DEPARTMENT OF TRANSPORTATION (DOT) ALCOHOL AND DRUG TESTING RULES OVERVIEW

(October 2022)

INTRODUCTION

This is a general overview of the Federal Motor Carrier Safety Administration's (FMCSA) alcohol and drug testing rules for persons required to obtain a commercial driver's license (CDL). It is only a general summary of the rules and does not contain many of the requirements or special circumstances detailed in the FMCSA and Department of Transportation (DOT) rules.

Note: Additional information is available at the FMCSA WEBSITE: www.fmcsa.dot.gov

THE RULES

FMCSA regulations require alcohol and drug testing of all drivers who are required to have a Commercial Drivers License (CDL) for the type of vehicle they operate. DOT rules include procedures for urine drug testing and breath-alcohol testing.

Persons Affected By the Rules

FMCSA rules apply to anyone who operates commercial motor vehicles requiring a CDL. Some examples are:

• Parties that own or lease commercial motor vehicles
• Parties that assign drivers to operate commercial motor vehicles
• Federal, state and local governments
• For-Hire Motor Carriers
• Private Motor Carriers
• Civic Organizations
• Religious Institutions

When the Regulations Apply

A driver is subject to the Act during any period in which he or she actually performs, is ready to perform, or is immediately available to perform a safety function. A safety function is defined as a function performed on duty time, further defined as follows:

• The time at a carrier or shipper plant, terminal, facility or other property, or on any public property waiting to be dispatched, unless relieved from duty by the motor carrier
• Any time spent inspecting the equipment (including legally mandated inspections), servicing, or conditioning any commercial motor vehicle
• Any time spent at the driving controls of a commercial motor vehicle in operation
• Any other non-driving time spent in or on any commercial motor vehicle (except resting/sleeping activity as defined by statute)
• Any time loading or unloading a vehicle, supervising or assisting in the loading or unloading, attending a vehicle being loaded or unloaded, remaining ready to operate the vehicle, or in giving or receiving receipts for shipments loaded or unloaded
• All time spent performing the drive requirements of rules 392.40 and 392.41 of chapter 49 of the Federal Register relating to accidents
• Any time spent repairing, obtaining assistance, or remaining in attendance with a disabled vehicle

ALCOHOL REGULATIONS

Prohibited Alcohol Use

Because alcohol is a legal substance, the rules define excluded alcohol-related conduct. Performing certain safety-sensitive functions is prohibited:

• While using any alcohol
• While having a breath alcohol concentration of .04 or more based on the results of an alcohol breath test
• Within four hours after consuming alcohol

Refusal to submit to alcohol testing or use of alcohol within eight hours after an accident or until drivers required to be tested are tested is prohibited.

Required Alcohol Tests

Four tests are required:

• Post-accident testing takes place after accidents on drivers whose performance may have contributed to the accident. This is based on a citation issued for a moving traffic violation as well as in all fatal accidents, even if a citation was not issued.
• When there is reasonable suspicion of misuse of alcohol based on observations of behavior or appearance by trained persons or officials
• Random testing takes place on an unannounced basis prior to, during, or immediately after the driver performs certain functions.
• Return-to-duty testing takes place when individuals who violated prohibited alcohol conduct standards return to work. Follow-up testing is done on an unannounced basis subject to certain criteria.

How Random Alcohol Testing Works

Random testing of a pool of drivers takes place on an unannounced basis prior to, during, or immediately after the driver performs certain functions. Testing dates and times are not announced ahead of time, and tests are conducted at reasonable intervals during the year. The number of such tests the employer does annually must equal or exceed 10% of the average number of drivers subject to the regulations. Independent truckers must combine with others to form their own testing pool.

How Alcohol Testing Is Done

Screening tests are performed using saliva devices or breath testing using approved National Highway Traffic Safety Administration (NHTSA) evidential breath testing (EBT) and non-evidential breath testing devices identified in the Federal Register.

Two tests are required to determine if a person has excessive alcohol concentration.

• A screening test indicating less than 0.02 alcohol concentration is considered a "negative" test. A second confirmation test must be done if it is greater.
• The driver and the technician performing the confirmation breath test complete the alcohol testing form to record the results properly. Any required confirmation test must use an EBT that prints out the results, date and time, a sequential test number, and the name and a serial number of the EBT to ensure test result reliability. The results determine actions to be taken.

Testing procedures that address a number of different criteria are in place to ensure test result accuracy, reliability, and confidentiality.

Who Performs the Testing

The employer must implement and perform the tests. It uses its own employees or contract services to do so or joins a consortium that does so on behalf of its members. Law enforcement officers do not test in conjunction with roadside or other inspections but do post-accident tests under certain circumstances. Individuals doing the testing must understand the procedures and know how to operate the EBT.

Consequences of Misusing Alcohol

Drivers involved in prohibited alcohol conduct must be removed from driving duties immediately and cannot resume those duties unless and until they are evaluated by trained professionals and comply with treatment programs that address their problem. In addition, drivers having an alcohol concentration that tested in excess of .02 prior to, during, and immediately after driving cannot resume driving duties for 24 hours. Drivers whose behavior or appearance suggests alcohol use must submit to a reasonable suspicion alcohol test or must be removed from driving duties for at least 24 hours.

