cleaning products/fluids at the collection site.
• Afford you privacy to provide a urine specimen.
- Exceptions to the rule generally surround issues of attempted adulteration
or substitution of a specimen or any situation where general questions of
validity arise, like an unusual temperature.
• Ask you to remove any unnecessary garments and empty your pockets (you
may retain your wallet).
• Instruct you to wash and dry your hands.
• Select or have you select a sealed collection kit and open it in your presence.
• Request you to provide a specimen (a minimum of 45 mL) of your urine into
a collection container.
• Check the temperature and color of the urine.
• In your presence, pour the urine into two separate bottles (A or primary and
B or split), seal them with tamper-evident tape, and then ask you to sign the
seals after they have been placed on the bottles.
Remember: Neither you nor the collector should let the specimen out of
your sight until it has been poured into two separate bottles and sealed.
• Ask you to provide your name, date of birth, and daytime and evening phone
numbers on the Medical Review Officer Copy (Copy #2) of the Federal Drug
Testing Custody and Control Form (CCF).
- This is so the Medical Review Officer (MRO) can contact you directly if
there are any questions about your test.
• Complete necessary documentation on the Laboratory Copy (Copy #1) of the
CCF to demonstrate the chain of custody (i.e. handling) of the specimen.
• Give you the Employee Copy (Copy # 5) of the CCF and may suggest you list
any prescription and over-the-counter medications you may be taking on the
back of your copy of the CCF (this may serve as a reminder for you in the
event the MRO calls you to discuss your test results).
• Package and ship both sealed bottles and completed CCF to a U.S. Health
and Human Services (HHS) certified testing laboratory as quickly as possible.
If you are unable to provide 45 mL of urine on the first attempt, the time will be
noted, and you will be:
• Required to remain in the testing area under the supervision of the collection
site personnel, their supervisor, or a representative from your company,
- Leaving the testing area without authorization may be considered a
refusal to test
• Urged to drink up to 40 oz. of fluid, distributed reasonably over a period of
up to three hours,
• Asked to provide a new specimen (into a new collection container).
!
8 WHAT EMPLOYEES NEED TO KNOW ABOUT DOT DRUG & ALCOHOL TESTING
• If you do not provide a sufficient specimen within three hours, you must
obtain a medical evaluation9 within five days to determine if there is an
acceptable medical reason for not being able to provide a specimen. If it is
determined that there is no legitimate physiological or pre-existing
psychological reason for not providing a urine specimen, it will be
considered a refusal to test.
How do you know if you are taking a federal or
a private company drug test?
All DOT drug tests are completed using the Federal Drug
Testing Custody and Control Form. Those words appear
at the top of each form.
Testing at the Laboratory
At the laboratory, the staff will:
• Determine if flaws exist. If flaws exist, the specimen is rejected for testing.
• Open only the A bottle and conduct a screening test. Specimens that screen
positive will be analyzed again using a completely different testing
methodology.
- If the specimen tests negative in either test, the result will be reported as
a negative.
- Only if the specimen tests positive under both methods will the specimen
be reported to the medical review officer as a positive test.
• Report the findings of the analysis of the A bottle to the Medical Review
Officer (MRO).
• Store the A and B bottles for any reported positive, adulterated, or
substituted result for at least 12 months.
Remember: The Lab may conduct specimen validity tests (SVTs) to
determine if the specimen was adulterated or substituted. Tests found to
be adulterated or substituted are also reported to the MRO and may be
considered a refusal to test.
Review by the Medical Review Officer (MRO)
Upon receipt of the test result from the laboratory, the MRO will:
• Review paperwork for accuracy.
• Report a negative result to the Designated Employer Representative (DER).
• If the result is positive, conduct an interview with you to determine if there is
a legitimate medical reason for the result. If a legitimate medical reason is
established, the MRO will report the result to the DER as negative. If not, the
MRO will report the result to the DER as positive.
• If the result is an adulterated or substituted test, conduct an interview with you
to determine if there is a legitimate medical reason for the result. If a legitimate
medical reason is established, the MRO will report the result to the DER as
cancelled. If not, the MRO will report the result to the DER as a refusal.
9 The physical exam is scheduled after the designated employer representative consults with the
medical review officer. The physician chosen to complete the evaluation must have expertise in the
medical issues raised and be acceptable to the Medical Review Officer.
!
U.S. DEPARTMENT OF TRANSPORTATION 9
• Report a non-negative test result to the DER if:
- You refused to discuss the results with the MRO;
- You did not provide the MRO with acceptable medical documentation to
explain the non-negative test result.
• Inform you that you have 72 hours from the time of the verified result to
request to have your B “split” bottle sent to another certified lab for analysis
for the same substance or condition that was found in the A “primary” bottle.
What are Medical Review Officers (MRO)?
Under DOT regulations, MROs are licensed physicians with knowledge and
clinical experience in substance abuse disorders. They must also complete
qualification training courses and fulfill obligations for continuing education
courses. They serve as independent, impartial gatekeepers to the accuracy and
integrity of the DOT drug testing program. All laboratory results are sent to an
MRO for verification before a company is informed of the result. As a
safeguard to quality and accuracy, the MRO reviews each test and rules out
any other legitimate medical explanation before verifying the results as
positive, adulterated or substituted.
How is an alcohol test administered?
The DOT performs alcohol testing
in a manner to ensure the validity
of the testing as well as provide
confidentiality of the employee’s
testing information.
At the start of the test, a Screening Test Technician (STT) or a Breath Alcohol
Technician (BAT), using only a DOT-approved device, will:
• Establish a private testing area to prevent unauthorized people from hearing
or seeing your test result.
• Require you to sign Step #2 of the Alcohol Testing Form (ATF).
• Perform a screening test and show you the test result. If the screening test
result is an alcohol concentration of less than 0.02, no further testing is
authorized, and there is no DOT action to be taken. The technician will
document the result on the ATF, provide you a copy and provide your
employer a copy.
If the screening test result is 0.02 or greater, you will be required to take a
confirmation test, which can only be administered by BAT using an Evidential
Breath Testing (EBT) device. The BAT will:
• Wait at least 15 minutes, but not more than 30 minutes, before conducting
the confirmation test. During that time, you are not be allowed to eat, drink,
smoke, belch, put anything in you mouth or leave the testing area.
Remember: Leaving the testing area without authorization may be
considered a refusal to test.
• Perform an “air blank” (which must read 0.00) on the EBT device to ensure
that there is no residual alcohol in the EBT or in the air around it.
• Perform a confirmation test using a new mouthpiece.
How do you know if you are
taking a federal or a private
company alcohol test?
All DOT alcohol tests are
documented with a form with
the words Department of
Transportation at the top.
!
10 WHAT EMPLOYEES NEED TO KNOW ABOUT DOT DRUG & ALCOHOL TESTING
• Display the test result to you on the EBT and on the printout from the EBT.
• Document the confirmation test result on the ATF, provide you a copy and
provide your employer a copy.
• Report any result of 0.02 or greater immediately to the employer.
If after several attempts you are unable to provide an adequate amount of
breath, the testing will be stopped. You will be instructed to take a medical
evaluation to determine if there is an acceptable medical reason for not
providing a sample. If it is determined that there is no legitimate physiological
or psychological reason, the test will be treated as a refusal to test.
Confirmation test results are the final outcome of the test.
Result Action
Less than 0.02 No action required under 49 CFR Part 40.
0.02 – 0.039 Varies among DOT agencies. For example, FMCSA
requires that you not resume safety-sensitive functions for
24 hours [382.505], while the FRA requires 8 hours
[219.101(a)(4)]. The FTA & PHMSA require only that you
test below 0.02 or cannot work until the next scheduled
duty period but not less than 8 hours from the time of the
test [655.35 & 199.237 respectively]. And, the FAA requires
only that you test below 0.02, if the employer wants to put
you back to work within 8 hours [14 CFR Part 121,
Appendix J, Sect. III.G]. Also, be sure to check other
agency specific regulations for their restrictions.
0.04 or greater Immediate removal from safety-sensitive functions.