Informing Employees of the Rules

Employers must inform their employees about the misuse of alcohol, their policy concerning it, testing requirements, and provide resources and information to address the issue. Driver supervisors must take part in a minimum of one hour of training on symptoms of alcohol misuse and be made aware of signs and indicators that might dictate further testing.

Rehabilitating Employees

Drivers who violate rules concerning misuse of alcohol must be referred to appropriate professionals for evaluation and be provided with any treatment or rehabilitation according to the employer's policy or labor/management agreements. These rules do not require the employer to rehabilitate, pay for treatment, or reinstate drivers. Drivers returned to duty must have been evaluated by a substance abuse professional, complied with recommended treatment, taken a return-to-duty alcohol test with an acceptable result, and be subject to unannounced follow-up alcohol tests.

Determining Employer Compliance with the Rules

Employers must keep detailed records of their misuse of alcohol prevention programs and allow the FMCSA to inspect or audit them. In addition, certain employers are selected to prepare annual calendar year summary reports for the FMCSA to assist in monitoring compliance and enforcement of the rules and to provide data on the extent of misuse of alcohol and the need for future program and regulatory changes.

Driver Alcohol Testing Records Confidentiality

Test results and other confidential information are released to only the employer and substance abuse professionals. Another release of this information requires the driver's written consent. Employers may release certain information to the appropriate parties in cases where a driver initiates a grievance, hearing, lawsuit, or other action as a result of violations of these rules.

Foreign Motor Carriers

FMCSA requires drivers for foreign motor carriers to comply with the alcohol rules when operating motor vehicles in the United States.

DRUG REGULATIONS

Required Drug Testing

Five tests are required:

• Pre-employment testing before drivers are hired

• Post-accident testing takes place after accidents on drivers whose performance may have contributed to the accident. This is based on a citation issued for a moving traffic violation as well as in all fatal accidents, even if a citation was not issued.
• When there is reasonable suspicion of misuse of drugs based on observations by trained persons or officials of behavior or appearance
• Random testing takes place on an unannounced basis prior to, during, or immediately after the driver performs certain functions.
• Return-to-duty testing takes place when individuals who violated prohibited drug conduct standards return to work. Follow-up testing is done on an unannounced basis subject to certain criteria.

Note: These requirements apply to the same drivers as alcohol testing.

Conducting Drug Testing

Drug testing involves analyzing drivers' urine specimens at laboratories identified in the Federal Register that the Department of Health and Human Services (DHHS) certifies and monitors. Drivers provide urine specimens in a private location. The collector seals and labels the specimens. A chain of custody document, the specimens, and accompanying paperwork are then shipped to the drug-testing laboratory. These collection procedures and the chain of custody ensure that the specimens are secure, properly identified, and not compromised.

Types of Drugs Tested

Urine specimens are analyzed for marijuana, cocaine, amphetamines, opiates (heroin) and phencyclidine (PCP).

Review and Interpretation of Laboratory Results

A physician or Medical Review Officer (MRO) reviews and interprets all drug test results before reporting them to the employer. If a laboratory report is positive, the MRO contacts and interviews the driver to determine if there is any other medical explanation for the drugs found in the urine specimen. If there is an acceptable and legitimate medical explanation, the MRO informs the employer that the drug test is negative.

Prohibited Drug Use

Drug rules prohibit any unauthorized use of controlled substances by drivers on or off duty. FMCSA has additional rules prohibiting the use of legally prescribed controlled substances, such as barbiturates, amphetamines, and morphine, by drivers engaged in interstate commerce.

Note: The marijuana rule applies even in states where marijuana use has been legalized. This is a federal rule which continues to view marijuana as a controlled substance.

Consequences of Positive Drug Tests

Drivers having positive drug test results must be removed from driving duties if the MRO investigation determines that the positive test result was due to unauthorized use of a controlled substance. Drivers cannot resume driving duties until evaluation by a substance abuse professional is complete, recommendations for rehabilitation complied with, and the return-to-duty test result is negative. Follow-up testing is required to verify that the driver continues to abstain from drug use.

How Random Drug Testing Works

Employers must conduct random drug tests on 50% or more of their drivers. This means that some drivers may be tested more than once each year and others not at all. Such testing does not necessarily have to be conducted in immediate time proximity to performing driving duties. However, a driver selected for testing must immediately go to a collection site upon notification.

Required Employee Education and Training

Employers must inform drivers of available drug use and treatment information and resources. Employers and supervisors of drivers must take part in at least one hour of training on recognizing the signs and symptoms of drug abuse in order to assist them in making appropriate determinations for reasonable suspicion testing.

Confidentiality of Driver Drug Testing Records

The employer, the drug-testing laboratory, and the MRO maintain confidential driver drug testing results and records and do not release them without the driver's written consent. These confidentiality provisions apply with limited exceptions for decision makers in arbitration, litigation, or administrative proceedings due to positive drug tests. Employers and drug-testing laboratories maintain statistical records and reports in aggregate form to monitor compliance with the rules and to assess the effectiveness of the drug testing programs.