You may not resume safety-sensitive functions until
you successfully complete the return-to-duty process.
Should I refuse a test if I believe I was unfairly selected for testing?
Rule of Thumb: Comply then make a timely complaint.
If you are instructed to submit to a DOT drug or alcohol test and you don’t
agree with the reason or rationale for the test, take the test anyway. Don’t
interfere with the testing process or refuse the test.
After the test, express your concerns to your employer through a letter to your
company’s dispute resolution office, by following an agreed upon labor
grievance or other company procedures. You can also express your concerns
to the appropriate DOT agency drug & alcohol program office. (See contact
numbers listed in the Appendix.) Whomever you decide to contact, please
contact them as soon as possible after the test.
What is considered a refusal to test?
DOT regulations prohibit you from refusing a test. The following are some
examples of conduct that the regulations define as refusing a test (See 49 CFR
Part 40 Subpart I & Subpart N):
U.S. DEPARTMENT OF TRANSPORTATION 11
• Failure to appear for any test after being directed to do so by your employer.
• Failure to remain at the testing site until the testing process is complete.
• Failure to provide a urine or breath sample for any test required by federal
regulations.
• Failure to permit the observation or monitoring of you providing a urine
sample (Please note tests conducted under direct observation or monitoring
occur in limited situations. The majority of specimens are provided in private).
• Failure to provide a sufficient urine or breath sample when directed, and it
has been determined, through a required medical evaluation, that there was
not adequate medical explanation for the failure.
• Failure to take a second test when directed to do so.
• Failure to cooperate with any part of the testing process.
• Failure to undergo a medical evaluation as part of “shy bladder” or “shy lung”
procedures.
• Failure to sign Step #2 of the ATF.
• Providing a specimen that is verified as adulterated or substituted.
What happens if I test positive, refuse a test, or violate an agency
specific drug & alcohol rule?
If you test positive, refuse a test, or violate DOT drug & alcohol rules:
• A supervisor or company official will immediately remove you from DOTregulated
safety-sensitive functions.
• You will not be permitted to return to performing DOT regulated safetysensitive
duties until you have:
- Undergone an evaluation by a Substance Abuse Professional (SAP);
- Successfully completed any education, counseling or treatment
prescribed by the SAP prior to returning to service; and
- Provided a negative test result for drugs and a breath test less than 0.02
of alcohol. (Return to duty testing).
• Upon return to a safety-sensitive job, you will be subject to unannounced
testing for drugs and/or alcohol no less than 6 times during the first 12
months of active service with the possibility of unannounced testing for up to
60 months (as prescribed by the SAP).
What are SAPs?
Under DOT regulations, SAPs are Substance Abuse Professionals. They play a
critical role in the work place testing program by professionally evaluating
employees who have violated DOT drug & alcohol rules. SAPs recommend
appropriate education, treatment, follow-up tests, and aftercare. They are the
gate-keepers to the re-entry program by determining when a safety-sensitive
employee can be returned to duty.
SAPs are required to have a certain background and credentials, which include
clinical experience in diagnosis and treatment of substance abuse-related
disorders. They must also complete qualification training and fulfill obligations
for continuing education courses. While SAPs do make recommendations to
the employer about an employee’s readiness to perform safety-sensitive duties,
SAPs are neither an advocate for the employee or the employer, and they make
return-to-duty recommendations according to their professional and ethical
standards as well as DOT’s regulations.
12 WHAT EMPLOYEES NEED TO KNOW ABOUT DOT DRUG & ALCOHOL TESTING
Remember: Even if a SAP believes that you are ready to return to work, an
employer is under no obligation to return you to work. Under the
regulations, hiring and reinstatement decisions are left to the employer.
Also, under FAA regulations, SAPs cannot return a pilot to duty without
the prior approval of the FAA’s Federal Air Surgeon.
How do I find a SAP?
There are several resources to finding a SAP. If you violate a DOT drug or
alcohol rule, your employer is required to provide you with a list of SAPs’
names, addresses and phone numbers that are available to you and acceptable
to them.10 Also, several organizations, that offer SAP training, maintain lists of
SAPs. Don’t forget to search the internet or check your local yellow pages for
any SAP listings.
Will I lose my job if I violate drug & alcohol regulations?
DOT regulations do not address employment actions such as hiring, firing or
granting leaves of absence. All employment decisions are the responsibility of
the employers. Under Federal regulations, the main requirement for employers
is to immediately remove employees from performing DOT safety-sensitive
jobs. Be aware that a positive or refused DOT drug or alcohol test may trigger
additional consequences based on company policy or employment agreement.
While you may not lose your job, you may lose your certification or license to
perform that job. Be sure to check industry specific regulations. For example,
someone operating a commercial motor vehicle may not lose their state-issued
CDL, but they will lose their ability to perform any DOT regulated safetysensitive
tasks.
Will my results be confidential?
Your test results are confidential. An employer or service agent (e.g. testing
laboratory, MRO or SAP) is not permitted to disclose your test results to outside
parties without your written consent. But, your test information may be released
(without your consent) in certain situations, such as: legal proceedings,
grievances, or administrative proceedings brought by you or on your behalf,
which resulted from a positive or refusal. When the information is released, the
employer must notify you in writing of any information they released.
Will the results follow me to different employers?
Yes, your drug & alcohol testing history will follow you to your new employer, if
that employer is regulated by a DOT agency. Employers are required by law to
provide records of your drug & alcohol testing history to your new employer.
This is to ensure that you have completed the return-to-duty process and are
being tested according to your follow-up testing plan.
What should I do if I have a drug or alcohol abuse problem?
Seek help. Jobs performed by safety-sensitive transportation employees keep
America’s people and economy moving. Your work is a vital part of everyday life.
10 Employers cannot charge employees for the SAP list.
!
U.S. DEPARTMENT OF TRANSPORTATION 13
Yet, by abusing drugs or alcohol, you risk your own life, your co-workers lives
and the lives of the public.
Most every community in the country has resources available to confidentially
assist you through the evaluation and treatment of your problem. If you would
like to find a treatment facility close to you, check with your local yellow pages,
local health department or visit the U.S. Department of Health and Human
Services treatment facility locator at http://findtreatment.samhsa.gov/. This site
provides contact information for substance abuse treatment programs by state,
city and U.S. Territory.
Also, many work-place programs are in place to assist employees and family
members with substance abuse, mental health and other problems that affect
their job performance. While they may vary by industry, here is an overview of
programs that may be available to you:
Employee Assistance Programs (EAPs)
While not required by DOT agency regulations, EAPs may be available to
employees as a matter of company policy. EAPs are generally provided by
employers or unions.
Note: Many employees believe they only need to contact an EAP
counselor if they have a positive drug and/or alcohol test. Not true!
EAP programs vary considerably in design and scope. Some focus only on
substance abuse problems; others undertake a broad brush approach to a
range of employee and family problems. Some include prevention, health and
wellness activities. Some are linked to the employee health benefit structures.
These programs offer nearly full privacy and confidentiality, unless someone’s
life is in danger.
Do you know what programs are available at your job? Be sure to ask your
employer!
Voluntary Referral Programs
Often sponsored by employers or unions, referral programs provide an
opportunity to self-report to your employer a substance abuse problem before
you violate testing rules. This gives you an opportunity for evaluation and
treatment, while at times guaranteeing your job. Be sure to check your company
to see if there is a voluntary referral program.
Remember: Self-reporting just after being notified of a test does not
release you from your responsibility of taking the test, and it also does not
qualify as a voluntary referral.
Peer Reporting Programs
Generally sponsored by employers or unions, you are encouraged or required to
identify co-workers with substance abuse problems. The safety of everyone
depends on it. Using peers to convince troubled friends and co-workers with a
problem is one of the strengths of the program, often guaranteeing the co-worker
struggling with substance abuse issues the same benefits as if he had self-reported.
!
!
14 WHAT EMPLOYEES NEED TO KNOW ABOUT DOT DRUG & ALCOHOL TESTING
Education and Training Programs (required by all Agencies)
Topics may include the effects of drugs & alcohol use, company testing
policies, DOT testing regulations and the consequences of a positive test.
Materials may also contain information on how employees can get in touch
with their Employee Assistance Programs and community service hot-lines.
In addition, supervisors sometimes receive additional training in the
identification and documentation of signs and symptoms of employee’s drug
and/or alcohol use that trigger a reasonable suspicion drug or alcohol test.
Did you know?
Did you know that 6 out of 10 people suffering from substance abuse problems
also suffer from mental conditions like depression?11 Research has long
documented that people suffering from depression try to self-medicate
themselves through alcohol and other drugs. Typically, many of these
individuals fail to remain clean and sober after rehabilitation because their
underlying medical problem is not addressed and the cycle of self-medication
begins again.
Remember: If you have substance abuse issues, there is a 60% chance that
you are also suffering from an underlying mental condition like depression.
Increase your chances of rehabilitation. Be sure to ask your doctor or other mental
health professionals about depression as it relates to substance abuse issues.
But, I have more questions?
ODAPC is available to help answer anyone’s questions regarding DOT drug &
alcohol testing regulations. Please contact us at 202-366-DRUG (3784) or visit
our website at www.dot.gov/ost/dapc for frequently asked questions, official
interpretations of the regulations and regulatory guidelines.
If you have questions regarding DOT agency regulations on a specific industry,
contact the agencies drug & alcohol abatement offices listed in the Appendix.
!
11 The Dual Challenge of Substance Abuse and Mental Disorders, NIDA Director Nora D. Volkow, M.D.,
NIDA Notes, Vol. 18, No. 5.
Appendix
Drug & Alcohol Program Manager Contact Information
U.S. Department of Transportation
· FAA Aviation (202) 267-8442 www.faa.gov
· FMCSA Motor Carrier (202) 366-2096 www.fmcsa.dot.gov
· FTA Public Transportation (617) 494-2395 www.fta.dot.gov
· FRA Railroads (202) 493-6313 www.fra.dot.gov
· PHMSA Pipeline (202) 550-0629 www.phmsa.dot.gov
U.S. Department of Homeland Security
· USCG Maritime (202) 372-1033 http://marineinvestigations.us
U.S. DEPARTMENT OF TRANSPORTATION 15
16 WHAT EMPLOYEES NEED TO KNOW ABOUT DOT DRUG & ALCOHOL TESTING
NOTES
U.S. Department of Transportation
Office of the Secretary
Office of Drug & Alcohol Policy & Compliance
1200 New Jersey Avenue, SE
Room W62-300
Washington, DC 20590
202.366.DRUG (3784)
202.366.3897 fax
odapcwebmail@dot.gov
www.dot.gov/ost/dapc
Disclaimer
This publication was produced by the U.S. Department of Transportation (DOT)
to assist safety-sensitive employees subject to workplace drug & alcohol
testing in understanding the requirements of 49 CFR Part 40 and certain DOT
agency regulations. Nothing in this publication is intended to supplement, alter
or serve as an official interpretation of 49 CFR Part 40 or DOT agency
regulations. This publication is for educational purposes only.
Public Domain Notice
All material in this publication is in the public domain and may be reproduced
without permission from ODAPC, although attribution is appreciated. However,
this guide may not be reproduced or distributed for a fee without specific
written authorization of ODAPC.
Electronic Access to Publication
This publication can also be accessed electronically through the internet at
www.dot.gov/ost/dapc
For questions, please contact DOT’s Office of Drug & Alcohol Policy &
Compliance at 202-366-DRUG (3784) or visit our website at
www.dot.gov/ost/dapc
Originating Office
U.S. Department of Transportation
Office of the Secretary
Office of Drug & Alcohol Policy & Compliance
1200 New Jersey Avenue, SE
Room W62-300
Washington, DC 20590
202.366.DRUG (3784)
202.366.3897 fax
odapcwebmail@dot.gov
www.dot.gov/ost/dapc
REV. JANUARY 2008
(1665)
Carl Slicer, blog editor, www.BestHire.com
